1. A Holistic Sustainability Assessment of Tea Farms in Southern India with RISE_1.0 (Response Inducing Sustainability Evaluation) Contacts: Fritz.Haeni@shl.bfh.ch

2. The Great Wall is a symbol of human achievement and longevity. Any construction is considered sustainable, if it helps to support the whole society, is economically viable and respects nature. But its lengthy existence does not prove that it is sustainable nor that its construction was meaningful. Sustainability

3. “Sustainable development allows a life in dignity for the present without compromising a life in dignity for future generations or threaten the natural environment and endangering the global ecosystem.” Based on the Definition by the Brundtland Commission (UNCED 1987 and Cornerstone in Rio 1992), but with three more aspects: + Human Dignity, Natural Environment, Global Ecosystem

4. Model approach Methodology to calculate the degree of sustainability

5. What is Sustainable Agriculture? (SAI-Platform 2003, modified) “It adopts productive, competitive and efficient production practices, while protecting and improving the natural environment and the global ecosystem, as well as the socio- economic conditions of local communities in conformity with human dignity”

6. Assessment and Analysis economy ecology RISE socio-cultural aspects

7. Feedback to farmer economy ecology RISE socio-cultural aspects action "response-inducing" = triggering improvement

8. Feedback to farmer Identification of potentials and weaknesses  pin-pointing of intervention points 12 indicators: Energy Water Soil Biodiversity Emission potential (N&P) Crop protection Waste Economic stability Economic efficiency Local economy Working conditions Social security Natural resources Management Economy Social situation

9. Feedback to farmer Identification of potentials and weaknesses  pin-pointing of intervention points 12 indicators for each indicator: various „state“ and „driving force“ parameters e.g.Indicator „N&P Emission potential“: SP1: N & P balance by production & demand SP2: Manure storage and application method SP2a: Manure storage SP2b: Application method DFP1:N & P from organic and inorganic fertilizers (imports / exports)

10. Feedback to farmer Identification of potentials and weaknesses  pin-pointing of intervention points 12 indicators for each indicator: various „state“ and „driving force“ parameters orIndicator „Social security“: DP1: Potentially payable salary DP2: Farm succession plan DP3: Legality and documentation of employment DP3a:Residence permit status of employees DP3b:Employment contract DP3c:Working permit orIndicator „Social security“: SP1: Social security: -Insurances (retirement, unemployment, health, accident and disability) -Protection from dismissal in case of sickness, accident or maternity) SP2:Means of subsistence

11. Feedback to farmer Identification of potentials and weaknesses  pin-pointing of intervention points Indicator  Biodiversity Parameter Value SP1:Farming system 16 DP1:Proportion of intensely used farm land58 DP2:Plot size 52 DP3:Weed control 10 Degree of Sustainability DS = S - D = 16 - 40 = -24 Response Less intensly used fields & smaller or devided plots Example:

12. Feedback to farmer Identification of potentials and weaknesses  pin-pointing of intervention points 12 indicators for each indicator: various „state“ and „driving force“ parameters the Degree of Sustainability is calcultated as DS = „state“ - „driving force“ ( = S – DF )

13. Benchmarking over time and/or among peers economy ecology RISE socio-cultural aspects time 2000200220042006  single farm assessment

14. Benchmarking over time and/or among peers economy ecology RISE socio-cultural aspects

15. Benchmarking over time and/or among peers  multiple farms assessment

16. Use of RISE Assessments of individual farms Farm Managers  direct improvements on the farm Development projects  identification of key problems and intervention points Research, Extension & Monitoring Institutions  diagnosis, sector comparison, intervention planning, … e.g.

17. Use of RISE Assessments of groups of farms (=Evaluation at higher level) Development projects  identify key problems and intervention points Processing Industry  identify bottlenecks re raw material supply and quality Policy makers, NGOs, interest groups  PR, priority setting and policy development, … Research, Extension & Monitoring Institutions  diagnosis, sector comparison, intervention planning, …

18. Map of India

20.  The 13 selected and assessed tea farms have a size of 3 – 63 ha  Big tea estates with a size of more than 400 ha were not evaluated The study region Tea growing region receives an annual precipitation of 1750 mm The Nilgiris, Tamil Nadu:

21. Sustainability polygon Figure: Synthesis of the RISE – sustainability polygon for the assessed tea farms in using the average for each indicator for all 13 farms

22. Variation of the 12 indicators Figure: Variation of the 12 indicators as calculated by the model RISE 1.0 for 13 tea farms in India

23. Social situation

24. Social security Salaries below the minimum living wage Figure 2: RISE -polygon of a specific farm with a minimum salary of 1600$ US Figure 3: RISE -polygon of a specific farm with a minimum salary of 266$ US Figure 1: RISE -polygon of a specific farm with the minimum salary of 800$ US that is calculated for the entire study

