Tóm Tắt Tiếng Anh Đánh Giá Tính Khả Thi Các Yêu Cầu Của Chuẩn Srp Trong Canh Tác Lúa Ở Đồng Bằng Sông Cửu Long.pdf

MINISTRY OF EDUCATION AND TRAINING CAN THO UNIVERSITY SUMMARY OF DOCTORAL THESIS Specialization: Rural Development Code: 9620116 BUI CHUC LY EVALUATING THE FEASIBILITY OF SRP STANDA

MINISTRY OF EDUCATION AND TRAINING

CAN THO UNIVERSITY

SUMMARY OF DOCTORAL THESIS

Specialization: Rural Development

Code: 9620116

BUI CHUC LY

EVALUATING THE FEASIBILITY OF SRP STANDARD REQUIREMENTS IN RICE CULTIVATION IN THE MEKONG DELTA

Can Tho, 2025

THE RESEARCH WAS CONDUCTED AT

CAN THO UNIVERSITY

Primary Supervisor: Dr Nguyen Hong Tin

Co-Supervisor: Dr Vu Anh Phap

The Thesis has been defended before the specialized doctoral Thesis examination council

Meeting location: Doctoral Thesis Defense Room –

Administrative Building, Zone II – Can Tho University Time: 2:00 pm, November 12th , 2024

Reviewer 1: Assoc Prof Dr Truong Van Tuyen

Reviewer 2: Assoc Prof Dr Nguyen Thi Thanh Xuan

The Thesis is available at:

Learning Resource Center, Can Tho University

National Library of Vietnam

1.2.2 Specific Objectives

- Assess the current level of adoption (or compliance) with the SRP standard requirements to identify the advantages and challenges faced by farmers

- Evaluate the conformity of the SRP standard for rice farming in the Mekong Delta

- Analyze the factors influencingthe level of the adoption

of the SRP standard in rice cultivation and propose solutions to scale up its implementation

1.3 New Contributions of the Thesis

- Scientific Significance

The thesis makes scientific contributions to the field of rural development by elucidating the theoretical foundations of farmers’ capacity to adopt and apply cultivation techniques in accordance with the SRP standard In addition, it provides detailed assessments of the relevance and limitations of each SRP requirement - an area not previously addressed in existing studies These insights serve as a scientific basis for proposing appropriate adjustments to the SRP standard to support sustainable rice production in the Mekong Delta The research findings offer compelling evidence of Vietnam’s agricultural transformation towards green development, thereby contributing to the achievement of the Net Zero emissions target

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- Practical Significance

This Thesis is the first comprehensive study to evaluate the adoption of the SRP standard from various perspectives, including policy, market conditions, and farmers' capabilities

As such, it makes significant contributions to the feasibility of the SRP standard in rice cultivation, providing a valuable scientific reference to help policymakers address the question

of whether the SRP standard is suitable for application in rice production in the Mekong Delta Additionally, through the use

of linear regression models and the ADOPT tool, the research identifies several key factors influencing the adoption and scaling-up of the SRP standard These findings offer a solid basis for policymakers to develop suitable solutions to promote sustainable rice production in the Mekong Delta

CHAPTER 2 LITERATURE REVIEW 2.1 Rice production in the Mekong Delta

The Mekong Delta (MD) is a region with significant advantages and suitability for rice production Thanks to favorable weather conditions and improvements in irrigation systems for production, the rice cultivation area in the MD has remained stable at over 3.9 million hectares over 20 years, with

an annual output exceeding 7 million tons This accounts for more than 50% of the country's total rice cultivation area and production

Rice production in the MD not only contributes to ensuring national food security and providing supplies for export but also generates jobs and income for over 1.5 million farming households However, rice production in the MD is facing numerous challenges, such as the impacts of climate change and the shortage of freshwater from the Mekong River Additionally, the low efficiency of the rice value chain is a major obstacle to the sustainable development of this key rice-growing region (Ministry of Agriculture and Rural Development, 2022a) Given its role and influence not only within the rice supply chain but also in ensuring the livelihoods

of many rural households, rice cultivation in the MD needs to

1.2.2 Specific Objectives

- Assess the current level of adoption (or compliance) with the SRP standard requirements to identify the advantages and challenges faced by farmers

