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Synthesis Report on Five-Country Institutional AnalysisProduced for the CIAT Scoping Study on Soil Research and Management to Enrich Bilateral German Development Cooperation Programs
The International Center for Tropical Agriculture (CIAT) – a member of the CGIAR Consortium – develops technologies, innovative methods, and new knowledge that better enable farmers, especially smallholders, to make agriculture eco-efficient – that is, competitive and profitable as well as sustainable and resilient. Eco-efficient agriculture reduces hunger and poverty, improves human nutrition, and offers solutions to environmental degradation and climate change in the tropics. Headquartered near Cali, Colombia, CIAT conducts research for development in tropical regions of Latin America, Africa, and Asia.www.ciat.cgiar.org
CGIAR is a global research partnership for a food-secure future. CGIAR research is dedicated to reducing rural poverty, increasing food security, improving human health and nutrition, and ensuring sustainable management of natural resources. It is carried out by the 15 Centers that are members of the CGIAR Consortium in close collaboration with hundreds of partners, including national and regional research institutes, civil society organizations, academia, development organizations, and the private sector.www.cgiar.org
Katherine SnyderWendy OkoloRolf Sommer
Juliet Braslow
30 November 2015
Synthesis Report on Five-Country Institutional Analysis
Produced for the CIAT Scoping Study on Soil Research and Management to Enrich Bilateral German Development Cooperation Programs
Centro Internacional de Agricultura TropicalInternational Center for Tropical AgricultureHeadquarters and Regional Office for Latin AmericaApartado Aéreo 6713Cali, ColombiaPhone: +57 2 4450000Fax: +57 2 4450073Website: www.ciat.cgiar.org
Snyder K; Okolo W; Sommer R; Braslow J. 2015. Synthesis report on five-country institutional analysis - Produced for the CIAT scoping study on soil research and management to enrich bilateral German development cooperation programs. Centro Internacional de Agricultura Tropical (CIAT). Nairobi, Kenya. 8 p.
Authors
Katherine Snyder, Senior Social Scientist – Policy, Institutions and Gender, [email protected]
Wendy Okolo, Gender and Policy Specialist, [email protected]
Rolf Sommer, Senior Scientist – Soil Health and Climate Change, [email protected]
Juliet Braslow, Coordinator of CIAT’s Soils Research Area, [email protected]
About the project
The Scoping Study on Soil Research and Management to Enrich Bilateral German Development Cooperation Programs, conducted by the International Center for Tropical Agriculture (CIAT) and funded by the German Federal Ministry for Economic Cooperation and Development (BMZ) with support from the German Agency for International Cooperation (GIZ-GmbH), aimed to ensure that the current state of the art of soil research is reflected in the Soil Protection and Rehabilitation for Food Security initiative of BMZ/GIZ, and to enrich new GIZ (country) projects with information on how best to revitalize soils and help positioning new efforts within national (institutional) frameworks. This synthesis report reflects institutional analyses of five prioritized countries: Benin, Burkina Faso, Ethiopia, India, and Kenya.
1Scoping Study on Soil Research and Management to Enrich Bilateral German Development Cooperation Programs
IntroductionSustainable agricultural intensification is one of the major issues to meet the growing demand for food in the coming decades (Pretty et al. 2011). Continuous cultivation over generations matched by insufficient nutrient replenishment has been the major driver of soil fertility degradation. Population pressure, smaller farm sizes, and accompanying decline in fallow periods together with climactic factors have exacerbated the problem. Farmers struggle to obtain enough organic matter and nutrients to improve their soils. Loss of soil fertility has caused average yields of grain crops in sub-Saharan Africa to stagnate at around 1.5 tons per hectare since the 1960s, while fertilizer use has remained at around 10 kg/ha of cultivated land over the past 40 years (Stocking 2003; Sommer et al. 2013). Maintaining or rehabilitating soils to increase agricultural productivity is one of the key entry points to tackling hunger worldwide (Gilbert 2012).
