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The World Bank Enhancing Agricultural Innovation: How to Go Beyond the Strengthening of Research Systems © 2006 The International Bank for Reconstruction and Development / The World Bank 1818 H Street, NW Washington, DC 20433 Telephone 202-473-1000 Internet www.worldbank.org/rural E-mail ard@worldbank.org All rights reserved. This volume is a product of the staff of the International Bank for Reconstruction and Development/ The World Bank. The findings, interpretations, and conclusions expressed in this paper do not necessarily reflect the views of the Executive Directors of The World Bank or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. 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All other queries on rights and licenses, including subsidiary rights, should be addressed to the Office of the Publisher, The World Bank, 1818 H Street NW, Washington, DC 20433, USA, fax 202-522-2422, e-mail pubrights@worldbank.org. i Contents Page Preface .............................................................................................................................................v Executive Summary .................................................................................................................... vii Acknowledgments.........................................................................................................................xv Acronyms and Abbreviations.....................................................................................................xvi Chapter 1. Why Assess the Value of the Innovation Systems Perspective? ..............................1 1.1 Knowledge generation and application in a changing agricultural context .........................1 1.2 Towards operational agricultural innovation systems..........................................................7 1.3 Grounding the innovation systems concept in the “new agriculture”..................................8 1.4 Organization of this study ....................................................................................................9 Chapter 2. The Innovation Systems Concept: A Framework for Analysis.............................11 2.1 Introduction........................................................................................................................11 2.2 Origins of the innovation systems concept ........................................................................13 2.3 Innovation versus invention ..............................................................................................15 2.4 Key insights from the innovation systems concept for diagnostic and intervention frameworks .........................................................................................................................16 2.5 Innovation systems and value chains .................................................................................21 2.6 NARS, AKIS, and agricultural innovation systems compared ..........................................23 2.7 Towards practical applications of the innovation systems concept ...................................26 Chapter 3. Research Methodology and Case Study Descriptions............................................27 3.1 Research methodology.......................................................................................................27 3.2 Case study selection...........................................................................................................27 3.3 Information collection........................................................................................................28 3.4 Case study descriptions .....................................................................................................30 Chapter 4. Innovation System Capacity: A Comparative Analysis of Case Studies ..............42 4.1 Introduction........................................................................................................................42 4.2 Actors, their roles, and the attitudes and practices that shape their roles...........................42 4.3 Attitudes and practices.......................................................................................................47 4.4 Patterns of interaction ........................................................................................................49 4.5 The enabling environment .................................................................................................52 4.6 Summary of the analysis of innovation capacity in the case studies .................................53 Chapter 5. Reviewing the Innovation Systems Concept in Light of the Case Studies ...........57 5.1 Introduction........................................................................................................................57 5.2 The nature of contemporary agricultural challenges..........................................................57 5.3 Key characteristics of innovation across the case studies..................................................59 5.4 Common interventions and their limits..............................................................................63 Chapter 6. Towards a Framework for Diagnosis and Intervention ........................................70 6.1 Introduction........................................................................................................................70 6.2 An intervention framework for developing agricultural innovation systems ....................70 6.3 The pre-planned phase in the orchestrated trajectory ........................................................76 6.4 The foundation phase.........................................................................................................77 6.5 The expansion phase ..........................................................................................................78 i 6.6 The nascent phase in the opportunity driven trajectory .....................................................79 6.7 The emergence phase.........................................................................................................80 6.8 The stagnation phase..........................................................................................................81 