- Evaluate the conformity of the SRP standard for rice farming in the Mekong Delta

- Analyze the factors influencingthe level of the adoption

of the SRP standard in rice cultivation and propose solutions to scale up its implementation

1.3 New Contributions of the Thesis

- Scientific Significance

The thesis makes scientific contributions to the field of rural development by elucidating the theoretical foundations of farmers’ capacity to adopt and apply cultivation techniques in accordance with the SRP standard In addition, it provides detailed assessments of the relevance and limitations of each SRP requirement - an area not previously addressed in existing studies These insights serve as a scientific basis for proposing appropriate adjustments to the SRP standard to support sustainable rice production in the Mekong Delta The research findings offer compelling evidence of Vietnam’s agricultural transformation towards green development, thereby contributing to the achievement of the Net Zero emissions target

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- Practical Significance

This Thesis is the first comprehensive study to evaluate the adoption of the SRP standard from various perspectives, including policy, market conditions, and farmers' capabilities

As such, it makes significant contributions to the feasibility of the SRP standard in rice cultivation, providing a valuable scientific reference to help policymakers address the question

of whether the SRP standard is suitable for application in rice production in the Mekong Delta Additionally, through the use

of linear regression models and the ADOPT tool, the research identifies several key factors influencing the adoption and scaling-up of the SRP standard These findings offer a solid basis for policymakers to develop suitable solutions to promote sustainable rice production in the Mekong Delta

CHAPTER 2 LITERATURE REVIEW 2.1 Rice production in the Mekong Delta

The Mekong Delta (MD) is a region with significant advantages and suitability for rice production Thanks to favorable weather conditions and improvements in irrigation systems for production, the rice cultivation area in the MD has remained stable at over 3.9 million hectares over 20 years, with

an annual output exceeding 7 million tons This accounts for more than 50% of the country's total rice cultivation area and production

Rice production in the MD not only contributes to ensuring national food security and providing supplies for export but also generates jobs and income for over 1.5 million farming households However, rice production in the MD is facing numerous challenges, such as the impacts of climate change and the shortage of freshwater from the Mekong River Additionally, the low efficiency of the rice value chain is a major obstacle to the sustainable development of this key rice-growing region (Ministry of Agriculture and Rural Development, 2022a) Given its role and influence not only within the rice supply chain but also in ensuring the livelihoods

of many rural households, rice cultivation in the MD needs to

2000 – The reform (Đổi Mới) period; (4) 2001-2010 – Maximizing productivity and output; (5) 2010-2020 –Transitioning from quantity to quality; 2020-present –Adapting

to climate change and promoting low-emission practices Throughout history, Vietnam's rice industry in general, and the Mekong Delta in particular, has not only been established for a long time but has also undergone numerous challenges and transformations across different stages of development Overall, the development of rice production in the Mekong Delta has been heavily influenced and regulated by the state The trends in rice production have been shaped by government policies, along with programs aimed at promoting production, introduced to support and adapt production purposes based on each developmental stage This has also guided the cultivation techniques that have been widely developed across the country, particularly in the Mekong Delta

2.3 Technical Advances in Rice Cultivation in Vietnam

The initial technical advances stemmed from the achievements of the "Green Revolution," introducing high-yield improved rice varieties Subsequently, effective rice production techniques have been developed, encouraged, and widely applied, such as Integrated Pest Management (IPM), System of Rice Intensification (SRI), the "Three Reductions, Three Gains" (3R3G), "One Must, Five Reductions" (1M5R),

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and sustainable production standards like VietGAP, organic farming, and SRP (Sustainable Rice Platform) (Ministry of Agriculture and Rural Development, 2021) While the SRI is often applied in the Central and Northern regions (Gorman, 2008), the IPM, 3R3G, 1M5R techniques, and VietGAP, organic, and SRP standard have been promoted for adoption in the Mekong Delta

