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Home > VOLUME 30 > ISSUE 3 > Article 39 Research

The potential of collective action in promoting sustainable rangeland management: evidence from pastoral China

Wu, S., C. Liao, and L. Yu. 2025. The potential of collective action in promoting sustainable rangeland management: evidence from pastoral China. Ecology and Society 30(3):39. https://doi.org/10.5751/ES-16584-300339
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  • Shuang WuORCID, Shuang Wu
    School of Public Affairs, Zhejiang University, Hangzhou, China
  • Chuan LiaoORCIDcontact author, Chuan Liao
    Department of Global Development, Cornell University, Ithaca, New York, USA
  • Lu YuORCIDcontact authorLu Yu
    School of Public Affairs, Zhejiang University, Hangzhou, China

The following is the established format for referencing this article:

Wu, S., C. Liao, and L. Yu. 2025. The potential of collective action in promoting sustainable rangeland management: evidence from pastoral China. Ecology and Society 30(3):39.

https://doi.org/10.5751/ES-16584-300339

  • Introduction
  • Methods
  • Results
  • Discussion
  • Conclusion
  • Author Contributions
  • Acknowledgments
  • Data Availability
  • Literature Cited
  • collective action; cooperatives; inclusive society; joint management; propensity score matching; rangeland management
    The potential of collective action in promoting sustainable rangeland management: evidence from pastoral China
    Copyright © by the author(s). Published here under license by The Resilience Alliance. This article is under a Creative Commons Attribution 4.0 International License. You may share and adapt the work provided the original author and source are credited, you indicate whether any changes were made, and you include a link to the license. ES-2025-16584.pdf
    Research

    ABSTRACT

    Rangelands cover ~54% of the Earth’s land surface, and in many regions, are under severe degradation pressure. Overgrazing is one of the main causes of degradation. In this study, we draw on household survey data collected between 2021 and 2023 in pastoral regions of China to examine whether collective action can help address overgrazing. Using a propensity score matching approach, we find that participation in collective action reduces overgrazing by 29.6% compared with similar households that did not participate. Specifically, cooperatives reduce overgrazing by 23.9%, whereas joint management shows a much large effect of 60.0%. The benefits are especially strong for herders with less education, lower income, or no family members in government leadership, which highlights the potential of collective action to foster inclusion and resilience. We identify several mechanisms at work, including promoting rotational grazing, enhancing livelihood diversity, and aligning ecological awareness with grazing practices. Policies that lower participation barriers, strengthen trust, expand knowledge-sharing networks, and ensure fair decision making can amplify the contribution of collective action to sustainable rangeland management and inclusive rural development.

    INTRODUCTION

    Rangelands, covering 54% of the Earth’s terrestrial surface, are home to almost a billion people (Bardgett et al. 2021, UNEP 2021). However, they are largely threatened by degradation, with 49% of global rangeland areas degraded to some extent (Bardgett et al. 2021). In China, rangeland constitutes the country’s most extensive terrestrial ecosystem, covering 41.7% of the national land area, with extensive grazing remaining the primary land use (Wang 2022). However, this vital ecosystem has experienced significant degradation, with 90% of rangelands affected since the 1950s (Liu and Diamond 2005, Wu et al. 2024). Overgrazing is a principal driver of degradation, which occurs when the actual stocking rate exceeds the rangeland’s carrying capacity, as resource users maximize economic profit from livestock production (Hu et al. 2019, Su et al. 2021, Wang et al. 2022). Heavy grazing intensity has led to a 65% decline in aboveground biomass, which exceeds the global average (Yan et al. 2013). In particular, household livestock holdings in Inner Mongolia were found to be 3.2 times greater than the local rangelands’ carrying capacity (Briske et al. 2015).

    Given the global challenge of rangeland degradation, a large body of literature examines the determinants of herders’ sustainable use of rangeland, including household individual characteristics, herd size, herding strategy, and rangeland management practices (Waldron et al. 2010, Li and Bennett 2019, Feng et al. 2023). Herders’ stocking rate decisions are also socially interdependent. Peer effects, whereby high stocking by peers induces similar behavior, create self-reinforcing pressure on pastures (Shi et al. 2022). A parallel literature evaluates collective action and finds that rangeland under collective arrangements often exhibits lower degradation (Tang and Gavin 2015, Li et al. 2018, Yang et al. 2021). In China, such arrangements have deep historical roots but have been weakened since the privatization of rangeland started in the 1980s (Li and Huntsinger 2011). Subsequent grazing bans and rapid market integration further eroded cooperative traditions, diminishing environmental benefits previously associated with collective management (Li and Huntsinger 2011, Yu and Farrell 2013, Hou et al. 2023).

    Collective action offers a practical bottom-up approach to realigning incentives and coordinating resource use at the community level (Ostrom 2010, Wang et al. 2024). Evidence from diverse contexts shows that collective arrangements lower transaction costs, enhance bargaining power, pool infrastructure, and often deliver environmental gains, for example, in invasive species control, river basin management, and agroforestry (Markelova et al. 2009, Zulu et al. 2018, Hazard et al. 2022). In rangelands, collective action is also linked to greater equity, managerial efficiency (Hausner et al. 2012, Cai and Li 2016), and ecological recovery in some contexts. Case studies from Uzbekistan and Mongolia report increased biomass and households’ incomes under collective arrangements (Christmann et al. 2015, Oniki et al. 2018). Evidence from China similarly indicates that collective action enhances households’ livelihoods, promotes social equity, and supports ecological sustainability (Cao et al. 2018a, Yang et al. 2020, Yu et al. 2025). Outcomes, however, are contingent on enabling conditions, especially social capital (e.g., norms, communication networks, and trustworthiness) and local informal institutions, which support monitoring and compliance (Labonne and Chase 2011, Li et al. 2021, Zhou et al. 2024). Where these conditions hold, participation in and positive impacts of collective action can be broadened, and an inclusive society can thus be realized, further reinforcing both households’ livelihoods and governance capacity (Agrawal et al. 2023).

    There are two primary forms of collective action in pastoral communities of China, namely cooperatives and joint management (Wang et al. 2013, Yang et al. 2020, 2021, Li et al. 2024). Cooperatives are formal, registered organizations that provide financial and technical support to their members, enabling them to achieve economies of scale and improve welfare outcomes (Tang and Gavin 2015, Wossen et al. 2017, Ma et al. 2018). By reducing transaction costs and enhancing individual bargaining power (Mojo et al. 2017), cooperatives can foster greater environmental awareness among members, thus promoting ecological sustainability (Lise et al. 2006), with evidence of gains also in carbon efficiency and rangeland utilization (Li et al. 2018, 2024). In contrast, joint management is an informal, small-scale arrangement in which a few neighboring households or relatives pool their resources (e.g., livestock and grassland) and cooperatively coordinate day-to-day herding and other pastoral practices (e.g., selling, mobility; Bijoor et al. 2006, Tan et al. 2018). Studies show joint management can generate significant ecological benefits while enhancing livestock production outcomes (Yang et al. 2021). This approach has effectively balanced environmental goals with preserving household livelihood, offering substantial ecological and economic benefits to participating herders (Grundy et al. 2000, Cao et al. 2011, 2018b, Mazunda and Shively 2015).

    Nevertheless, the benefits of collective action are unevenly distributed. Empirical studies found that collective action tends to benefit more disadvantaged groups with limited education or in poor economic conditions, by providing them with sufficient knowledge, better market access, and lower transaction costs (Feleke and Zegeye 2006, Abebaw and Haile 2013, Zulu et al. 2018). Meanwhile, collective action can advantage those with less political power by constraining dominant actors and reinforcing peer oversight. For example, individuals with political status (holding a government leadership position) often adhere to the behavioral norms to maintain their social standing and rights within the village, which involves accepting oversight and balancing livestock numbers with available forage (Agrawal et al. 2023, Feng et al. 2023).

    Existing case studies provide valuable insights into the effect of collective action on rangeland sustainability, but they face limited generalizability across contexts (Christmann et al. 2015, Wang et al. 2024). More importantly, existing research mainly focuses on ecological outcomes, leaving grazing behavior (i.e., whether households exceed carrying capacity) and the underlying mechanisms linking collective action to overgrazing behavior underexplored. Heterogeneous effects across household types are insufficiently specified, yet crucial for identifying priority groups and tailoring interventions.

    This study examines whether and how collective action reduces overgrazing in Chinese pastoral regions, focusing on cooperatives and joint management. Using household survey data collected from 484 herders in pastoral areas in China, each household’s stocking rate is compared to locally estimated carrying capacity to determine overgrazing. The average treatment effects of participation in collective actions on the probability of overgrazing are assessed, which accounts for self-selection using propensity score matching (PSM), and heterogeneity is examined across household characteristics such as education and income. Additionally, the underlying mechanisms that affect overgrazing through collective action are explored. Our results reveal the conditions under which collective action curbs overstocking and who benefits the most from the collective action. These findings highlight the critical role of herders’ behavior in promoting sustainable rangeland management under private property regimes, and offer implications for policy makers in setting targeted interventions for diverse groups toward promoting sustainable rangeland use and fostering a more inclusive society.

    METHODS

    Study area

    We researched Qinghai Province and Inner Mongolia Autonomous Region from 2020 to 2022 (Fig. 1A). Qinghai Province is located on the Qinghai-Tibet Plateau in western China (31°40′-39°19′N, 89°35′-103°04′E), characterized by a plateau continental climate with long, cold seasons and low oxygen levels in the air (Zhao et al. 2020). It is one of China’s major pastoral areas and is part of its five largest grazing regions (Zhao et al. 2020). The province has a total rangeland area of 36.45 million hectares (NAHS 2017), accounting for 47% of the land area in the region (Liu et al. 2018), dominated by alpine meadows and alpine steppe. The region’s ecosystems are fragile, with grassland degradation becoming increasingly prominent, overgrazing, increasing climate disasters, and pasture fragmentation as the main reasons (Dong et al. 2020, Qi 2021, Tan et al. 2025). Qinghai Province administers eight prefecture-level regions, of which four have experienced varying degrees of overgrazing (Gao et al. 2023). By 2018, the total livestock numbers exceeded the maximum carrying capacity of the rangelands by 34.5%, with 24 counties listed in the high-risk overgrazing zone, urgently requiring measures for grassland protection and carrying capacity regulation (Wei et al. 2024). Over the last decade, the number of cooperatives has increased, though individual households are still the main actors in pastoral practices. As of 2023, Qinghai Province has developed 17,600 agricultural and pastoral cooperative organizations and established 19,700 family farms. This includes 65 national-level model cooperatives, 865 provincial-level model cooperatives, and 573 model family farms (MARAPRC 2023). Studies from the region show that cooperatives integrate labor and capital, enabling rotational grazing, higher livestock productivity, and greater resilience to climate shocks (Wang et al. 2021, Yuan and Luo 2022). They also offer training, financial services, and information platforms that improve human capital and adaptive capacity (He et al. 2024). Joint management facilitates labor sharing and collective grazing, reducing costs such as fencing and water access (Cao et al. 2011), increasing mobility, supporting grassland recovery, and livelihood diversification (Zhou et al. 2021).