In most rural areas of sub-Saharan Africa, soil data is still lacking on farmers’ fields to analyze key soil properties. Soil sampling and analysis is often not well organized and costly, and farmers do not usually have the means to afford such analyses. Governmental advisory services are weak and either do not offer soil analyses, or do not have the capacities to do such analyses at a scale required to make significant impact. On the other hand, farmers have significant and often sophisticated knowledge regarding soil quality in their own fields but lack access to the means to improve their soils. They are constrained from applying new knowledge and techniques by cost, a distrust of the
promoted products, or the perception that ultimately these products will not help their soils. Thus, there are significant institutional challenges surrounding access to knowledge and inputs, but also delivery of quality products.
The purpose of CIAT’s scoping study was to provide research and analysis that will support rollout and implementation of large-scale soil rehabilitation efforts within German bilateral programs and under their global program on “Soils for Food Security.” This program will invest in rehabilitation of degraded soils and support policy development with regard to rehabilitation, soil information, and extension systems in Benin, Burkina Faso, Ethopia, India, and Kenya.
To support this objective, CIAT carried out a variety of studies on issues pertaining to soils and soil fertility. Actions to improve soil management are affected by institutions and the policies and practices that are present both nationally and at lower administrative levels. To understand how institutions and policies both constrain and shape possibilities for change, CIAT carried out institutional analyses in the five prioritized countries. The findings discussed below are a synthesis of these studies. They examine a wide variety of issues, from how soils are or are not included in national agriculture or natural resources policies, how education and training about soil management is carried out in national training institutions, to what facilities exist for testing soils and providing information to farmers. Each country had its own unique set of challenges
Synthesis Report on Five-Country Institutional Analysis2
and opportunities but it was also striking to see the similarities that existed, in particular with regards to fertilizer application and accessibility, institutional divides between ministries of agriculture and ministries of the environment related to soil issues, and general lack of capacity in extension, soil testing, and new approaches to soil management and bottom-up extension.
MethodsResearch for these country studies involved desk analyses of secondary data which reviewed: existing literature on agriculture and institutions within each country; policy, strategy, and implementation documents from ministries of agriculture and environment; and national investment in fertilizer subsidy programs and agricultural and natural resource management programs more generally.
Primary research involved interviews with actors within government ministries, extension services, civil society sector, training institutes, and private sector companies involved in soil testing or fertilizer provision. Every effort was made to gather information on new and innovative services in the government, civil society, and the private sector. Finally, we sought also to understand how much local farmer knowledge on soils was or was not incorporated into research, training, and extension programs.
ResultsPolicy Environment
Policies that address, or have an impact on soil management, are found under ministries of agriculture, ministries of natural resources/environment and sometimes under national growth programs that address poverty and development more broadly. Increasingly, given the recognition of the importance of soils for sustaining agriculture and thus economic growth, special strategies and initiatives are emerging. In India, which leads the way among these countries in innovations around soils, several programs have evolved over the last decade. A National Project on Organic Farming was developed from 2004–2005 under the National Center of Organic Farming. The National Agricultural Policy “Vision 2020” mentions sustainable agriculture and promotes manures, organic
1 For a definition, see e.g. http://bit.ly/1lvvCfI
2 For a brief description, see e.g. Sommer et al. (2013, p. 9).
or bio-fertilizers to optimize efficiency of nutrients. Integrated Nutrient Management (INM), a component in the policy, emphasizes improving: soil testing services; supply and distribution of fertilizers; balanced and optimum use of fertilizers; correcting distortion in relative prices of primary fertilizers; and providing better information on site-specific fertilizer practices.
Burkina Faso, in 1999, launched a National Strategy for Integrated Soil Fertility Management. It has influenced both extension and research and included a focus on existing farmer strategies, such as zai pits1 and half-moon soil conservation structures. The accompanying Action Plan focused on the promotion of soil amendments and the improvement of markets for inputs and outputs.
In Kenya, the Agriculture Act (1998) focuses on issues of land use and soil erosion. While it established parameters of appropriate land use, there is little ability to enforce the act. The Medium-Term Investment Plan focuses on increasing agricultural productivity and promoting sustainable land and natural resources use. Soil improvement is featured in the plan though the focus is primarily on soil erosion and land management. Kenya is currently preparing a national policy on soils.
In Benin and Ethiopia, national agricultural policies address soil issues as they pertain to agricultural productivity. Ethiopia has placed emphasis on increasing soil fertility amendments (chemical fertilizers and compost as key strategies) and reversing soil degradation. The Growth and Transformation Plan has set clear targets for boosting the supply of chemical fertilizers, development of areas under Vertisols,2 treatment of acid soils, massive land rehabilitation and conservation, and expanding soil fertility research.