2.4 The SRP standard for sustainable rice cultivation

The Sustainable Rice Platform (SRP) Standard, referred

to as the SRP Standard, was introduced by the Sustainable Rice Platform – a global multi-stakeholder alliance comprising over

100 institutional members from the public and private sectors, research institutions, financial organizations, and non-governmental organizations The SRP Standard serves as a regulatory framework that provides a foundation for implementing sustainable rice production across the supply chain This standard is designed as a user-friendly and comprehensive tool to help practitioners promote the widespread adoption of sustainable and climate-smart farming practices among smallholder farmers

The SRP standard comprises 41 requirements structured under eight themes, including: (1) Farm management, (2) Preplanting, (3) Water use, (4) Nutrient management (5) Integrated pest management, (6) Harvest and Postharvest, (7) Health and Safety, and (8) Labor rights (SRP, 2020)

The Standard allows for step-wise compliance to encourage and reward progress toward full compliance All requirements have several possible levels of compliance These different levels of compliance guides the improvement process and provides recognition of each improvement step with a higher score.Each level of compliance corresponds to a number

of points The highest compliance level in most requirements scores 3 points Most requirements have additional intermediate compliance levels with 2 points or 1 point All requirements have made explicit the lowest level of compliance, scoring zero points.However, there are also a few other exceptions

The level of farmers' adoption is assessed based on the score they achieve and is calculated on a scale of 0–100

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The SRP name and logo are registered trademarks and any use, such as a claim referring to the SRP Standard, needs to comply fully with the relevant provisions set out in the SRP Assurance Scheme and SRP Communication and Claims Guidelines.There are two levels of disclosure as follows:

- Working toward sustainable rice cultivation: Score at least 33 points on the 1-100 scale and meet the essential compliance level (threshold) for requirements 4,18.1-18.5, 23,

29, 33, 34, 35, and 36 (if requirements are applicable)

- Sustainably cultivated rice: Score at least 90 points on the 1-100 scale and Meet the essential compliance level (threshold) for all applicable requirements

2.5 Current status of SRP standard application

After more than 10 years of development, the Sustainable Rice Platform (SRP) has implemented 24 projects involving over 423,106 farmers in 19 countries worldwide (SRP, 2021) However, evaluation studies on the feasibility of applying SRP standard remain quite limited

In Vietnam, the SRP standard have been promoted in the Mekong Delta through the Market-Oriented Smallholder Value Chain Project (Better Rice Initiative Asia – BRIA II), operated

by the Ministry of Agriculture and Rural Development with funding from GIZ and Olam Group

The Mekong Delta region has recorded over 13.4 thousand farmers trained in SRP; among them, approximately 5.7 thousand farmers have applied the practices after the training (Ministry of Agriculture and Rural Development, 2022b) This is the basic data source for assessing the application of SRP standard in the Mekong Delta

2.6 Theories on the adoption and diffusion of innovation

The theory of the adoption and diffusion of innovation first introduced by Everett Rogers, has had a profound influence and remains a foundation for analyzing technological change in agriculture in developing countries The innovation-decision process comprises five stages: (1) Knowledge, (2) Persuasion,

It is shaped by the value systems, rules, and knowledge utilized

by the decision-maker A supportive context can facilitate decision-making, whereas an unfavorable one may hinder it The "Values-Rules-Knowledge" analytical framework

proposed by Gorddard et al (2016) aims to: (1) Identify and

describe critical aspects of the decision context, (2) Analyze how the decision context affects decision-making, and (3) Develop strategies to influence the decision context

Another comprehensive theory that distinctly separates the stages of knowledge creation and knowledge dissemination while emphasizing their interrelated cycles is the Knowledge-to-Action (KTA) framework Developed by Graham and

colleagues in the 2000s (Graham et al., 2006) the KTA

framework has been applied in 32 different studies across health

and agriculture sectors (Field et al., 2014; Sae-heng et al.,

of new techniques by rice farmers have identified four main groups of factors: characteristics of the household head, socio-economic characteristics of household, characteristics of the new technique, and external support conditions Understanding these factors and their impacts helps identify potential areas and propose appropriate solutions to scale up advanced rice farming techniques, including SRP standard