    Inner Mongolia Autonomous Region is located in northern China (37°24′-53°23′N, 97°12′-126°04′E), with a relatively flat terrain and a cold, dry climate. The total rangeland area is 76.54 million hectares (NAHS 2017), mainly temperate typical steppe and sandy steppe. The region is facing grazing pressure. In 2023, a total of 15.61 million hectares of rangelands were designated as overgrazing warning zones, of which 37.88% were classified as severe overgrazing warning zones (NFGA 2024). As of 2024, Inner Mongolia has actively fostered new types of business entities to encourage herders to adopt pasture rotation and moderate-scale operations. Pilot initiatives in banner- and county-level shareholding cooperatives, family ranches, and joint household ranches have increased by 3471, reaching 22,000. In addition, 247 smart ranches have been newly established, achieving 59% of the annual target (Zhang 2024). In Inner Mongolia, studies show that cooperatives have helped reduce transaction costs, enhance members’ bargaining power, and improve market access, especially in remote regions (Alho 2015, Verhofstadt and Maertens 2015, Menggendalai 2023). Joint management complements these gains in climate adaptation. By coordinating grazing routes and sharing pasture during extreme weather events, joint groups reduce household vulnerability and enhance rangeland resilience (Wang 2013, Tang and Gavin 2015). In the study area, collective action shows the potential to improve household livelihoods and resilience to climate variability and foster sustainable grazing practices (e.g., rotational grazing, mobility) in Qinghai and Inner Mongolia. These prospects motivate the empirical assessment of whether, and how, collective action could foster ecological gains by reducing overgrazing.

    Data collection

    The household survey was conducted in four pastoral counties in the Qinghai Autonomous Region and two pastoral counties in the Inner Mongolia Autonomous Region from 2021 to 2023. Households were selected from villages representing diverse rangeland types and herd management strategies. The survey employed a multistage sampling strategy. In each selected county, 1–2 townships were chosen, and within each township, 3–4 villages were further selected. The number of surveyed households in each village was adjusted according to village size, with a target of approximately 35 households per village. In some small-scale villages, a complete enumeration approach was adopted. However, in pastoral areas, especially in Qinghai, the wide geographic dispersion of households made reaching the target number in certain villages difficult. In total, 484 valid responses were obtained. Our survey included 308 samples from Qinghai collected in 2020 (Fig. 1B) and 176 from Inner Mongolia collected in 2021 and 2022 (Fig. 1C). The survey was conducted through face-to-face interviews, including questions on household characteristics, household grazing behavior, household rangeland management, herd ownership, composition, and transactions. The head of household ranged in age from 17 to 80 years old; the average age was 45 years old, with 25% younger than 38 years old and 25% older than 52 years old. The head of households are almost always individuals who identify themselves as male (93.3%), with females accounting for only 6.7%.

    Calculation of theoretical carrying capacity

    The theoretical carrying capacity refers to the maximum number of livestock a unit of rangeland area can sustainably support over a defined grazing period under ecological conditions. Equation 1 calculates the theoretical carrying capacity of rangelands, considering three primary parameters: rangeland forage yield, forage utilization rate, and daily feed intake per livestock unit.

    Equation 1 (1)

    Rangeland biomass, defined as fresh or dry grass yield, is crucial for determining carrying capacity and reflects the rangeland’s ecological status. Net primary productivity (NPP, kg C/m²/year) is widely used as an indicator for biomass because it combines vegetation growth potential under climatic and soil conditions. Annual NPP data for 2021 are obtained from the MODIS17A3 dataset, and extracted at the township level using rangeland vector boundaries. Because only the above-ground biomass is available for livestock consumption, an adjustment factor fbnpp is applied to account for the below-ground proportion of NPP. Based on measurements at 207 field sites, Sun et al. (2021) use machine learning to create a global fbnpp map. The utilization coefficient k represents the proportion of available forage consumed by livestock during the grazing period. According to the “Calculation of Rational Carrying Capacity of Natural Rangeland” (NY/T 635-2015) issued by the Ministry of Agriculture (MOA 2015), utilization rate (k) varies by rangeland type and grazing practice. Value of fbnpp and k used in this study are shown in Table A.1.

    The parameter M represents the daily feed intake (kg C) per sheep unit, following existing research findings and official standards. According to the Ministry of Agriculture of the People’s Republic of China (2015), the daily feed intake for sheep units is 1.8 kg of dry hay (14% moisture content), equivalent to approximately 1.548 kg dry weight. To ensure consistent measurement units, all biomass data in this study are expressed in carbon mass (kg C), applying a conversion coefficient of 0.45 from plant biomass to carbon content, as applied by Fang et al. (1996) and Yang et al. (2022). Parameter D represents the annual grazing days, determined based on local grazing practices observed during field surveys. Based on forage growth periods, the theoretical grazing days are set at 300 days annually. For herders who move livestock to communal pastures in summer (approximately 60 days), the actual grazing days are set at 240 days. In the Inner Mongolia study area, herders typically graze in the warm season from May to October and practice enclosure feeding in the cold season, yielding an annual grazing period of around 180 days.

    Calculation of stocking rate

    The stocking rate refers to the grazing density per unit area of rangeland, converting different livestock types to standard sheep units. Herders often buy additional forage to reduce grazing pressure on their pastures, lowering the actual stocking rate. Therefore, with reference to the standards set by the MOA (2015) and incorporating necessary adjustments, the calculation of the actual stocking rate Y is shown in equations (2) and (3).

    Equation 2 (1)
    Equation 3 (1)

    Index i represents the type of grazing livestock, and n represents the total number of grazing livestock types.

    The parameter Qi represents the quantity of the ith type of livestock raised by the herder, while Si denotes the amount of the ith type sold. The coefficient Yi indicates the conversion factor of the ith type of livestock into standard sheep units, as presented in Table A.2. Additionally, adjustments are made to exclude livestock sold in August or September, with only the total number of animals remaining in winter counted. This winter inventory serves as the basis for assessing the actual grazing pressure, a method also commonly adopted by the government to estimate whether overgrazing occurs. The symbol A refers to the herder’s total area of pasture grazed.

    The parameter P in equations (2) and (3) presents the number of standard sheep units supported by purchased supplementary feed. As supplementary feeding reduces grazing pressure on pastures, it must be subtracted from the total livestock inventory when calculating the actual stocking rate to reflect the real grazing load. Symbol m indicates the weight of supplementary feed provided by the household (kg), which is calculated from the total cost of supplementary feeding reported in the household survey and the local forage price. In Qinghai, extensive grazing is widely practiced, and the livestock carrying capacity is adjusted by accounting for the weight of winter supplementary forage. In equation (3), the actual grazing days are expressed as D, and the daily feed intake per livestock unit is denoted as M; both align with the grazing days (D) and daily feed intake (M) in equation (1). In the Inner Mongolia study area, summer supplementary feeding is minimal, and livestock are generally kept in barns during the cold season, so no adjustment for supplementary feeding is made.

    According to the National Forestry and Grassland Administration (NFGA 2021), a household is defined as “overgrazing” when its grazing intensity exceeds the theoretical carrying capacity by more than 15%. In China, rangeland carrying capacity and stocking rate are measured by the number of sheep an area can support, expressed as “sheep/mu” (1 mu = 0.0667 ha).

    Propensity score matching method

    Complications arise because it is impossible to observe both potential outcomes for any single herder at the same time, a situation known as the “counterfactual problem” in impact evaluation literature. To address this issue, the PSM technique reduces selection bias by matching groups based on observable characteristics that predict participation in collective action (Rosenbaum and Rubin 1983, Ji et al. 2019). The PSM method has been applied to several studies related to collective action, demonstrating that collective action significantly improves outcomes such as household income, asset accumulation, and the adoption of agricultural technologies and safe practices among households (Abebaw and Haile 2013, Mojo et al. 2017, Ji et al. 2019). The PSM method has also been applied to identify the impact of credit support on grazing intensity, effectively mitigating the problem of unobservable counterfactuals (Teng et al. 2025).

    The treatment variable is defined as a binary indicator denoting whether herder i participated in collective action (CAi = 1) or not (CAi = 0), while the outcome variable captures whether the herder engaged in overgrazing. To address potential selection bias, the propensity score (PSi) is introduced as the conditional probability of participating in collective action, conditional on the observed characteristics Xi. The treatment effect of collective action can then be formally expressed as shown in equation (4):

    Equation 4 (1)

    The propensity score constructs a wide range of factors (Xi), driving households’ decision making to participate in collective action. Economic and social motivations affect the decision-making process for collective action practices, including individual characteristics, household compositions, financial statuses, and land management (Yang et al. 2020, Feng et al. 2023).

    The average treatment effect on the treated (ATT) represents the effect of collective action on overgrazing. It estimates the difference in overgrazing behavior between herders who participated in collective action and the behavior they would have shown had they not attended:

    Equation 5 (1)

    Here, Gi1 denotes the observed grazing outcome for herder i under participation, and Gi0 represents the unobserved grazing outcome that would have occurred had the same herder not participated. Because the counterfactual outcome is not directly observable, it is approximated by identifying matched non-participants with similar propensity scores. After propensity score estimation, the study utilizes Nearest Neighbor Matching (NNM) techniques. The methods facilitate a comparative analysis between participants and non-participants of collective action. A balance test is also conducted to ensure the quality of the matching process. Following standard practice (Rosenbaum and Rubin 1983, Mojo et al. 2017, Ji et al. 2019), covariates are considered well-balanced if the absolute standardized mean differences are below 0.1, corresponding to a 10% standardized difference. In addition, the change in pseudo R² and the average difference across variables are also examined to assess overall balance. These measures help determine whether the treatment and control groups became more similar after matching.

    RESULTS

    Summary statistics

    The summary statistics of various collective action participants are shown in Figure 2, with the number of observations labeled in a Venn diagram of overlapping circles. Among all the research samples, 19.01% participate in cooperatives and 28.51% engage in joint management. Specifically, 14.46% participate only in cooperatives, 4.96% participate only in joint management, and 14.05% participate in both forms of collective action. In total, 33.47% of households participate in at least one of the two forms, which are regarded as participation in collective action in this study.

    On average, the actual stocking rate slightly exceeds carrying capacity, and 42.8% of households overgraze, indicating that overgrazing is unevenly distributed across regions. Overgrazing is especially prevalent in Qinghai’s study area compared to Inner Mongolia, with Gangcha having the highest overgrazing rate of over 80% (Fig. 3). In Chenbaerhu Banner, favorable climate and rangeland types yield higher quality forage, theoretically reducing the area required per head. Across all sample counties, the average actual stocking rate is 0.24 sheep/mu (approximately 3.60 sheep/ha), while the average theoretical carrying capacity is 0.21 sheep/mu (approximately 3.15 sheep/ha).

    Variables that may influence both herders’ likelihood of overgrazing and their participation in collective action are listed in Table 1, including herder characteristics (e.g., age of the household head, education level), household compositions (e.g., labor, government leadership position), economic statuses (e.g., household income, loan), as well as rangeland management (e.g., per capita owned pastures, land transfer, rotation), as they may influence herders’ behavior of overgrazing. These factors are theoretically and empirically linked to stocking decisions and cooperative behavior (Waldron et al. 2010, Li and Bennett 2019, Feng et al. 2023). Individual characteristics (e.g., age, education level), household compositions (e.g., labor, government leadership position) and economic statuses (e.g., household income, loan) can influence herders’ perceptions of climate and ecological changes (Klein et al. 2014), which condition willingness to participate in collective action (Van Gevelt et al. 2019). Land management also affects both grazing pressure and cooperation incentives. For example, larger rangelands are more likely to join cooperative rangeland management (Yang et al. 2020). Herders who transfer rangeland are more likely to participate in collective action because it ensures more transfer benefits are retained by reducing transaction costs (Zhang et al. 2017). Additionally, herders who advocate rotational grazing are more likely to participate in collective action because it enhances land access and facilitates the implementation of rotational grazing (Fabusoro 2009).