There is a range of attention to soils in national policies and strategies in these countries, from mention of increasing soil fertility and reducing soil erosion underneath overall agricultural plans to those countries which have dedicated strategies and plans focusing on soil issues. As with all policies, they are important for establishing the parameters of action and supporting initiatives. However, they often do not come along with clear implementation and financing
3Scoping Study on Soil Research and Management to Enrich Bilateral German Development Cooperation Programs
plans. Thus, implementation may remain incomplete. One common finding to all these countries is that soil fertility issues tend to be addressed in ministry of agriculture policies and strategies, while soil erosion falls under environment and natural resources. Opportunities to address both issues together in planning and implementation then are often hampered. For farmers’ livelihoods, soil erosion methods need to be accompanied by practices to increase soil fertility to maximize benefits to their livelihoods.
Levels of Investment
As soil issues most often come under Ministries of Agriculture, it is important to assess how much these countries’ governments are investing in agriculture overall from their national budgets. Adequate finance is clearly critical for any implementation. In Africa, CAADP (Comprehensive Africa Agriculture Development Programme 2010) established 10 % of national budgets as the target for investment. Ethiopia has achieved this level and Burkina Faso with 9 % is very close. In Benin, investment reached 13.6 % in 2012 but dropped to 9.1 % in 2013. India and Kenya’s level of investment hovers around 5 %.
Ethiopia has placed considerable emphasis on agricultural development and its budget reflects this commitment. The government sees agriculture as the driver for industrial development.
5%
20092010
20102011
20112012
20122013
4.1%3.3% 3.2%
Figure 1 Proportion of Kenya’s ARD to national budget. It shows some of the trends in Kenya. Investment has risen in Kenya from the 2012/13 figure.
Source: Adapted from ActionAid (2013).
Figure 2 Proportion of Ethiopia’s expenditure for agriculture to national expenditure.
Source: Adapted from Lowder and Carisma (2011).
5.3% 5.4%
14% 14.2%12.1%
17%18.8%
2002 2003 2004 2005 2006 2007 2008
Within the overall agriculture budgets, governments then have to make choices about allocation, from funding extension, fertilizer subsidies, training, marketing, and infrastructure development.
Fertilizer
The degree to which fertilizers are subsidized in the five countries varies. Generally, subsidies tend to support nitrogen (N) fertilizer. Even though this often is perceived as a “quick fix,” application of mineral N fertilizer only is highly unsustainable as it triggers an increased uptake of other nutrients (not applied as fertilizer) and thus promotes an even faster deterioration of soil fertility. In Burkina, the government currently allocates a budget for the purchase of fertilizers, which are sold to small farmers at 40% of the actual cost. Ethiopia asserts that it has ended fertilizer subsidies, but the government continues to be the main provider of fertilizer to farmers and offers them on credit at low to no interest. Nitrogen fertilizer use, perhaps as a consequence, has grown significantly over the years (Figure 3). While this credit scheme has helped farmers, it has also led to the withdrawal of private suppliers from the market as they are unable to compete with the government programs. Also, problems with timing and distribution of these inputs remain.
Synthesis Report on Five-Country Institutional Analysis4
2002 20020 0
505
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2004 20042006 20062008 20082010 20102012 20122014 2014
Ethiopia EthiopiaMalawi MalawiKenya Kenya
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Fertilizer consumption in Benin and Burkina is even lower than in Ethiopia, Kenya, and Malawi (Figure 4), and most fertilizer is directed towards the cash crop sector, and in particular cotton. In Burkina Faso, it is estimated that up to 80% goes to the cotton sector, with cotton farmers likely diverting a portion to food
Figure 3 Left: Consumption of nitrogen in the form of mineral fertilizer (1000 tons) in Kenya, Ethiopia, and Malawi.Right: Consumption of kg of nitrogen per agricultural area (kg/ha).
Source: FAOSTAT (2015).
Figure 4 Left: Consumption of nitrogen in the form of mineral fertilizer (1000 tons) in Benin and Burkina Faso.Right: Consumption of kg of nitrogen per agricultural area (kg/ha).