6.9 A dynamic system of innovation phase .............................................................................83 Chapter 7. Conclusions ................................................................................................................88 7.1 Introduction........................................................................................................................88 7.2 The nature of innovation: nine findings.............................................................................88 7.3 The value of the innovation systems concept ....................................................................93 7.4 Implications for the World Bank .......................................................................................95 References .....................................................................................................................................97 Annex A: Agricultural Innovation Systems: A Methodology for Diagnostic Assessments .100 Annex B: Case Studies and Authors.........................................................................................110 Annex C: Case Study Detailed Summary Tables ....................................................................111 Boxes Box 1.1 Past contributions of science and technology ..................................................................1 Box 1.2 The process of knowledge generation and use is changing..............................................2 Box 1.3 Increased market demand and policy change close the yield gap in maize production in India .............................................................................................................................4 Box 1.4 Changing approaches to investing in innovation capacity ...............................................6 Box 2.1 Two views of innovation: the linear and innovation systems models............................12 Box 2.2 Knowledge and the competitiveness of the Chilean salmon industry, past and future ................................................................................................................14 Box 2.3 Theoretical underpinnings of innovation systems..........................................................15 Box 2.4 Small-scale equipment manufacturers and the adoption of zero tillage in South Asia..................................................................................................................17 Box 2.5 Including stakeholders’ demands in the agricultural innovation system: Mexico’s Produce Foundations......................................................................................20 Box 2.6 Reducing rural poverty by linking farmer organizations with public-private partnerships in China......................................................................................................21 Box 2.7 Community-driven development and agricultural innovation systems..........................22 Box 2.8 Participatory, grassroots, and multistakeholder approaches to overcome limitations of the linear model .........................................................................................................25 Box 3.1 A checklist for conducting diagnostic assessments and developing interventions based on the innovation systems concept.......................................................................28 Box 4.1 Who gets to innovate? Picking winners versus enabling winners to pick themselves......................................................................................................................43 Box 5.1 Farmer organizations and a new extension approach accelerate agricultural innovation in India .........................................................................................................62 Box 5.2 Foundation for the Revitalisation of Local Health Care Traditions in India: a successful coordinating body ......................................................................................69 Box 6.1 Numerical list of interventions mentioned in this chapter, with reference to potential investment approaches from the Agriculture Investment Sourcebook ...........................85 ii Tables Table 1.1 Table 1.2 Table 2.1 Table 2.2 Table 3.1 Table 4.1 Table 4.2 Table 5.1 Table 5.2 Table 5.3 Table 5.4 Table 6.1 Table 6.2 Table 7.1 Table 7.2 Table A.1 Table A.2 Table A.3. Table C.1 Table C.2 Table C.3 World value of nontraditional agricultural exports (million US$), 1992 and 2001 ......9 Case studies by country and subsector..........................................................................9 Attitudes and practices affecting key innovation processes and relationships ...........18 Defining features of the NARS and AKIS frameworks in relation to agricultural innovation systems ..................................................................................23 Case studies and selection criteria ..............................................................................30 Interaction patterns in support of innovation ..............................................................49 Summary of the analysis of innovation systems in the case studies ...........................55 Scope of innovations observed ...................................................................................60 Innovation triggers......................................................................................................64 Value and developmental significance of case study sectors......................................65 Common interventions and their limitations...............................................................66 Place of the case studies in the innovation systems typology.....................................72 Main characteristics of the four analytical elements in each phase of development in orchestrated and opportunity-driven systems....................................74 Towards approaches that link investments in agricultural science and technology with progress towards sustainable development.........................................................89 Innovation systems and rural poverty reduction, by type of farmer and farming system.....................................................................................................91 