    The likelihood of herders’ overgrazing is lower in the group “participants” than in their “non-” group, indicating that herders engaged in collective action are less likely to overgraze (Table 2). The two groups, however, differ significantly on several covariates in education level, labor, household income, per capita owned pasture, and rotation. Households participating in collective action usually have low education levels and enough labor. They tend to have poor economic conditions and own fewer pastures, with rotation grazing behavior. These systematic differences indicate that households’ decision making on participating in collective action is not random but affected by their household characteristics, household composition and other factors. Consequently, directly comparing the overgrazing between participants and non-participants households may underestimate the impact of collective action on overgrazing. The matching method is applied in the empirical analysis to address this self-selection.

    Logit model on determinants of participation in collective action

    The results of herders’ decision making on whether to participate in collective action are shown in Table 3, indicating that factors influencing collective action participation include government leadership position, household income, and rotation. Farmers’ willingness to join cooperatives also varies from social and political backgrounds (Abebaw and Haile 2013, Mojo et al. 2017). Village leaders play an important role in organizing core community groups, encouraging them more likely to participate in and facilitate collective action (Liu et al. 2020). Also, higher expected profits in collective action encourage households to engage in cooperative management, especially for those who are in poor economic statuses (Hernández-Espallardo et al. 2013, Gezahegn et al. 2019). Also, collective action can enhance land access (Fabusoro 2009), aligning with those who want to rotate grazing.

    Matching balance test

    After matching, the balance test presents a well-balanced distribution between the treatment and control groups. The standardized bias (% bias) after matching for most of the variables is less than 10%, and all the t-test results after matching do not reject the null hypothesis, indicating that there is no systematic difference between the treatment and control groups (Fig. 4; Table A.3). Compared to the results before matching (Unmatched), the standardized bias for all the variables have significantly reduced. Also, balance statistics before and after propensity score matching have been estimated (Table A.4). Before matching, the Pseudo R² is high (0.171), the LR chi-square value is significant (105.57), and the mean and median biases are 31.8% and 33.4%, respectively. After matching, these values significantly decrease, with Pseudo R² dropping to 0.014, LR to 6.46 (non-significant p-value of 0.693), and mean and median biases reducing to 6.2% and 5.1%, indicating improved covariate balance.

    After matching, the propensity score distribution indicates considerable overlap between treated and untreated households (Fig. 5), suggesting that the common support assumption is met. Most observations in both groups fall within a similar range of propensity scores, with only a small number of “untreated” households lying outside the support region. This overlap means that the matched control group can serve as a reasonable comparison for the treated group, helping to ensure that differences in observable characteristics do not drive the estimated treatment effects.

    Overall effects and robustness test

    Collective action can reduce overgrazing (Table 4). The ATT indicates that participation significantly reduces overgrazing by 29.6% for those involved. Additionally, herders can benefit from collective action participants, with cooperative membership providing a 23.9% and joint management providing a 60.0% reduction in overgrazing (Column 1 in Table 5). It is aligned with previous studies that collection action can improve rangeland management (Cao et al. 2018a, Yang et al. 2020).

    Heterogeneous effects of collective action on overgrazing among household groups are also estimated (Table 4). First, households with no formal schooling benefit the most from collective action, and it holds for those who are cooperative members and adopting joint management (Column 2-3 in Table 5). Second, we split households by annual income into two groups. Herders in poor economic condition (family income < = 110,000 CNY/year) experience significant reductions in overgrazing under collective action (Column 4-5 in Table 5). Third, although families with members who hold government leadership positions see more reductions in overgrazing when participating in joint management, their involvement in cooperatives does not have a significant impact. Families without leadership positions reduce overgrazing under either cooperatives or joint management (Column 6-7 in Table 5). Taken together, collective action delivers the strongest gains for less-educated and lower-income households, with cooperatives particularly effective when local political authority is unpresented.

    Three methods are applied to conduct the robustness check (Table 5). First, the dependent variable is changed to “overgrazing rate,” representing the ratio of overgrazed animals to the theoretical carrying capacity. Also, the definition of overgrazing is changed from “exceeding the theoretical value by 15%” to “exceeding the theoretical value by 0%.” Second, the matching technique for PSM is changed. Specifically, Kernel Matching is applied. As displayed in Table 5, there is no significant change in either the sign or the magnitude of the effects of collective action. All the results of ATT are negative and statistically significant for all the results, indicating that collective action contributes to overgrazing reduction and confirming the conclusion in Table 4 (Column 1).

    Mechanism analysis

    The potential channels through which collective action influences overgrazing behavior are explored (Table 6). Collective action is regressed by rotational grazing, livelihood diversity, and the behavior-cognition gap. First, the results indicate that collective action had statistically significant and positive effects on the promotion of rotation behavior, applicable to both cooperative members and those engaged in joint management (Column 1). Second, livelihood diversity is measured as the share of non-agricultural income in total family income. Collective action increases livelihood diversity and reduces dependence on livestock income, and the results for cooperative membership and joint management are consistent (Column 2). Third, the results show that collective action significantly reduces the perception-action deviation. The deviation between herders’ perceptions and grazing practices is recorded during the field survey. Herders were asked how much pasture is needed to raise one cow (or one sheep) to determine their perception of carrying capacity, the answer of which was converted into a sheep-unit measure. Consistency was defined as the case where the actual stocking rate was equal to or lower than the perceived stocking rate, and coded as 0; deviation, where the actual rate exceeded the perceived rate, was coded as 1. Over half of the herders showed a deviation, grazing beyond their perceived capacity. Collective action reduces the discrepancy between herders’ grazing practices and their perceived rangeland carrying capacity, with consistent results for cooperative membership and joint management (Column 3).

    DISCUSSION

    This research demonstrates that collective action reduces overgrazing and delivers disproportionately greater benefits to vulnerable social groups. Such findings can be attributed mainly to collective arrangements that facilitate resource sharing, mutual risk mitigation, and the diffusion of knowledge on sustainable rangeland management (Brush 2007). Through cooperation, herders, especially those with fewer assets, access critical information such as market prices, sustainable practices, and weather response strategies (Cao et al. 2018b, Weng et al. 2023). This reduces their exposure to market and climate variability and helps alleviate overgrazing. In contrast, affluent herders, who possess greater social capital and resources, tend to rely less on collective actions, and leadership roles are also essential to these processes. Herders in leadership often serve as monitors, enforcing grazing bans and verifying livestock numbers (Qiu et al. 2020). Although individuals with higher political status usually follow established norms to maintain their standing (Feng et al. 2023), their dominance in cooperatives can weaken such regulatory impact. However, villager-led joint management encourages mutual oversight, including that of those with leadership roles, thereby enhancing fairness and regulatory effectiveness. Sustaining these benefits requires participatory, rather than dominant, leadership, supported by a transparent decision-making mechanism. Additionally, fostering a knowledge network among participants is crucial to improving the effectiveness of collective action. Such networks allow herders to gain management knowledge, develop new skills, learn from peers, and adopt sustainable practices (Shi et al. 2022). Integrating local knowledge with external information, building multi-actor knowledge networks, and promoting collaboration between farmers and researchers can further enhance the effectiveness of collective action (Šūmane et al. 2018).

    Three main channels through which collective action reduces overgrazing are identified. First, participating in collective action effectively promotes rotational grazing, enabling members to utilize different pastures across seasons. This reduces the constraints on mobility caused by fencing and increases the flexibility of pasture use throughout the year (Fernández-Giménez 2002, Cao et al. 2013). By pooling labor and rangeland, pastoralists can balance herd size with available labor (Næss 2021). Consequently, sufficient mobility helps prevent excessive trampling associated with livestock increases (Dlamini et al. 2014) and improves seed dispersal and plant regeneration ability (Ciftcioglu 2017). Through rotational grazing, collective action activates social capital networks. It strengthens information-sharing mechanisms, reducing livestock production costs (Cao et al. 2018a, Weng et al. 2023), which may alleviate economic pressures that drive overgrazing.

    Second, collective action enables herders to diversify their income sources (Tan et al. 2023). Income diversification reduces dependence on local natural resources (Asfaw et al. 2017), contributing to the mitigation of overgrazing. At the same time, the shift to non‑pastoral activities enhances living standards by increasing non-pastoral income (Liu and Zhang 2009). Moreover, it can optimize household energy consumption transitions by reducing reliance on traditional fuels and increasing electricity use, promoting sustainable livelihoods (Li and Liu 2022).

    Third, collective action helps bridge the gap between households’ ecological perceptions and grazing practices. Although some herders know the severity of rangeland degradation, ecological consequences are often insufficiently accounted for in production practices (Borges et al. 2014, Li et al. 2022). By increasing adaptive measures such as destocking, seasonal grazing, and rotational grazing, collective action could mitigate this “knowing-doing” gap and promote sustainable rangeland governance.

    Although collective action is particularly effective in reducing overgrazing, the development of cooperatives remains challenging and inaccessible primarily to disadvantaged households. In practice, the role of cooperatives as voluntary organizations aimed at mutual benefit has been weakened (Shen and Shen 2018). The success of cooperatives largely depends on their leaders’ administrative and managerial skills (Mojo et al. 2017). Yet, rural communities in China are experiencing rapid out-migration (Liu et al. 2016, Wilmsen et al. 2023), which strains leadership capacity in future villages. Additionally, low-income and less-educated households often encounter barriers to participating in cooperatives, primarily because of limited financial resources and insufficient knowledge. Many cooperatives exclude pastoralists who contribute only livestock grazing but not rangeland management, leaving households with limited labor capacity unable to engage in collective action. As a result, these households often resort to renting out their rangelands (Yang et al. 2020). Compared to cooperatives, joint management offers a more flexible and inclusive approach to collective action, providing ecological benefits with fewer barriers to participation. It allows households to make their own decisions about livestock management, including when and where to graze, and how to comply with grazing restrictions (Hua and Squires 2015). This approach is particularly beneficial for vulnerable groups with low income, limited education, or no connections to the local government leadership because it requires neither formal organization nor substantial financial investment. The success of joint management depends on social capital, making it more effective in communities with stronger trust (Feng et al. 2023). Small-scale joint management can also enhance ecological outcomes by fostering greater herder engagement in rangeland management (Li et al. 2007). The increased trust resulting from these relationships can lead to more effective community outcomes. Therefore, building trust in these communities is crucial to improving the benefits of such an approach.

    CONCLUSION

    Overgrazing is a major driver of rangeland degradation (Li et al. 2019). This study examines the impacts of collective action in mitigating and reducing household overgrazing, using household data collected from pastoral regions in China between 2021 and 2023 with a propensity score matching approach. The results show that collective action significantly mitigates overgrazing, with a 29.6% reduction compared to the counterfactual condition. Both cooperatives and joint management contribute to this reduction, decreasing overgrazing by 23.9% and 60.0% respectively. Also, the impacts of collective action vary among different household groups, with those having lower education levels, lower income, or no family members in government leadership positions benefiting the most. This illustrates the potential of collective action to foster an inclusive society by empowering vulnerable groups and strengthening community resilience. In addition, collective action promotes rotational grazing, enhances livelihood diversity, and bridges the gap between ecological awareness and grazing practices, further reducing overgrazing.