Source: FAOSTAT (2015).
crops (AGRA 2014). In Benin, only cotton farmers receive fertilizer subsidies (they buy at a 41% reduced price), but they sometimes sell what they obtain to other farmers. In India, the fertilizer industry is the recipient of subsidies, not the farmers. There is a move to extend subsidies to farmers through direct cash transfers.
2002 2002
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5Scoping Study on Soil Research and Management to Enrich Bilateral German Development Cooperation Programs
While subsidizing fertilizer is often critical for making it accessible to poor farmers in particular, the subsidies have their negative side effects. With structural adjustment, when pressure was applied to remove state support for social and other services and to thus encourage the private sector, many traders and businesses moved into the space. Many, as in Ethiopia, did not survive. With this increase in private sector participation, there was often not an increase in ensuring quality control, and there are significant issues in all countries with the quality of the fertilizer on the market.
Another effect of fertilizer subsidies is the overemphasis on nitrogen fertilizer, which may actually work against increased agricultural production in some sites. Lack of fertilizer diversity more generally is a problem throughout. Additionally, there is a sideline market in subsidized fertilizers in some countries – either selling it across borders for higher prices or diverting it to other industries such as in India, where urea is redirected to various industrial and commercial applications.
Extension
Providing adequate extension services, and, in particular, integrating appropriate knowledge on soil management, is a serious challenge to all the countries in the study. Training for extension officers comes from a variety of institutions. National universities, regional training institutes and short courses and workshops all provide curricula on agriculture and on soils topics. The training that extension officers are exposed to covers a very broad range of topics in agronomy, and soils courses tend to focus more on soil chemistry and perhaps on soil management practices. In all, there are widespread shortages of extension personnel but even more a dearth of technical staff and people trained in soils specifically. Ethiopia leads the countries surveyed with 1 extension officer per 400 farmers. Burkina has 1 officer per village; Kenya, 1 agent per 2000 farmers; and Benin, 1 per 500 farmers. India reports 1 extension agent per 1000 farmers but, in a national survey, 59% of respondents reported that they had received no support from extension. Overall, even within the countries with higher numbers of extension agents, there are challenges to technical capacity, ability to keep up with new knowledge, and a lack of incentive to stay within the system due to poor salaries and support. Thus, there is often continual turnover in extension services.
Training and Knowledge Dissemination
Training in soils is variable across the countries, but in general there is more attention paid to soil chemistry than soil biology and, while some countries do have modules on integrated soil fertility management, this is a relatively new aspect of the training and not widespread. Most countries, with the exception of Burkina Faso, do not incorporate farmer knowledge and experience in their curriculum. Training in bottom-up and demand-driven approaches to extension is also rare, though these approaches often feature in policy.
Soil testing labs have attracted greater interest in all five countries, though the investment in these labs is considerably variable. India and Kenya have the most developed soil testing facilities, both public and private. While India and Kenya may have more soil testing facilities available, there is still an issue with variation in quality and technical capacity of technicians across these labs. In both countries, more labs and soil testing innovations are emerging in the private sector. Innovations in soil testing and services will be discussed further below.
Services and Innovation
While the institutional challenges to improving soil management are myriad and significant in the countries under study, there are signs of innovation, both at policy level and in providing better services, either through government or through the private sector. There is also increasingly greater attention to going beyond chemical fertilizers when addressing soil fertility.
In India, The Rashtriya Krishi Vikas Yojana (RKVY) project, launched in 2008, provides funds for establishing fertilizer and soil testing labs, preparation of soil fertility maps and a soil fertility index. The National Mission of Sustainable Agriculture (2014–2015) has also focused on setting up soil testing labs and establishing a data bank on site-specific balanced use of fertilizer. India has developed an innovative soil card system called Soil Health Card (SHC) (2015–16) for farmers. SHCs will provide details of major nutrients, secondary nutrients, micronutrients, physical parameters along with advisory on corrective measures. The government has planned to issue SHCs to all farmers in 15 states in 100 districts that consume 50% of total fertilizers in the country.