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CHAPTER 3 METHODOLOGY 3.1 Study approaches

This study employs two approaches: the systems approach and Participatory Rural Appraisal (PRA)

The systems approach in this study is reflected through a multidimensional analysis based on various theories and analytical frameworks to examine different aspects of applying SRP standard to rice cultivation in the Mekong Delta Specifically, the "Values-Rules-Knowledge" framework by

Gorddard et al (2016) evaluates SRP standard across three

dimensions: compliance with policy regulations, the capacity and knowledge of farming households, and the values or benefits of the standard Furthermore, for broader adoption, the standard need to be assessed for their compatibility with local production conditions This is a critical stage emphasized in the Knowledge-to-Action (KTA) framework by Graham et al (2006) Finally, Rogers' (1995) theory of the diffusion of innovations is applied to identify the factors influencing farmers' adoption decisions

PRA tools are used to gather information from farming households and other stakeholders, such as local experts, and businesses, to create a comprehensive picture of the potential for scaling up SRP standard adoption in rice production

3.2 Analytical Framework

Based on theoretical and practical analysis, along with the selected research approach, the analytical framework of the Thesis is illustrated in Figure 3.1

The feasibility of applying SRP standard is examined through three dimensions: (1) The level of SRP standard adoption, (2) The compatibility of SRP standard requirements, and (3) Factors influencing the adoption and scalability of SRP standard Based on the analysis of these three dimensions, the study will assess the feasibility of applying SRP standard in rice cultivation and propose appropriate solutions to promote the broader adoption of SRP standard, utilizing a SWOT analysis

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RESEARCH ON THE FEASIBILITY OF SRP STANDARD APPICATION

The compliance level of

SRP standard

The compatibility of SRP standard

Factors influencing the adoption and scalability of SRP standard

Compatibility with production conditions

Analyze each requirement to identify which are compatible and which are not

Compatibility with Policies

Development orientation of the rice sector towards SRP rice

Compatibil ity with the Market

- Consumer demand;

- SRP rice business market

Factors affecting the compliance level

The impact of Socio-economic factors of farm households on the SRP adoption

Scalability

Predicting the extent and timeline for scaling up the adoption of SRP standard

Compliance level of SRP standard

Determine the scores and SRP disclosure

Assess the feasibility of SRP standard adoption;

Propose solutions to scale up SRP standard

- Determine the level of adoption

- Advantages and challenges in production

- Determine scalability

- Facilitating factors and barriers

Figure 3.1 Research frameword

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3.3 Study site selection

Due to research subjects being farmers who have adopted SRP standard, the research areas must be provinces that have previously participated in SRP standard adoption Additionally, priority is given to provinces with large rice cultivation areas, specializing in rice production, and showing interest in promoting sustainable rice production for export Based on these criteria, combined with consultations with local experts, four districts were selected as research sites: Thoai Son and Tri Ton in An Giang Province, and Cao Lanh and Thap Muoi in Đong Thap

3.4 Primary Data Collection

The study uses the Participatory Rural Appraisal (PRA) toolset to collect information (Nguyen Duy Can and Nico Vromant, 2009) Data is gathered through direct interviews using semi-structured questionnaires, focus group discussions, expert consultation meetings, and interviews with businesses The number

of interviews and group discussions is presented in Table 3.1 Table 3.1 Primary data collection

Province

An Giang

Đong Thap

1 Farmer interview People 200 101 99

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about the current rice cultivation situation, characteristics of farmers such as age, education level, experience, and the status of rice production activities in the research area

- SRP score and claim level

Phương pháp chấm điểm và công bố mức độ áp dụng tiêu chuẩn SRP được thực hiện theo hướng dẫn của tiêu chuẩn SRP phiên bản 2.1 The scoring method and reporting the level of SRP standard adoption are conducted according to the guidelines of the SRP standard version 2.1

For the scoring method: Points are given for each requirement of the SRP standard The total score is presented on a scale of 0 to 100 This score is based on the total points a farmer achieves, divided by the maximum possible score, and multiplied