    Achieving long-term sustainable development and social inclusivity requires more than financial and technical support. It also requires effective monitoring, trust building, and transparent decision making. The effectiveness of collective action can be further improved by lowering participation barriers, promoting trust building, offering supplementary incentives, fostering a knowledge network, and ensuring fair decision making. These improvements will enable greater participation and benefit for herders, particularly those from vulnerable groups, such as low-income, less educated, and politically unconnected households. By implementing these measures, collective action can facilitate sustainable resource management and promote social welfare in a more inclusive society.

    RESPONSES TO THIS ARTICLE

    Responses to this article are invited. If accepted for publication, your response will be hyperlinked to the article. To submit a response, follow this link. To read responses already accepted, follow this link.

    AUTHOR CONTRIBUTIONS

    Shuang Wu: writing – original draft, data curation, formal analysis, investigation, visualization, methodology. Chuan Liao: writing - review & editing, conceptualization, funding acquisition, validation. Lu Yu: writing – original draft, conceptualization, supervision, funding acquisition, investigation.

    ACKNOWLEDGMENTS

    This work was supported by the National Natural Science Foundation of China (72104213,72474193), China’s Ministry of Education (Grant No. 20JZD013), China Scholarship Council (202306320256), and ZJU-Cornell Joint Seed Fund (Advancing ZJU-Cornell Collaboration on Sustainable Energy Transition).

    Use of Artificial Intelligence (AI) and AI-assisted Tools

    Some sentences in this manuscript were polished for language clarity using ChatGPT. The authors take full responsibility for the content presented in this article.

    DATA AVAILABILITY

    The data and code that support the findings of this study are available on request from the corresponding author, L. Yu. None of the data and code are publicly available because they contain information that could compromise the privacy of research participants.

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    Corresponding author:
    Lu Yu
    lu.yu@zju.edu.cn
    Appendix 1
    Appendix 2
    Appendix 3
    Appendix 4
    Fig. 1
    Fig. 1. Location of Inner Mongolia and Qinghai in China (A) and sample distribution in Inner Mongolia (B) and Qinghai (C).

    Fig. 1. Location of Inner Mongolia and Qinghai in China (A) and sample distribution in Inner Mongolia (B) and Qinghai (C).

    Fig. 1
    Fig. 2
    Fig. 2. Sample description of cooperative members and joint management.

    Fig. 2. Sample description of cooperative members and joint management.

    Fig. 2
    Fig. 3
    Fig. 3. Difference of theoretical carrying capacity, actual stocking rate, and share of overgrazing households across counties.

    Fig. 3. Difference of theoretical carrying capacity, actual stocking rate, and share of overgrazing households across counties.

    Fig. 3
    Fig. 4
    Fig. 4. Standardized mean differences before and after matching.

    Fig. 4. Standardized mean differences before and after matching.

    Fig. 4
    Fig. 5
    Fig. 5. Propensity score distribution and common support.

    Fig. 5. Propensity score distribution and common support.

    Fig. 5
    Table 1
    Table 1. Descriptive statistics of variables.

    Table 1. Descriptive statistics of variables.

    Variable Description Mean SD
    Age Age of household head (years) 45.025 10.059
    Education Years of education 4.537 4.787
    Labor Number of household members who can work 3.045 1.128
    Leadership 1 = if someone in the family holds a government leadership position, 0 = otherwise 0.151 0.358
    Income Family income (million CNY) 0.191 0.328
    Loan 1 = if the household has a bank loan for livestock expansion or weather-related disasters, 0 = otherwise 0.395 0.489
    Owned pastures Area of owned pastures per person (ha) 41.286 80.308
    Land transfer 1 = if a herder transfers in pastures, 0 = otherwise 0.537 0.499
    Rotation 1 = if a herder uses rotational grazing, 0 = otherwise 0.771 0.421
    Table 2
    Table 2. Difference between participants and non-participants in collective action.

    Table 2. Difference between participants and non-participants in collective action.

    Variable Non-participants Participants t-test
    Obs Mean Obs Mean mean-diff se
    Overgrazing 322 0.447 162 0.389 0.058 0.048
    Age 322 45.360 162 44.358 1.002 0.969
    Education 322 5.590 162 2.444 3.146*** 0.439
    Labor 322 2.907 162 3.321 -0.414*** 0.107
    Leadership 322 0.140 162 0.173 -0.033 0.035
    Income 322 0.226 162 0.120 0.106*** 0.031
    Loan 322 0.404 162 0.377 0.027 0.047
    Owned pastures 322 49.527 162 24.908 24.619*** 7.662
    Land transfer 322 0.537 162 0.537 0.000 0.048
    Rotation 322 0.671 162 0.969 -0.298*** 0.038
    Notes: *** p < 0.01, ** p < 0.05, * p < 0.1.
    Table 3
    Table 3. Logit model results of factors determining collective action.

    Table 3. Logit model results of factors determining collective action.

    Variables Logit Marginal effect
    Coefficient SE Coefficient SE
    Age 0.005 (0.012) 0.001 (0.002)
    Education -0.050 (0.032) -0.009 (0.006)
    Labor 0.112 (0.100) 0.020 (0.018)
    Leadership 0.829** (0.327) 0.150** (0.058)
    Income -2.894*** (1.115) -0.523*** (0.192)
    Loan -0.257 (0.230) -0.046 (0.041)
    Owned pastures -0.001 (0.002) -0.000 (0.000)
    Land transfer -0.029 (0.226) -0.005 (0.041)
    Rotation 2.439*** (0.553) 0.441*** (0.094)
    Constant -2.692*** (0.912)
    Pseudo-R2 0.174
    Wald χ2(9) 55.45***
    Log pseudolikelihood -254.963
    Observations 484 484
    Notes: *** p < 0.01, ** p < 0.05, * p < 0.1.
    Table 4
    Table 4. Overall and heterogeneous impact of collective action on overgrazing.

    Table 4. Overall and heterogeneous impact of collective action on overgrazing.

    Strategy Full sample Education experience Family income Government leadership
    Yes No Low High Yes No
    (1) (2) (3) (4) (5) (6) (7)
    Collective action -0.296*** -0.269** -0.380*** -0.384*** -0.143 -0.417** -0.252***
    (0.074) (0.129) (0.096) (0.095) (0.115) (0.178) (0.083)
    Cooperatives membership -0.239*** -0.167 -0.255** -0.281*** -0.143 -0.280 -0.275***
    (0.082) (0.140) (0.100) (0.106) (0.130) (0.194) (0.083)
    Joint management -0.600*** -0.654*** -0.565*** -0.623*** -0.333 -0.500* -0.493***
    (0.093) (0.168) (0.119) (0.105) (0.213) (0.277) (0.102)
    Notes: The control variables include all listed variables in Table 1. Robust standard errors are given in parentheses.
    *** p < 0.01, ** p < 0.05, * p < 0.1.
    Table 5
    Table 5. Robust test results. ATT = average treatment effect on the treated.

    Table 5. Robust test results. ATT = average treatment effect on the treated.

    Method ATT
    Change the dependent variable to “overgrazing rate” -0.687*** (0.221)
    Change the dependent variable “overgrazing” to consider 0% as overgrazing instead of 15%. -0.309*** (0.065)
    Change the matching technique to Kernel Matching -0.324*** (0.048)
    Change the matching technique to Caliper Matching -0.298*** (0.072)
    Notes: The control variables include all listed variables in Table 1. Robust standard errors are given in parentheses.
    *** p < 0.01, ** p < 0.05, * p < 0.1.
    Table 6
    Table 6. Estimated effects of collective action on overgrazing through causal channels (average treatment effect on the treated [ATT]).

    Table 6. Estimated effects of collective action on overgrazing through causal channels (average treatment effect on the treated [ATT]).

    (1) (2) (3)
    Rotation Livelihood diversity Behavior-cognition gap
    Collective action 0.112** 0.141*** -0.346***
    (0.050) (0.031) (0.074)
    Cooperatives member 0.073* 0.100*** -0.346***
    (0.041) (0.032) (0.078)
    Joint management 0.109* 0.243*** -0.482***
    (0.060) (0.039) (0.099)
    Notes: The control variables include all listed variables in Table 1. Robust standard errors are given in parentheses.
    *** p < 0.01, ** p < 0.05, * p < 0.1.
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    Home > VOLUME 30 > ISSUE 3 > Article 38 Synthesis

    Addressing communication challenges in transdisciplinary sustainability science: insights from a case study

    Schaffner, U., M. A. Rinkus, M. O’Rourke, T. E. Hall, R. Eschen, and S. D. Eigenbrode. 2025. Addressing communication challenges in transdisciplinary sustainability science: insights from a case study. Ecology and Society 30(3):38. https://doi.org/10.5751/ES-16058-300338
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    • Urs SchaffnerORCID, Urs Schaffner
      CAB International, Delémont, Switzerland
    • Marisa A. RinkusORCID, Marisa A. Rinkus
      Toolbox Dialogue Initiative Center, Michigan State University, USA
    • Michael O'RourkeORCIDcontact author, Michael O'Rourke
      Toolbox Dialogue Initiative Center, Michigan State University, USA; Department of Philosophy, Michigan State University, USA
    • Troy E. Hall, Troy E. Hall
      Department of Forest Ecosystems and Society, Oregon State University, USA
    • René EschenORCID, René Eschen
      CAB International, Delémont, Switzerland
    • Sanford D. EigenbrodeORCIDcontact authorSanford D. Eigenbrode
      Department of Entomology, Plant Pathology and Nematology, University of Idaho, USA

    The following is the established format for referencing this article:

    Schaffner, U., M. A. Rinkus, M. O’Rourke, T. E. Hall, R. Eschen, and S. D. Eigenbrode. 2025. Addressing communication challenges in transdisciplinary sustainability science: insights from a case study. Ecology and Society 30(3):38.

    https://doi.org/10.5751/ES-16058-300338

  • Introduction
  • The Woody Weeds Project
  • Assessments of the Woody Weeds Communication Strategy
  • Recommendations for Designing and Implementing Communication Strategies for TDSS
  • Acknowledgments
  • Data Availability
  • Literature Cited
  • communication; eastern Africa; invasive plants; social-ecological systems
    Addressing communication challenges in transdisciplinary sustainability science: insights from a case study
    Copyright © by the author(s). Published here under license by The Resilience Alliance. This article is under a Creative Commons Attribution 4.0 International License. You may share and adapt the work provided the original author and source are credited, you indicate whether any changes were made, and you include a link to the license. ES-2025-16058.pdf
    Synthesis

    ABSTRACT

    To address sustainable development challenges, transdisciplinary sustainability science (TDSS) requires understanding and managing ecological processes that transcend scientific, geopolitical, and cultural divides. Communication that can bridge these divides is critical for the success of TDSS projects. We describe a communication strategy developed as part of a large, transdisciplinary, multiyear project that aimed to understand the impact of invasive trees (specifically, Prosopis juliflora) on human societies and ecosystems in eastern Africa and to develop and implement sustainable management solutions to mitigate those impacts. The strategy included 17 activities designed to support communication among scientists, students, and stakeholders from the project’s inception to its conclusion. Both the informational and relational dimensions of communication were considered in the design and implementation of these activities. We discuss the effectiveness of this communication strategy, offering it as a guide to enhancing communication and the success of large TDSS projects.