Synthesis Report on Five-Country Institutional Analysis6
In Ethiopia, the Agricultural Transformation Agency (ATA) has launched the Ethiopian Soil Information System (EthioSIS) to overcome the lack of data on soils and provide a database to make accurate soil information available to users. It is hoped that this will lead to more site-specific fertilizer application. Ethiopia is also establishing five fertilizer blending plants around the country to address the problem of blanket application of the same fertilizer package without regard for site and crop characteristics.
In Kenya, in addition to higher quality private sector initiatives for soil testing, SAFARICOM, a mobile phone
provider is linking with the Ministry of Agriculture to provide an E-Fertilizer Subsidy, an electronic platform used to distribute fertilizer to farmers. Farmers are expected to receive electronic vouchers on their cell phones and redeem them at appointed stocklist providers at a discounted rate. The NGO One Acre Fund is providing access to fertilizer and improved seeds through credit (Figure 5).
In Burkina Faso, access to credit is being addressed by the Warrantage system formed by farmers and microfinance institutions.
Innovation
NGO Extension & FertlizerKenya, Rwanda, Burundi,
Tanzania
Figure 5 Visual summary of innovations across the five countries.
PUBLIC Soil InformationEthioSIS-Ethiopian Soil Information SystemPUBLIC FertilizerEthiopia Fertilizer Blending PlantInitiative Matches Inputs and Soil
PUBLIC PolicyKenya Soil Management
PolicyPUBLIC SubsidyKenya E-Fertilizer
subsidy with SafaricomPRIVATE Soil
informationSoil Cares, Kenya
PUBLIC/PRIVATE FinanceBurkina Faso Warrantage microfinance scheme
PUBLIC FertilizerBenin CAIA–
CentralPruchasing
PUBLIC Soil InformationIndia - Soil Health Cards
PUBLIC InvestmentIndia National Project on
Organic AgricultureIndia National Mission on
Sustainable Agriculture
7Scoping Study on Soil Research and Management to Enrich Bilateral German Development Cooperation Programs
to get beyond blanket recommendations for fertilizer applications through creating new fertilizer mixing plants and through the launching of EthioSIS are moves in a positive direction.
All countries would benefit from improving access to low-interest credit for farmers, so they can better invest in their soils. Knowledge dissemination is also a bottleneck but open to innovations through media such as mobile phones, radio, and TV. Curricula improvement could also improve the skills of extension and other experts. With the new emphasis on bottom-up, demand-driven extension, some simple courses on how to better approach community engagement and farm planning could make a difference.
Soil testing labs remain to be far too few and understaffed, but new initiatives such as mobile testing labs found in India and in Africa through Soil Cares are important improvements. There remains the issue of making these innovations more accessible to poorer more remote farmers, as well as to come up with recommendations that do not only make sense from a mere standpoint of maintaining soil fertility, but also are attractive and affordable to farmers. One way to address this might also be to improve linkages between NGOs, government, and the private sector to collaborate in the spread of new initiatives.
While the challenges that remain are significant, there are positive signs of change that demonstrate that soil fertility and soil management are now recognized as critical to sustaining economies in the developing world.
ConclusionsAll the countries in this study face common challenges of land degradation, low soil fertility, low organic matter in soils, nutrient and micro-nutrient deficiencies, lack of coordination across sectors and ministries that address land management, and a chronic shortage of trained personnel. There are signs that greater collaboration and coordination are beginning across agricultural and natural resources sectors and institutions, but there are still significant institutional challenges to overcome.
Increasingly, there is more attention to soils in national policies and in national initiatives. Burkina Faso has a National Strategy for Integrated Soil Fertility Management (ISFM), India has a National Project on the Management of Soil Health and Fertility, and Kenya is in the process of drafting a national policy on soils. This policy environment opens the door for increased attention to soils and new innovations.
The legacy of structural adjustment, in both economic and political liberalization, has created some unique challenges as well. While the private sector, in countries such as India and Kenya, is far more active in agriculture than it was when the State provided most of the support services and access to inputs, problems of quality and high prices and incomplete national coverage due to transport and other constraints remain. In Ethiopia and Burkina, on the other hand, the private sector remains small and underdeveloped.
While the institutional challenges are significant, there are still many opportunities and initiatives that suggest a positive way forward. The SHCs in India might be an example other countries could adopt. Ethiopia’s efforts
Synthesis Report on Five-Country Institutional Analysis8
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