- T-test

To demonstrate the financial effectiveness of adhering to SRP standard, financial performance indicators such as total cost, yield, sale price, revenue, and profit are compared between two pairs of farmer groups: (1) farmers achieving sustainably cultivated rice and farmers achieving working toward sustainable rice cultivation, and (2) farmers achieving sustainably cultivated rice and those not meeting SRP standard

- One-Way ANOVA Analysis of Costs and Financial

Effectiveness

Analysis of Variance (ANOVA) is used to test the differences in cost items and financial effectiveness between three different rice crop seasons

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Financial Performance Indicators

The indicators used to analyze, evaluate, and compare the financial effectiveness of rice production between 3 seasons, including:

Total cost/ha = Material cost/ha + Rental cost/ha Total revenue/ha = Yield/ha * Sale price of rice Profit/ha = Total revenue – Total cost

- Multiple linear regression model

To investigate the factors influencing the adherence level to SRP standard, a linear regression model was employed The model is expressed as following equation:

β: regression coefficient, and

e: signifying the error term

- Predicting the scalability of SRP standard using ADOPT

To predict the potential for scaling up the adoption of SRP standard, the ADOPT tool (Adoption and Diffusion Outcome Prediction Tool) is used in the study

- SWOT Analysis

SWOT analysis is applied to identify the strengths, weaknesses, opportunities, and challenges for scaling up SRP standard in the research area, in order to find appropriate solutions for expanding SRP adoption

CHAPTER 4 RESULTS VÀ DISCUSSION 4.1 Current status of SRP standard adoption, advantages, and disadvantages in rice cultivation by farm households

4.1.1 Characteristics of the rice production area and social – economic characteristics of household

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- Characteristics of the rice production area

Study sites are the key rice production areas located in the sweet alluvial region, with a favorable system of canals, fresh water available year-round, and good irrigation water management, making it suitable for triple-cropping rice The rice seasons in the research area, across both An Giang and Đong Thap provinces, are Winter-Spring, Summer-Autumn, and Autumn-Winter

Since rice is cultivated in three seasons, the varieties grown

in all three seasons are short-day varieties, with the most common being OM18, Đài Thơm 8, and OM5451 The use of certified rice varieties by farmers is quite high, averaging 95% or more in all three seasons The average sowing density is between 143 kg/ha and 144 kg/ha Farmers practice alternative wet and dry, with the number of water pumping sessions ranging from 5 to 7 times per season All farmers use chemical fertilizers, with very few using organic fertilizers for rice The amount of nitrogen fertilizer used ranges from 104 kg/ha to 105 kg/ha, phosphorus from 61 kg/ha to

63 kg/ha, and potassium from 50 kg/ha to 53 kg/ha

- Social – economic characteristics of household

The average age of rice farmers is quite high, at 53 years, with over 21% of farmers being over retirement age (60 years old) Farmers have a rich experience in rice production, with over 99% having more than 5 years of growing rice Most of the farmers have education levels of primary school (34%) and secondary school (47%) Each household has between 4 to 5 members, with an average of more than 2 workers per hectare of rice production About 68% of households participate in cooperatives

4.1.2 SRP compliance Level of Farmers

The results of the SRP score evaluation for 200 farmers in the research area show that the average score achieved by farmers

is 84.7, with the highest score being 96 and the lowest score being

70 (Figure 4.1a) These scores are higher than previous studies conducted in Thailand (ranging from 53 to 81 points) (Mungkung

et al., 2022) and some East African countries such as Rwanda (69 points), Uganda (63 points), Burundi (61 points), Kenya (54 points), and Madagascar (45 points) (Andriatsiorimanana et al., 2023) This indicates that the adoption of SRP standard in the

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Mekong Delta is more feasible and favorable compared to many rice-producing countries around the world