    INTRODUCTION

    Transdisciplinary sustainability science (TDSS) requires understanding and managing ecological processes by drawing on perspectives from multiple academic disciplines and from different non-academic sectors (Francis et al. 2008), often transcending geopolitical, linguistic, and cultural divides (Dallimer and Strange 2015, Wang et al. 2019). Although a framework for designing and conducting TDSS projects has emerged from practice (Lang et al. 2012), the complexity of transdisciplinary science presents many difficulties that can undermine project success (Fam and O’Rourke 2021). Critical to successful TDSS is effective communication among collaborators (Hoffmann et al. 2017, Wang et al. 2019, Fam and O’Rourke 2021). Ensuring effective communication within TDSS projects requires understanding its multiple dimensions and implementing deliberate strategies to support and assess it (Wang et al. 2019).

    Addressing communication challenges requires reflecting on what communication is. Following Pearson and Nelson, communication can be described as a “process of understanding and sharing meaning” (2000:6) that involves diverse interpersonal interactions leading to joint action (decisions or outputs). That is, communication includes both an informational dimension, along which meaning is co-constructed, and a relational dimension, along which communicators interact (Hall and O’Rourke 2014). Whereas the informational dimension is often emphasized in analysis of communication in TDSS, the relational dimension is essential for establishing trust and enabling knowledge integration, innovation, and project performance (Bond-Barnard et al. 2018). These two dimensions of communication are complementary and arguably essential to any communication event (O’Rourke and Robinson 2020). An effective communication strategy for TDSS, therefore, should foster both dimensions among all project participants (Hall and O’Rourke 2014). Successful communication in TDSS requires multiple communication approaches or tools (Fischer et al. 2024). Despite the recognized importance of deliberate communication strategies in TDSS, there are few examples of assessments of these strategies and tools (Wang et al. 2019, Fischer et al. 2024).

    We designed, implemented, and assessed a comprehensive communication strategy within a transdisciplinary, interorganizational, and international project that crossed multiple boundaries (Perz et al. 2010). The project, Woody Invasive Alien Species in Eastern Africa: Assessing and Mitigating their Negative Impacts on Ecosystem Services and Rural Livelihoods, was structured to include activities to address communication challenges anticipated and encountered during its life cycle. Our description of these activities and assessment of their effectiveness offer a guide through which future TDSS projects can enhance their communication strategies.

    Communication-related challenges in TDSS projects

    TDSS projects are generally recognized to comprise temporal phases during their life cycle (e.g., Hall et al. 2012, Hall and O’Rourke 2014), each with different communication challenges. A frequently used model of communication challenges in TDSS projects (Lang et al. 2012) describes three phases: (1) problem framing and team building, (2) co-creation of solution-oriented knowledge, and (3) integration and application of created knowledge (Lang et al. 2012, Lawrence et al. 2022). In Phase 1, the specifics of the project’s focus must be jointly delineated by a team of researchers and stakeholders through a process that can involve refining team composition to include additional participants, such as scientists or stakeholders with specialized knowledge or roles (Lang et al. 2012), and modifying project aims based on stakeholder input (Eigenbrode et al. 2024). In Phase 2, data and other knowledge requisite for the design of effective and feasible interventions are gathered. This phase may include monodisciplinary and/or interdisciplinary research on social and ecological processes. In Phase 3, the knowledge generated in Phase 2 is used to identify and initiate interventions to address the problem. These interventions will be technical and, because they are designed to support implementation, they will also entail policy or institutional elements, uptake of knowledge of management practices, and empowerment of actor groups. For success, all three phases must involve stakeholders, building relationships with them as project participants, sustaining them through knowledge generation, and relying on them for knowledge and practice dissemination and implementation.

    Each of the phases of TDSS projects entails communication challenges (Hall and O’Rourke 2014, O’Rourke et al. 2023), which can be grouped into challenges requiring particular attention to their informational or relational dimensions, recognizing that all challenges contain aspects of both (Fisher 1979, Keyton 1999, Hall and O’Rourke 2014). During Phase 1, team members from diverse sectors must come to understand one another’s views of the sustainability problem as shaped by their divergent priorities and cultural values, while overcoming potential barriers of mistrust and prejudice (Weichselgartner and Kasperson 2010, Görg et al. 2014). In Phase 2, integrating knowledge and data of different types (e.g., qualitative versus quantitative) presents communication difficulties arising from disciplinary differences in terminology, understanding of key concepts, methods for validation, and professional paradigms and values among scientific disciplines (Lélé and Norgaard 2005). Simultaneously, stakeholder knowledge and ways of understanding must be incorporated. During Phase 3, informational communication about practices and relational communication and transparency that support co-ownership and trust are critical for successful adoption of intervention measures by stakeholders (Arvai et al. 2012).

    Despite the importance of communication in TDSS collaborations, few papers have discussed the issue in depth (Hall and O’Rourke 2014, Morton et al. 2015, Choi and Richards 2017, Hoffmann et al. 2017, Wang et al. 2019). In our view, communication challenges in TDSS projects must be met deliberately, with attention to both their informational and relational dimensions (Fisher 1979, Keyton 1999, Hall and O’Rourke 2014). Informational communication can be hampered by differing technical vernaculars, understanding of concepts, and accepted methods for gaining and validating knowledge among disciplines and sectors. Relational communication can be hampered by insufficient opportunities for verbal and nonverbal interactions among collaborators and exacerbated by differences in cultures and languages. In large TDSS projects, communication occurs along multiple channels involving project scientists, students, and stakeholders at local, regional, and national levels throughout project phases. Relational and informational communication along each of these channels must be supported through all the phases of these projects (Lang et al. 2012, Hall and O’Rourke 2014).

    THE WOODY WEEDS PROJECT

    We used a case study to examine communication challenges and approaches in large TDSS projects. Woody Invasive Alien Species in Eastern Africa: Assessing and Mitigating their Negative Impacts on Ecosystem Services and Rural Livelihoods (hereafter, Woody Weeds) was a research for development (r4d) project funded by the Swiss National Science Foundation and the Swiss Agency for Development and Cooperation. Focusing on one of the major drivers of global change, invasive alien species (IAS), the project aimed to accomplish two objectives: (1) assessing the environmental and socio-economic effects of invasive alien trees in Kenya, Tanzania, and Ethiopia; and (2) elaborating strategies to reduce their negative impacts on the environment and on rural livelihoods. A primary focus was Prosopis juliflora, an aggressive invasive tree species in eastern Africa. The project adopted a transdisciplinary approach to this complex problem that included comparing effects of increasing P. juliflora densities on the socio-economic and the environmental components of social-ecological systems. Transdisciplinary approaches are rarely employed to address P. juliflora invasions (Gebrehiwot and Steger 2024). The requisite coordinated action by multiple scientific disciplines and stakeholders across sectors and scales poses substantial communication challenges. Communication among stakeholders was complicated within Woody Weeds because P. juliflora, like some other deliberately introduced trees, is a conflict-of-interest species. Some stakeholders value the trees for benefits such as wood, shade, and reduced wind erosion, whereas others are concerned about cumulative negative impacts of the trees on biodiversity and ecosystem services such as availability and accessibility of water and fodder for livestock.

    Woody Weeds responded by building an interdisciplinary scientific team collaborating with stakeholders from local to national scales. The design of the project addressed the need for transboundary collaboration for Prosopis management, e.g. between locations, subcounties, counties or countries. Representatives from Ethiopia, Kenya, and Tanzania were invited to the kickoff meeting to discuss, among others, transboundary issues (e.g., invasion from Kenya into Tanzania). Engagement during the project supported a spatial approach. For example, Kerio Valley, Kenya comprises some 15–20 locations that belong to three different counties. The project organized meetings with chiefs (the highest administrative position in a location) from all counties to agree on a common management objective and a common way of implementing early detection and rapid responses to encroachments. The scientific team comprised ecologists, geographers, social scientists, economists, and remote sensing specialists from five countries (Ethiopia, Kenya, South Africa, Switzerland, and Tanzania) and included 18 students in two temporal cohorts. The first cohort comprised two PhDs from Ethiopia and one each from Tanzania, the Netherlands, Kenya, and Chile, as well as two MScs from Ethiopia and Tanzania and one from Kenya. The second cohort included one early postdoc from South Africa, one PhD each from Kenya and Tanzania, three MScs from Tanzania, and one each from Ethiopia and South Africa. The project implemented several activities designed to address the expected communication challenges among these diverse participants, including a collaboration with communication experts from the Toolbox Dialogue Initiative (TDI; Hubbs et al. 2020; https://tdi.msu.edu), which conducted surveys and organized workshops and related activities aimed to improve communication.

    The seven-year Woody Weeds project was organized following a generic temporal and spatial structure as depicted in Fig. 1. During Phase 1, multiple stakeholder workshops were held to exchange knowledge, reflect on stakeholder perceptions and needs, reframe the problem to be addressed in the different study areas, and adjust the project activities accordingly. The first stakeholder workshops were also used to strengthen relationships among team members, foster cross-disciplinary understanding, and design approaches to data collection. Phase 2 of the project was initially primarily mono-disciplinary, transitioning to interdisciplinary efforts to integrate environmental, social, and economic data collected at local scales with larger scale spatial assessments of the level of invasion by the most important invasive tree species. This integration allowed upscaling from local data to regional and national scales relevant for policy makers. Activities during this phase were designed to position the students at the core of the project, collecting most of the local data and working with remote-sensed data to enable interdisciplinary analysis and integration. Phase 3 sought to develop and implement management strategies. The transition between Phase 2 and Phase 3 was structured to facilitate the transfer of research findings to management strategies and entailed working closely with stakeholders. To this end, local implementation groups (LIGs) were organized consisting of representatives of all major stakeholder groups and Woody Weeds scientists in each of four defined study areas: Afar region of Ethiopia, where Prosopis invasion along the Awash river has caused reduced access to grazing land and water and associated ethnic conflicts; Baringo district of Kenya, where degradation of grazing lands by Prosopis prompted lawsuits against the government for sanctioning the tree’s introduction; East Usambara, Tanzania, a global biodiversity hotspot where invasions by Lantana camara threaten biodiversity and encroach into agricultural land, leading to cropping pattern change; and Kahe, Tanzania, which experiences a transboundary Prosopis invasion from Kenya. The LIGs selected management practices for testing within the project. The project team and the LIGs shared information generated in Woody Weeds with other stakeholders from the local to the national scale and explored ways to incorporate the project’s invasive species management findings into existing planning and budgetary processes at the subnational and national scales. More details on the Prosopis problem in eastern Africa and on the Woody Weeds project are provided in Schaffner et al. 2025.

    Communication strategy within Woody Weeds

    Woody Weeds required effective communication within and across disciplines, sectors, stakeholder groups, and countries. A communication strategy that involved 17 activities wholly or partially designed to support communication (relational, informational, or both) was implemented through all project phases (Table 1).