Example of an actor linkage matrix ..........................................................................105 Typology of linkage and learning types....................................................................106 Typology of attitudes and practices affecting key innovation processes and relationships ..............................................................................................................108 Roles of different actors at different times ...............................................................112 The role of government in supporting innovation ....................................................115 Interaction patterns in support of innovation ............................................................116 Figures Figure 1.1 A stylized innovation system ........................................................................................7 Figure 6.1 Development phases of agricultural innovation systems............................................75 Figure A.1 Elements of an agricultural innovation system .........................................................104 iii Preface This Economic and Sector Work paper, “Enhancing Agricultural Innovation: How to Go Beyond the Strengthening of Research Systems,” was initiated as a result of the international workshop, “Development of Research Systems to Support the Changing Agricultural Sector,” organized by the Agriculture and Rural Development Department of the World Bank in June 2004 in Washington, DC. One of the main conclusions of the workshop was that “strengthened research systems may increase the supply of new knowledge and new technologies, but such strengthening may not necessarily correlate very well with the capacity to innovate and adopt innovations throughout the agricultural sector, and thereby with economic growth.” This paper uses an innovation systems perspective to explore which other interventions may be required. The innovation systems concept is not new. It has been applied in other sectors, mainly in industry. The concept is considered to have great potential to add value to previous concepts of agricultural research systems and growth by (1) drawing attention to the totality of actors needed for innovation and growth, (2) consolidating the role of the private sector and the importance of interactions within a sector, and (3) emphasizing the outcomes of technology and knowledge generation and adoption rather than the strengthening of research systems and their outputs. Although the innovation systems concept has raised interest within the agricultural sector, the operational aspects of the concept remain largely unexplored. At the same time, within and outside the World Bank, agricultural investment strategies have gone through a number of changes, some of which are closely related to the innovation systems concept. This paper takes stock of real-world innovation systems to assesses the usefulness of the innovation systems concept for guiding investments in agricultural technology development and economic growth. The paper incorporates prior innovation systems work and eight new case studies of innovation systems and potential investments to support their development. The manuscript has been produced through a fruitful collaboration between the World Bank’s Agriculture and Rural Development Department, its South Asia Agriculture and Rural Development Department, and the United Nations University–Maastricht Economic and social Research and training centre on Innovation and Technology (UNU-MERIT). iv v Executive Summary Investments in knowledge—especially in the form of science and technology—have featured prominently and consistently in most strategies to promote sustainable and equitable agricultural development at the national level. Although many of these investments have been successful, the context for agriculture is changing rapidly, sometimes radically. Six changes in the context for agricultural development heighten the need to examine how innovation occurs in the agricultural sector: 1. Markets, not production, increasingly drive agricultural development. 2. The production, trade, and consumption environment for agriculture and agricultural products is growing more dynamic and evolving in unpredictable ways. 3. Knowledge, information, and technology increasingly are generated, diffused, and applied through the private sector. 4. Exponential growth in information and communications technology has transformed the ability to take advantage of knowledge developed in other places or for other purposes. 5. The knowledge structure of the agricultural sector in many countries is changing markedly. 6. Agricultural development increasingly takes place in a globalized setting. Can new perspectives on the sources of agricultural innovation yield practical approaches to agricultural development that may be more suited to this changing context? That is the central question explored here. Changing approaches for supporting agricultural innovation As the context of agricultural development has evolved, ideas of what constitutes “research capacity” have evolved, along with approaches for investing in the capacity to innovate: • In the 1980s, the “national agricultural research system” (NARS) concept focused development efforts on strengthening research supply by providing infrastructure, capacity, management, and policy support at the national level. • In the 1990s, the “agricultural knowledge and information system” (AKIS) concept recognized that research was not the only means of generating or gaining access to knowledge. The AKIS concept still focused on research supply but gave much more attention to links between research, education, and extension and to identifying farmers’ demand for new technologies. • More recently, attention has focused on the demand for research and technology and on the development of innovation systems, because strengthened research systems may increase the supply of new knowledge and technology, but they may not necessarily improve the capacity for innovation throughout the agricultural sector. The innovation systems concept An innovation system can be defined as a network of organizations, enterprises, and individuals focused on bringing new products, new processes, and