25. Social security Salaries below the minimum living wage Lack of insurances Limited legal protection of workers –Big estates have to fulfil social standards –Property division of bigger farms Private solutions to compensate for lacking insurances are insufficient Substantial difference in the income of the farm managers and the employees

26. Social situation

27. Working conditions Tea requires work of 52 weeks a year Unpaid holidays Some companies require leaves on Sunday’s  Sunday work Further education is not practiced

28. Economic situation

29. Economic efficiency Tendency: worse situation for smaller farms High interest on the owners‘ equity considerably influences the profit Figure 1: Standard calculation for a specific farm with an interest on the owners’ equity of 4.6% Figure 2: Indicators calculated without an interest on the owners’ equity for the same farm

30. Economic situation

31. Economic stability The stability is diverse among the farms (seven have a positive result / six have a negative result) : -Differences in the debt burden of the farms -Investment situation is generally weak -State of the low number of assets is diverse -Tea plantations are in a good state

32. Ecological situation

33. Biodiversity The (inter-)cropping system is very similar among the farms –As a general trend: The smaller a farm is the more diverse crops are grown on the same plot –Low awareness of the importance of ecological compensation zones and buffer zones –Management influences Biodiversity: e.g. the use of herbicides, fertilization

34. Plant Protection Application techniques of pesticides are deficient IPM is not practiced on several tea farms Copper-based fungicides are sometimes used instead of an available substitute product Disposal of pesticide containers is a problem Due to a high disease pressure in tea, pesticides need to be applied regularly

35. Expansion of tea production Increase of the irrigated area  further investigation on the impact required Improved fertilisation (organic / compost of tea leaves) Proper use of pesticides Possibly even better economic efficiency  Improved social situation ??

36. Comparison of two polygons Figure: Two sustainability polygons of two different farms, with one farm (left) that achieves double the yield of tea per acre than the other farm (right).

37. Small vs. large farms Box-plots of the 12 indicators split according to farm size (left 10 ha "large" farms). Statistically significant differences only on Biodiversity based on a Mann-Whitney U Test.

38. Possible risks Movement of labour Social dumping Social: Economic: Low prices will influence the condition of the tea plantation  yield will decrease

39. Possible risks N pollution due to impropre application of fertilisers High use of pesticides (ecology / health / safety) Red spider mite becomes a major pest (at present mainly on big estates) Resistances  IPM has to be practiced by the farmers Advise is necessary to avoid possible risks Ecological:

40. Doubtful quality of information For some farms we assume that the figures do not correspond to the reality Verifying information  what changes in the polygon Importance of the feed back to farmers: -The interaction with the farmers will help to clarify some doubtful information -Identify ways to improve the present situation; including: expansion of the tea production without risks on sustainability

41. Conclusion Social security and economic efficiency are not sustainable in the analyzed sample Biodiversity, plant protection, economic stability and the working conditions have to be observed carefully Expansion of the tea production  clarification on the impact is necessary: 1. RISE assessment: verification / calculation of scenarios advise / feedback required

42. Conclusion Tea sustains the region If tea production is sustainable the whole region is sustainable Increase labor productivity by increasing tea yields through appropriate management practices (e.G. Fertilization, irrigation, IPM)! “RISE-pioneer farms” and transfer of good practices to other farms Roundtable with all stakeholders to improve the social situation 2. General:

43. Steps ahead 1.Feedback to the farmers –discussion and verification of the results with farmers and accompanying persons 2.Deeper analysis of 2.1 The local production system: –selection of representative farms with special good performance, e.g. productivity per surface, productivity per workforce, salaries and insurances (big estate?) –calculation of optimisation scenarios on the representative “pioneer farms”

44. Steps ahead 2.2 The supply chain: -suggestions for improved supply chain management from farm to factory gate (including e.g. traceability ) 3. Implementation of sustainable production practices  establishment of “RISE-pioneer farms” and transfer of good practices to other farms by providing advice (including social situation of the farm work force)

45. Application and Experiences

46. Work ahead "original" RISE (farm-level) improve develop economy ecology RISE socio-cultural aspects

47. Work ahead "original" RISE (farm-level) improve develop ISO 14000 series, Environmental Performance Indicators ( EPIs),... - climate- economic changes Framework conditions:- resource availability and quality- policy changes - diseases and pests- consumers' attitude- … economy ecology RISE Risks ?Vulnerability ? socio-cultural aspects "c-RISE" (covering entire supply chains) "c" for supply chain

48. Partners: For contacts:fritz.haeni@shl.bfh.ch Thank You! Link: http://www.shl.bfh.ch/?id=249

49. Small vs. large farms Degree of Sustainability (DS) for the 12 RISE indicators on each of the farms assessed.

50. Small vs. large farms Comparison of the mean indicators for farms bigger than 10 hectares and those smaller.