    Phase 1: problem framing and team building

    During proposal preparation, three of the four study areas and preselected target invasive tree species for the project were identified. Shortly after funding was approved, the senior project scientists interacted closely with stakeholders from different sectors (e.g., agriculture, environment, water, tourism, and health) and scales (local to national) to review the proposed activities, outputs, and outcomes; discuss stakeholder needs (e.g., knowledge gaps and access to information and management tools); and understand the motivations for and barriers to adopting IAS management in the context of environmental management. This was done as part of a national inception workshop (Activity 1, Table 1), to which were invited representatives of governmental agencies from Ethiopia, Kenya, and Tanzania (e.g., ministries dealing with invasive species, livestock, forestry, and biodiversity) and research institutes (e.g., for forestry or agriculture).

    Subsequent to the inception workshop, regional stakeholder workshops (Activity 2, Table 1) were organized in each study area, to which were invited representatives from subnational governments and NGOs, community-based organizations, natural resource management organizations (e.g., community forest associations, charcoal producer associations), community representatives (e.g., chiefs, elders), and community conservancies (e.g., chairs of the board). Activities 1 and 2 were whole-day events during which informational and relational communication were facilitated. During the regional stakeholder workshops, participants reviewed the project objectives and activities and the planned outputs (e.g., best practice manuals and policy briefs) and outcomes (e.g., change of knowledge or practice) and refined delineation of the study areas and the target weeds based on local conditions. An important outcome was the clarification that problem framing and research questions varied among study areas, even when they had been invaded by the same invasive tree at the same time. Both the national inception workshop and the regional stakeholder workshops initiated personal relationships between project members and stakeholders, which often continued and deepened during the project. Graduate students’ participation in regional stakeholder workshops provided the students a first opportunity to meet and communicate with the stakeholders with whom they would interact regularly during data collection in the field.

    Although the r4d program required that team and partner composition, activities, and funding allocated for these activities be largely set prior to project inception, Woody Weeds was able to make some modifications to the project based on stakeholder input during the national inception workshop. An additional Ethiopian partner was invited to lead implementation of invasive species management focused on reducing negative effects of Prosopis on rural livelihoods. An additional study area was added (Kahe, Tanzania). New MSc positions were added to assess stakeholders’ perceptions of the invasive tree species and how those perceptions changed during the project in each study area.

    In-person all-project meetings (Activity 3, Table 1), held approximately every nine months and rotating among the countries and regions of the project, were critical for communication throughout the project. They made possible collaborative engagement among scientists and stakeholders, capacity building activities for students and stakeholders, and planning efforts for the months ahead in each region. At each meeting, a senior scientist delivered an overview presentation on their core discipline, highlighting its contributions to advancing the project’s outputs and outcomes. Stakeholders from the nearby study areas were invited to each in-person all-project meeting for knowledge exchange and to learn their views and needs regarding invasive species and natural resource management.

    An annual, anonymous online communication survey (Activity 4, Table 1) was initiated in the first year and conducted every year thereafter to give project participants the opportunity to provide feedback regarding the effectiveness of communication within the project. Survey results were summarized by the communication experts from TDI in a report to leadership and to project participants at the following in-person all-project meeting. Responses to this survey often included adjustments to improve project communication.

    After most of the in-person all-project meetings, a post-meeting excursion (Activity 5, Table 1) was organized to foster camaraderie among project partners in a relaxed setting. These excursions provided opportunities to connect on a personal level and to engage in shared interests such as birding and hiking.

    The project team created two communication groups, one consisting of all team members and one consisting of students only (Activity 6, Table 1; as part of electronic/virtual communication). Early in the project, the PhD students were invited and encouraged to develop a student coauthored opinion paper (Activity 7, Table 1) on key components of social-ecological research and the implementation of the findings. Beginning with the first in-person all-project meeting, continuing communication activities were initiated. First, the PhD students were provided funds to go out for a dinner together without supervisors (Activity 8, Table 1) to build personal relationships in support of their collaborative effort. Second, a toolbox workshop (Looney et al. 2013, Hubbs et al. 2020; Activity 9, Table 1) was held during which all team members, including students and senior scientists, responded to a set of prompts that probed their views on the practice and application of scientific research. Participants shared their views, and the resulting dialogue revealed how fundamental research assumptions varied and enhanced mutual understanding across the team.

    Phase 2: co-creation of solution-oriented knowledge

    Most of the research within Woody Weeds was conducted by the students, so communication among and with students was central for Phase 2. A first student cohort of PhD students was recruited early in the project and all but one participated in the national inception workshop and the first regional stakeholder workshops. After the national inception workshop, the PhD students were tasked with developing dissertation proposals that would (1) address the research questions outlined in the proposal to r4d and refined during the first regional stakeholder workshops and the first in-person all-project meetings, (2) fulfil requirements of their specific university programs (e.g., two publications in peer-reviewed scientific journals), and (3) fulfil Woody Weeds-specific requirements (three publications including at least one interdisciplinary paper integrating their own data with data collected by a Woody Weeds student in a different scientific discipline).

    These students worked with their faculty supervisors and at least one additional Woody Weeds mentor with appropriate expertise through face-to-face and virtual student-supervisor interactions (Activity 10, Table 1). Initially, student research tended to be mono-disciplinary, but eventually cross disciplinary integration was pursued. To generate meaningful knowledge about the social-ecological systems in the study areas and ways to implement novel management interventions (Pohl and Hirsch Hadorn 2007), social, economic, and ecological data were collected in each study area in multiple administrative units (e.g., sub-location in Kenya and kebele in Ethiopia) differing in as wide a range of biological invasions as possible. This sampling design required extensive communication and coordination among the students from different disciplines collecting the data in the field and those conducting spatial analysis of the invasion process using remote sensed data.

    Student training days (Activity 11, Table 1), held for one or two days prior to each in-person all-project meeting beginning with the second meeting, provided training in study design, data collection, documentation and sharing, remote sensing, geospatial and statistical data analysis, cross disciplinary communication, manuscript writing, and dissemination of scientific findings to different stakeholders. Joint field work (Activity 12, Table 1) by students working in different disciplines exposed them repeatedly to the inter- and transdisciplinary context of their work. This increased mutual understanding of methods and approaches across scientific disciplines, potential constraints regarding data integration (e.g., sampling of socio-economic and environmental data at different spatial units such as households versus field plots), and the power of interdisciplinary synthesis to generate novel actionable science.

    Phase 3: integration and application of created knowledge

    Students were also critical for the project during Phase 3. Because PhD students in the first cohort were finalizing their dissertations, a second cohort of students was recruited to develop management options and to understand and address barriers to uptake of potential solutions to the problem of IAS. Students in the second cohort depended on data and data interpretation generated by the first cohort, often requiring that students from both cohorts work together. Decisions about how to interpret and use the data to mitigate the negative impacts of invasive trees and shrubs on rural livelihoods and ecosystems were made collaboratively, often by students from both cohorts. To facilitate this work across cohorts, a student cohort knowledge transfer event for students in both cohorts (Activity 13, Table 1) took place at one of the in-person all-project meetings.

    Stakeholder engagement was especially critical during Phase 3 for implementation of management recommendations generated through Phases 1 and 2. Local implementation groups (LIGs; Activity 14, Table 1) were initiated at regional meetings as partnerships involving project scientists, representatives of affected communities, extension services, NGOs active in the study areas, and representatives of local, subnational, and national administrations. The LIGs represented the range of stakeholder views, from those who benefitted from P. juliflora and advocated its utilization to those concerned about its negative impacts and advocated aggressive management to prevent its spread (Pirozzi 2019). Using a structured, deliberative, multi-criteria decision process (Schwilch et al. 2012), the LIGs applied local knowledge and the new knowledge generated during Phase 2 of Woody Weeds to rate ecosystem services affected by different P. juliflora tree management practices and reflect on trade-offs and synergies among social, economic, and ecological dimensions of these practices.

    As part of Phase 3, students were mentored in the writing of interdisciplinary research papers (Activity 15, Table 1). A PhD paper writing workshop was held at the University of Bern, Switzerland (Activity 16, Table 1) that focused on determining which data to include in interdisciplinary research papers, analyzing and interpreting those data, and drafting manuscripts.

    Interactions with policymakers established during Phase 1 and maintained during Phase 2 were further strengthened in Phase 3 by regular meetings with policymakers (Activity 17, Table 1). As an outcome, the Woody Weeds team was invited to provide input into policy processes in each of the target countries. In Kenya, the project team provided a report with the major findings of this project to the Ministry of Environment, Climate Change, and Forestry through the Kenya Forestry Research Institute. This report became a key resource during the drafting of a new National Prosopis Strategy in 2020/2021. In Tanzania, three project partners were members (with one acting as chair) of the task force mandated by Tanzania’s Vice-President’s Office to draft the National Invasive Species Strategy and Action Plan for Tanzania. In Ethiopia, policymakers requested data summaries, which have so far not led to changes at the policy level or at the level of on-the-ground management of invasive tree species.

    Across phases

    Some activities were ongoing in all phases of the project, including student-supervisor interactions and other ad hoc interactions. Others, initiated in Phase 1, occurred regularly and subsequently throughout the project, including in-person all-project meetings, student training days, PhD dinners, and post-meeting excursions. Toolbox workshops were implemented each year, with their focus evolving as the project progressed. The first was an exploration of participant views and assumptions about science and application. The second addressed issues primarily related to the research and communication aspects specifically within Woody Weeds. This workshop revealed the importance of students as links between project management and academic institutions and between scientists and stakeholders, particularly the local stakeholders with whom the students regularly interacted during their field work. The third Toolbox workshop included work on how to integrate local knowledge and scientific knowledge. The fourth involved stakeholders from an LIG who were supported in sharing their visions of their environment, their region, the actors in their region, their roles to achieve these visions, and the knowledge needed to facilitate desired outcomes.

    Synopsis of the Woody Weeds communication strategy

    TDSS projects confront several widely recognized communication challenges with informational and relational dimensions or both (Fisher 1979, Keyton 1999, O’Rourke et al. 2023). Figs. 2–4 provide an overview of these challenges as they arose in each phase of Woody Weeds and the activities described above and listed in Figs. 2–4 that addressed one or more of these challenges. Filled circles in these figures indicate that an activity (columns) was specifically designed to meet one or more communication challenges (rows). Open circles indicate that an activity designed to meet a specific challenge also contributed to meeting others. The table is divided into three lettered sections, one for each of the three phases of a TDSS project. Certain patterns are evident. First, all activities addressed multiple communication challenges, whether specifically or as a contributor to addressing these challenges. Second, Figs. 2 and 4 (Phases 1 and 3) include more filled circles than Fig. 3 (Phase 2), indicating that activities designed to address specific communication challenges occurred more during the beginning and toward the end of the project when stakeholder involvement was of greatest importance. Activities that were implemented during Phase 2 (Fig. 3) were primarily those that were ongoing throughout the project, adapted to address informational or relational issues as they arose. Challenges in Figs. 2–4 are categorized as primarily addressing relational or informational communication, but most involved both dimensions, in play all through the project. Communication challenges are more numerous in Phases 1 and 3 (Figs. 2 and 4), likely reflecting the complexities of problem framing and implementation.