The scoring results also show that no farmer scored below

33 points, which aligns with the findings of Hoàng Minh Huy & Hoàng Vũ Quan (2019) However, 22.5% of farmers have not met the SRP standard declarations due to failing to achieve the threshold Among the 77.5% of farmers who met the SRP standard declarations, 70.5% achieved the claim of working toward sustainable rice cultivation, while 7% achieved the claim of sustainably cultivated rice (Figure 4.1b)

These results show that, although the average score is relatively high, the proportion of farmers achieving the level of sustainably cultivated rice remains very low Therefore, further efforts are needed to improve compliance conditions and promote greater compliance

Figure 4.1 a SRP scores of farm households;

b Proportion of farmers achieving the claim levels under SRP standard

To identify areas that need improvement, the compliance level with SRP standard was evaluated across specific thematic groups A compliance score of 90 was used as the benchmark for comparison, as this is the minimum level required to achieve sustainable production Scores were calculated as the ratio between the farmers' scores and the maximum possible score for each theme (or requirement) The consolidated results show that farmers' compliance levels vary across different themes (Figure 4.2) Among the 8 themes, the three themes of "pre-planting," "water use," and "labor rights" achieved sustainable compliance, with

84,7

96 70

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average scores of 95.7, 94.4, and 99.8, respectively The remaining five themes—"farm management," "nutrient management," "pest management," "harvest and post-harvest," and "health and safety"—only achieved scores ranging from 70.7 to 82.8 These are the areas that require further attention and improvement to progress toward sustainable production

1 Hình 4.2 The level score by Themes

To evaluate the financial efficiency of applying SRP standard, the study compared the financial performance across different levels of compliance, including the financial efficiency of farmers achieving sustainably cultivated rice versus those working toward sustainable rice cultivation, as well as farmers achieving sustainably cultivated rice versus those not meeting SRP standard The analysis results revealed significant differences in yield, selling price, revenue, and profit among the groups of farmers with varying levels of compliance, regardless of the production season Notably, farmers achieving sustainably cultivated rice consistently attained higher financial efficiency compared to those working toward sustainable rice cultivation and those not meeting SRP standard This serves as a motivating factor for farmers to adopt SRP standard

4.1.3 Advantages and disadvantages

4.1.3.1 Advantages

Farmers receive considerable attention and support from the Market-oriented smallholder value chain project

70,7 95,7 94,4 72,7 70,7 82,8 79,1 99,8

0 20 40 60 80 100 Farm management

Pre-planting

Water use

Nutrient management

Pest management

Harvest and post-harvest

Health and safety

Labor rights

SRP score

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Farmers have many opportunities to exchange and share experiences with one another while participating in the practice of SRP (Sustainable Rice Platform) standard

Favorable rice production conditions make it easier for farmers to adopt SRP standard in their practices

Farmers are well experienced in rice production and have previously been exposed to cultivation techniques such as 3G3T (three reductions, three gains) and 1P5G (one must, five reductions) through training sessions organized by local agricultural extension programs This familiarity is an advantage when applying SRP standard

More importantly, the higher the level of compliance with SRP standard, the greater the financial benefits for farmers This is

a key factor motivating farmers to adopt SRP standard

4.1.3.2 Disadvantages

Besides the advantages, applying SRP standard also poses numerous difficulties and challenges Interviews with farming households revealed six main disadvantages affecting the adoption

of SRP standard Among these, the complexity of SRP standard emerged as the most significant challenge, identified by the majority of farmers (66.9%) Specific requirements—such as keeping farming records, reducing the use of seeds, fertilizers, and pesticides, refraining from burning straw, or wearing protective equipment when spraying—were considered very difficult to comply with

Approximately 22.8% of farmers noted that they were reluctant to adopt SRP standard because the yield and selling price

of SRP-compliant rice showed no noticeable difference compared

to conventional rice Another challenge, cited by 16.7% of farmers,

is the high and volatile cost of input materials, particularly fertilizers, which complicates the adoption of new production techniques Other issues, such as weather impacts, difficulty in changing traditional farming habits, and additional challenges, were mentioned by less than 15% of the farmers surveyed

4.2 Assessing the Conformity of SRP Standard

4.2.1 Conformity of SRP Standard Requirements in Production