new forms of vi organization into economic use, together with the institutions and policies that affect their behavior and performance. The innovation systems concept embraces not only the science suppliers but the totality and interaction of actors involved in innovation. It extends beyond the creation of knowledge to encompass the factors affecting demand for and use of knowledge in novel and useful ways. The innovation systems concept is derived from direct observations of countries and sectors with strong records of innovation. The concept has been used predominantly to explain patterns of past economic performance in developed countries and has received far less attention as an operational tool. It has been applied to agriculture in developing countries only recently, but it appears to offer exciting opportunities for understanding how a country’s agricultural sector can make better use of new knowledge and for designing alternative interventions that go beyond research system investments. Aim of this paper This paper seeks to assess the usefulness of the innovation systems concept in guiding investments to support the development of agricultural technology. To that end, it develops an operational agricultural innovation systems concept for the Bank’s client countries and collaborators. This paper does not challenge the importance of investing in science and technology capacity, which is well recognized in innovation systems theory. Rather it focuses on the additional insights and types of interventions that can be derived from an innovation systems perspective and that can influence the generation and use of science and technology for economic development. Methodology Three key tasks were undertaken to assess the utility of the innovation systems concept and develop an operational framework: 1. Develop an analytical framework for the innovation systems concept. 2. Apply the analytical framework in eight case studies and conduct a comparative analysis of the results. 3. Based on the analysis, develop an intervention framework for assessing innovation systems (consisting of a typology of innovation and other diagnostic features) and identifying potential interventions (based on guiding principles and examples). The analytical framework. The four main elements of the analytical framework are: (1) key actors and their roles, (2) the actors’ attitudes and practices, (3) the effects and characteristics of patterns of interaction, and (4) the enabling environment for innovation. The comparative analysis. Four criteria were used to select case studies that would capture elements of the dynamic agricultural context: (1) niche sectors that had shown strong patterns of growth, (2) sectors that were strongly integrated into global markets, (3) traditional sectors that are being transformed by the growth of activities further up the food chain and that can highlight implications of the industrialization of the food chain, and (4) sectors that provide large employment opportunities for the poor. The eight case studies included medicinal plants and vanilla production in India; food processing and vii shrimp production in Bangladesh; cassava processing and pineapple production in Ghana; and cassava processing and cut flower production in Colombia. A conceptual framework was developed to facilitate the comparative analysis of innovation systems in these eight settings. A number of tools were applied to explore partnerships and organizations. An important additional tool was a checklist for conducting diagnostic assessments in the eight settings and for developing interventions based on an innovation systems framework. The checklist was designed to address a central insight of the innovation systems framework: partnerships and linkages must be analyzed in their historical and contemporary context, which greatly defines the opportunities and necessities for innovation, especially where rapid change is occurring. The context includes policy, market, and trade conditions and the challenges they present, as well as other contextual factors, such as the sociopolitical environment and the natural resource base. A description of the changing context reveals any divergence between the innovation system and its practices on the one hand and the changing demands imposed by the context on the other. The checklist includes the following major issues: • Actors, the roles they play, and the activities in which they are involved, with an emphasis on diversity of public and private sector actors and on the appropriateness of their roles. • Attitudes and practices of the main actors, with an emphasis on collaboration, potential inefficiencies, patterns of trust, and the existence of a culture of innovation. • Patterns of interaction, with an emphasis on networks and partnerships, inclusion of the poor, and the existence and functions of potential coordination and stakeholder bodies. • Enabling environment (policies and infrastructure), with an emphasis on the role of policies related to science, technology, and fiscal concerns; the role of farmer and other organizations in defining research and innovation challenges; and the significance of legal frameworks. The intervention framework. The intervention framework, derived from the case study analysis, departs from many earlier uses of the innovation system concept by providing additional guidance on diagnosis (the most common use of the concept) and by adding specific ideas for interventions to develop the capacity of innovation systems. The framework has four elements: (1) a typology of agricultural innovation environments, which helps the user rapidly assess the characteristics of an innovation system in a particular context; (2) diagnostic features for each phase of innovation system development, which helps explain why certain features are likely to impede innovation and identify promising arrangements that could be built upon; (3) principles for intervention, based on the diagnostic features; and (4) options for intervention, based on the case study examples. Key findings from the innovation capacity analysis The analysis of innovation capacity in the eight settings studied revealed that: 1. Linkages for creating dynamic systems of innovation frequently have been absent. viii