    ASSESSMENTS OF THE WOODY WEEDS COMMUNICATION STRATEGY

    The effectiveness of communication in Woody Weeds was assessed during the project through the communication surveys, TDI workshops, and at the final in-person all-project meeting in spring 2022. At that meeting, students, senior scientists, and stakeholders participated in three separate workshops consisting of a survey followed by a discussion of participants’ experiences as part of the Woody Weeds project. There were 12 stakeholders (out of more than 100 stakeholders involved in project activities), nine scientists (out of a total of 24 scientists), and six students or former students (out of a total of eight PhD and 10 MSc students) in these workshops. The surveys consisted of a set of 22–27 questions with possible answers in Likert format. After completing the surveys, participants engaged in an unstructured discussion of the Woody Weeds experience, which was recorded and transcribed. Salient findings are presented here.

    We summarized a subset of 23 questions that were comparable across at least two of the three groups (Table 2). Mean scores of responses to these questions across all participants (Fig. 5) indicated a generally positive assessment of sharing information, promoting efficient interactions, and creating collective knowledge within Woody Weeds. Questions concerning relational communication (5–10) were the most consistently positive across all three groups. Scores diverged more concerning participants’ involvement in problem identification and involvement in project design (questions 11–15). Students and stakeholders tended to think they contributed less to project design and its adaptive development than did scientists (questions 12 and 13). Stakeholders felt they were less involved in data interpretation than did scientists or students (question 21). Stakeholders did not feel they contributed to problem identification as much as did the scientists (question 11; students were not asked about this because they did not join the project until after problem identification).

    The discussions in each workshop were unstructured, inviting comments on the survey questions and on the list of the 17 activities (Table 1) provided as a handout to participants. Seven of the activities were discussed in one or more of the workshops. Student training days were generally viewed as important or essential for effectiveness. Toolbox workshops were positively viewed for improving mutual understanding. As one scientist stated, they “provided a safe space for discussing ideas and were opportunities for everyone to speak out.” PhD dinners were viewed as important for strengthening personal relationships and facilitating collaboration. In contrast, the student cohort knowledge transfer event (Activity 14, Table 1) was not viewed as particularly effective by the students, possibly reflecting a persistent reluctance by some students to share their data for interdisciplinary work and publications. The student coauthored opinion paper (Activity 7, Table 1) was submitted to three high ranking journals but was deemed by editors-in-chief to lack sufficient originality for consideration. At that point, the students’ interdisciplinary collaborative research papers became priorities. The students felt they needed more guidance to succeed with the coauthored opinion paper.

    LIG meetings (Activity 14, Table 1) were widely viewed as important for refining project emphasis, including addressing differences in attitude among stakeholders concerning the importance of removing Prosopis and preventing its spread versus preserving the trees for utilization. Some stakeholders thought that these disparate perspectives were unevenly represented in initial project meetings, with those favoring management appearing to be more vocal, although both perspectives were represented across the range of LIG participants—from local stakeholders to policymakers. Some stakeholders thought the national and local inception workshops would have benefitted from more policymaker presence and engagement. Language and cultural barriers to communication between project scientists and students and stakeholders were mentioned several times.

    Despite these concerns, Woody Weeds was viewed by all discussants as successful overall in changing awareness, influencing policy, and involving stakeholders in respectful ways. Both stakeholders and project scientists considered the regional stakeholder workshops as particularly valuable. As one senior scientist noted, they helped concretize the problem definition for each specific study area and established initial personal relationships between the local stakeholder community and the project team, including students who subsequently met these stakeholders during their field activities. Stakeholders noted that other development projects with which they had been involved were less inclusive of stakeholder views than Woody Weeds, and, as a result, these other projects were less successful. Several thought that better connections between Woody Weeds and other projects working in the same regions with the same stakeholder groups would be beneficial.

    As another approach to assessing the Woody Weeds communication strategy, we considered the “indicators for successful communication” in transdisciplinary projects identified by Wang et al. (2019:1678) and for which we had information for assessment. Of the seven indicators concerned with relational development (Wang et al. 2019), six appeared to have been clearly met; responses pertaining to one, team members contribute actively to solution development, were mixed (Table 3). Of the three indicators concerning solution development, two appear to have been clearly met; responses pertaining to one, joint definition of the focal problem and project objective(s), were not positive from stakeholders and students.

    Another metric of success in cross-disciplinary collaboration is the number of interdisciplinary publications (Whitfield 2008). By July 2024 (24 months after the project ended), Woody Weeds had generated 29 scientific publications with primary data of which 27 were coauthored by project partners from at least two different scientific disciplines. According to Google Scholar, as of July 2024, publications from Woody Weeds had been cited more than 1,500 times. Relevant to the project’s goals for capacity building, 16 publications were first authored by PhD or MSc students from the target countries in eastern Africa.

    Strengths and weaknesses of the communication strategy applied in Woody Weeds

    Based on surveys, discussions, and metrics relevant to communication in transdisciplinary projects, Woody Weeds can be considered as successful overall in creating a collaborative, inclusive environment and in generating actionable knowledge. Stakeholders, senior scientists, and students all considered the project successful or very successful in establishing personal relationships and effective interactions and in generating an environment conducive for discussing ideas in an open and inclusive way for collective knowledge creation and for joint learning.

    On the other hand, some limitations and shortcomings can be identified. First, students and stakeholders did not feel as involved as they would have liked in problem identification and objective development. This likely stemmed from inherent structural constraints. Student recruitment and initial stakeholder workshops were necessarily held after project had been submitted for review by the funding agency. These constraints are not atypical for programs aiming to support research for development (e.g., Phillipson et al. 2012). The experience in Woody Weeds suggests the need for a systematic change to enable funding for stakeholder engagement and even student recruitment prior to full proposal submissions for development projects.

    Second, communication related to changes in Woody Weeds team composition over time was less successful. Despite activities designed to facilitate communication during the transition between two student cohorts (Table 1, Activities 8, 12, and 13), there were impediments to their success. Students from the first phase were under pressure to finish their theses and publish their scientific papers just as data transfers were required by the new students, introducing time and energy constraints. Furthermore, some of the data of first phase students were unpublished at the time of the student cohort knowledge transfer exchange, and first phase students were reluctant to share these data. This experience in Woody Weeds suggests that, in projects with sequential cohorts of participants, careful attention should be given to establishing an environment of trust and cooperation between the cohorts, including clear expectations for data sharing and mechanisms to protect intellectual contributions of all parties, while promoting synthesis and implementation.

    Third, the rejection of the student coauthored opinion paper (Activity 7, Table 1) was disappointing for the students, who accordingly gave this activity a low assessment. Whereas the work on the paper helped the students reflect on and improve their interdisciplinary coauthored research publications, the rejection of the paper presents a caution to recognize and plan for the extra burdens that accompany synthetic authorship.

    Fourth, the stakeholders’ differing views about what the project should focus on and to what extent stakeholders can influence the scope of the project introduced substantial communication issues, particularly during the initial project phase. Stakeholders invited to the Woody Weeds inception workshops included those aligned with the project’s focus on assessing the impacts of invasive non-native tree species and developing management interventions and others primarily interested in learning new ways of utilizing P. juliflora. The diverse stated and unstated views among stakeholders raised the question of how participatory knowledge production can be organized in a way that increases the social relevance but also guarantees scientific quality (Hage et al. 2010). Even when communication challenges are addressed, as was accomplished in Woody Weeds, disagreements cannot always be resolved to everyone’s satisfaction.

    Over time, stakeholder participation in Woody Weeds shifted toward co-production and co-decision processes, which was facilitated by consolidated relationships built on increasing trust. This culminated in the engagement of chiefs, elders, and other opinion leaders from different ethnic groups in the study areas and representatives of governmental and non-governmental organizations in a structured, deliberative, multi-criteria decision process for co-selecting and co-implementing sustainable land management practices for P. juliflora. The engagement of local stakeholders in the multi-criteria decision processes reinforced their perceptions about the need to actively contribute to environmental conservation (Adoyo et al. 2022) and promoted uptake of the project findings (Eschen et al. 2024), consistent with ideals articulated by Bagnol et al. (2016). The lessons learned in Woody Weeds support Hage et al.’s (2010) emphasis on the importance of reflection and transparency regarding the role of stakeholders during different communication activities or phases of TDSS projects.

    Finally, some stakeholders in Woody Weeds felt that they were not fully involved in data interpretation and in drafting management recommendations. Some of this is likely because several LIG activities, including field visits to management trials and workshops to reflect on project results, were cancelled because of COVID. This gap in stakeholder involvement toward the end of Woody Weeds has been partly addressed in a follow-up project in Kenya, in which stakeholders from different sectors acting at different scales (county government to community representatives) in three counties engaged in a co-decision process to develop a spatially explicit management plan for P. juliflora (Ehrensperger et al. 2024).

    RECOMMENDATIONS FOR DESIGNING AND IMPLEMENTING COMMUNICATION STRATEGIES FOR TDSS

    High-performing, collaborative research teams are characterized by “positive interdependence of team members, effective communication, and individual and group accountability” (Cheruvelil et al. 2014:31–32). TDSS projects have their foundations in collaborative environmental management (Holling 1978) that is adaptive in that it responds to changing conditions, enables learning across sectors, and pursues emerging opportunities, which are often essential for effective transdisciplinary work (Armitage et al. 2008). The approach, sometimes formally designated as collaborative adaptive management (CAM; Susskind et al. 2012), depends on close and continuous communication and collaboration with stakeholders (Steger et al. 2021, Urton and Murray 2021). Without strong communication, cross sector collaboration to solve environmental problems will be hampered by misunderstanding and difficulty identifying common priorities (Scarlett and McKinney, 2013). Despite this known requisite, there are few studies that discuss the elements of a communication strategy to support the collaborative interdependence at the heart of these efforts and provide an assessment of their success. We have outlined and assessed the communication strategy employed during Woody Weeds to address the communication challenges listed in Fig. 1. Based on that, we recommend the following be considered when designing a communication strategy for TDSS projects.

    1. Include activities to address both the informational and relational dimensions of communication.
    2. Include activities that disclose differences in beliefs, values, and fundamental assumptions underpinning research methods and data interpretation, which can otherwise be hidden obstacles to success of TDSS projects.
    3. Include activities designed to facilitate collaboration among students and other participants collecting data in different disciplines that meet the interests of institutional and project supervisors and support interaction and knowledge exchange with local stakeholders during field work.
    4. Allow for adaptive management that can detect and respond to communication issues involving team members and external stakeholders that may arise during the project’s lifetime.
    5. Attend to the relational and informational aspects of communication with representative, broadly legitimated stakeholder groups early in the project to promote mutual learning and trust building. Ideally, and if funding models allow, this engagement would commence prior to the official launch of the project to enable full engagement in co-decision and co-implementation.
    6. Successful communication within TDSS projects can be facilitated by constructing a matrix, such as depicted in Figs. 2–4, during project planning and design. Delineating communication challenges anticipated throughout a project’s lifetime (rows) can guide the design of activities to address each of them. Throughout the project, this matrix can be revisited for ongoing assessment and to inform adaptive management in response to communication challenges as they arise.
    In summary, TDSS projects face multiple communication challenges that we recommend be addressed through comprehensive and deliberate strategies that consider both the informational and relational dimensions of communication and the several channels of communication among participants. Woody Weeds is an example of such a strategy, employed within a large, transdisciplinary, international project that addressed the problem of invasive woody weeds in eastern Africa. Based on our assessments of the project, the communication strategy was largely successful but encountered difficulties, some particular to the project but most relevant to any TDSS project. By detailing these and drawing out a set of recommendations, we hope to inform and promote similar approaches to improving communication as part of successful design and implementation of TDSS projects.

    RESPONSES TO THIS ARTICLE

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    ACKNOWLEDGMENTS

    This work was supported by the Swiss Programme for Research on Global Issues for Development (r4d), funded by the Swiss National Science Foundation and the Swiss Agency for Development and Cooperation, through the project Woody invasive alien species in eastern Africa: assessing and mitigating their negative impact on ecosystem services and rural livelihood (Grant Number: 400440_152085). U. S. and R. E. were supported by CABI with core financial support from its member countries (see https://www.cabi.org/what-we-do/how-we-work/cabi-donors-and-partners/ for full details ). M. O.’s work on this manuscript was supported by the USDA National Institute of Food and Agriculture, Hatch project MICL02573.

    Use of Artificial Intelligence (AI) and AI-assisted Tools

    AI technology was not used in the preparation or writing of this paper.

    DATA AVAILABILITY

    The only data unique to this paper are results of a participant survey that were used to prepare Fig. 5. The data have been anonymized by removing individual identifiers for participants. Survey data that support the findings of this study are openly available in VERSO at https://doi.org/10.60841/000000272 (Eigenbrode et al. 2025).

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    Corresponding author:
    Sanford Eigenbrode
    sanforde@uidaho.edu
    Fig. 1
    Fig. 1. Generalized structure of a large, multinational transdisciplinary sustainability science (TDSS) project designed to address issues facing social-ecological systems. Arrows in orange indicate temporal and spatial axes. The green tags at the beginning of the content illustrate the diversity of stakeholders concerned at different scales. The green arrows at the end illustrate the outcomes to be achieved at each of these scales. The intervening darker green boxes illustrate activities and outputs designed to achieve project outcomes and to facilitate communication among scientists and stakeholders during the three phases of the project.

    Fig. 1. Generalized structure of a large, multinational transdisciplinary sustainability science (TDSS) project designed to address issues facing social-ecological systems. Arrows in orange indicate temporal and spatial axes. The green tags at the beginning of the content illustrate the diversity of stakeholders concerned at different scales. The green arrows at the end illustrate the outcomes to be achieved at each of these scales. The intervening darker green boxes illustrate activities and outputs designed to achieve project outcomes and to facilitate communication among scientists and stakeholders during the three phases of the project.

    Fig. 1
    Fig. 2
    Fig. 2. Major communication challenges related to Phase 1 of a transdisciplinary sustainability science (TDSS) project and requiring particular attention to either their informational dimensions (blue rows) or relational dimensions (green rows), recognizing that all challenges contain aspects of both.The columns refer to the 17 activities conducted in Woody Weeds (Table 1) that addressed these challenges. Filled dots represent activities designed to address the specific communication challenge and open dots represent activities designed to address other communication challenges but that contributed to addressing the specific challenge.

    Fig. 2. Major communication challenges related to Phase 1 of a transdisciplinary sustainability science (TDSS) project and requiring particular attention to either their informational dimensions (blue rows) or relational dimensions (green rows), recognizing that all challenges contain aspects of both.The columns refer to the 17 activities conducted in Woody Weeds (Table 1) that addressed these challenges. Filled dots represent activities designed to address the specific communication challenge and open dots represent activities designed to address other communication challenges but that contributed to addressing the specific challenge.

    Fig. 2
    Fig. 3
    Fig. 3. Major communication challenges related to Phase 2 of a transdisciplinary sustainability science (TDSS) project and requiring particular attention to either their informational dimensions (blue rows) or relational dimensions (green rows), recognizing that all challenges contain aspects of both. The columns refer to the 17 activities conducted in Woody Weeds (Table 1) that addressed these challenges. Filled dots represent activities designed to address the specific communication challenge and open dots represent activities designed to address other communication challenges but that contributed to addressing the specific challenge.

    Fig. 3. Major communication challenges related to Phase 2 of a transdisciplinary sustainability science (TDSS) project and requiring particular attention to either their informational dimensions (blue rows) or relational dimensions (green rows), recognizing that all challenges contain aspects of both. The columns refer to the 17 activities conducted in Woody Weeds (Table 1) that addressed these challenges. Filled dots represent activities designed to address the specific communication challenge and open dots represent activities designed to address other communication challenges but that contributed to addressing the specific challenge.

    Fig. 3
    Fig. 4
    Fig. 4. Major communication challenges related to Phase 3 of a transdisciplinary sustainability science (TDSS) project and requiring particular attention to either their informational dimensions (blue rows) or relational dimensions (green rows), recognizing that all challenges contain aspects of both. The columns refer to the 17 activities conducted in Woody Weeds (Table 1) that addressed these challenges. Filled dots represent activities designed to address the specific communication challenge and open dots represent activities designed to address other communication challenges, but that contributed to addressing the specific challenge.

    Fig. 4. Major communication challenges related to Phase 3 of a transdisciplinary sustainability science (TDSS) project and requiring particular attention to either their informational dimensions (blue rows) or relational dimensions (green rows), recognizing that all challenges contain aspects of both. The columns refer to the 17 activities conducted in Woody Weeds (Table 1) that addressed these challenges. Filled dots represent activities designed to address the specific communication challenge and open dots represent activities designed to address other communication challenges, but that contributed to addressing the specific challenge.

    Fig. 4
    Fig. 5
    Fig. 5. Plot of mean responses to questions in the final project survey that were common to each of three groups of participants: project scientists, stakeholders, and students. The complete questions and specific meaning of each response (1–4) are provided in Table 2. Responses ranged from 1 (strongly positive) to 4 (strongly negative). Respondent groups were asked the same questions except question 11, which was not asked of students. Variation within respondent group, which was sometimes wide, is not shown.

    Fig. 5. Plot of mean responses to questions in the final project survey that were common to each of three groups of participants: project scientists, stakeholders, and students. The complete questions and specific meaning of each response (1–4) are provided in Table 2. Responses ranged from 1 (strongly positive) to 4 (strongly negative). Respondent groups were asked the same questions except question 11, which was not asked of students. Variation within respondent group, which was sometimes wide, is not shown.

    Fig. 5
    Table 1
    Table 1. Activities undertaken during the lifetime of Woody Weeds designed to promote requisite communication among participants.

    Table 1. Activities undertaken during the lifetime of Woody Weeds designed to promote requisite communication among participants.

    Activity Activity description
    1. National inception workshop One-day event at beginning of project with national/regional representatives from Ethiopia, Kenya and Tanzania; presented general project outline; listened to feedback/input from stakeholders; reflected on whether the project has identified the key general questions.
    2. Regional stakeholder workshops One-day event in each study area during first project months with local/regional stakeholders; feedback/input from stakeholders on the project (target species, research questions, etc.) and knowledge exchange.
    3. In-person all-project meetings Physical meetings with whole project team approximately every nine months; progress reports, particularly by students; participated in a field visit; planning and coordination of next activities.
    4. On-line communication surveys Annual online survey of project participants to assess effectiveness of communication efforts in the project; results presented at project meetings in an anonymized form.
    5. Post-meeting excursions One-day field trips by scientists and students to scenic areas near meeting sites.
    6. Electronic/virtual communication Use of email, phone, WhatsApp, Skype, and Zoom to communicate with one another.
    7. Student coauthored opinion paper Jointly authored paper by PhD students on the components of social-ecological research and implementation and their experience in training.
    8. PhD dinners A joint dinner of all PhD students, without supervisors, on one of the evenings of each of the project meetings.
    9. Toolbox workshops Workshops designed to facilitate interdisciplinary understanding and communication.
    10. Student-supervisor interactions Ad hoc meetings between students and supervisors, with or without additional members of the PhD advisory committee.
    11. Student training days Two training days before each of the project meetings; students drafted interdisciplinary research questions and received training in data collection, data entry, and analysis; students planned joint field trips.
    12. Joint field work Students planned and conducted joint field work.
    13. Student cohort knowledge transfer event Meetings of PhD students from Phase 1 (primarily research) and Phase 2 (primarily implementation).
    14. Local implementation group (LIG) meetings Meetings of representatives of key stakeholder groups that engaged them in decision-making processes regarding implementation of invasive alien species (IAS) management in their localities.
    15. Interdisciplinary research papers Produced papers integrating data from at least two students from different disciplines.
    16. PhD paper writing workshop Physical meeting of PhD students of Phase 1 in Switzerland to work on research writing.
    17. Meetings with policymakers Ad-hoc meetings to discuss relevance of project findings for policy.

    Table 2
    Table 2. Questions included in the survey completed by project scientists, stakeholders, and students or former students in the Woody Weeds project and grouped by the primary dimension of communication to which they pertain. The abbreviated versions of the questions, in parentheses, are used to display the survey results in Fig. 3.

    Table 2. Questions included in the survey completed by project scientists, stakeholders, and students or former students in the Woody Weeds project and grouped by the primary dimension of communication to which they pertain. The abbreviated versions of the questions, in parentheses, are used to display the survey results in Fig. 3.

    Survey question
    Informational
    1. How well did you understand the objectives of the Woody Weeds project? (Understand the objectives?)
    2. How well did you understand the questions asked by scientists in different disciplines in the Woody Weeds project? (Understood questions?)
    3. How well did you understand the data types employed by scientists in different disciplines in the Woody Weeds project? (Understand data types?)
    4. How well did you understand the analytical approaches employed by scientists in different disciplines in the Woody Weeds project? (Understand analytical approaches?)
     
    Relational
    5. How well did the project enable scientists and stakeholders to develop relationships that enable ongoing collaboration and implementation? (Personal relationships?)
    6. How well did the Woody Weeds Project facilitate or impede efficient interactions among the team members i.e. stakeholders, students, and scientists? (Facilitated interactions?)
    7. How well did the Woody Weeds Project facilitate or impede collective knowledge creation? (Collective knowledge creation?)
    8. How well did the Woody Weeds Project foster or discourage an open and inclusive approach to considering different viewpoints? (Inclusive approach?)
    9. How well did the Woody Weeds project provide a safe space for all participants to discuss ideas in an equal and inclusive way? (Discuss ideas?)
    10. How much were stakeholders who collaborated with the Woody Weeds Project engaged in a manner that enabled ongoing learning? (Ongoing learning?)
     
    Both informational and relational
    11., To what extent did you contribute to problem identification for the Woody Weeds project? (Contribute to the problem identification?)
    12. To what extent did you contribute to the design of the Woody Weeds project? (Contribute to the design?)
    13. To what extent did you contribute to the adaptive development of the Woody Weeds project during the years of its execution? (Adaptive development?)
    14. How well did the Woody Weeds Project facilitate or impede information sharing? (Information sharing?)
    15. How well did the Woody Weeds Project involve all types of stakeholders? (All types of stakeholders?)
    16. Considering the different societal roles of men and women, how well did the Woody Weeds Project involve women? (Women?)
    17. Considering the different societal roles of men and women, how well did the Woody Weeds Project involve men? (Men?)
    18. How well did the Woody Weeds team offer opportunities for discovering multiple solutions to the problems the project addressed? (Discovering multiple solutions?)
    19. How well did the Woody Weeds project provide a safe space for all participants to resolve issues in an equal and inclusive way? (Resolved issues?)
    20. How much were you involved in the analysis of data from the Woody Weeds project? (Involved in analysis?)
    21. How much were you involved in the interpretation of data from the Woody Weeds project? (Involved in interpretation? Involved in interpretation?)
    22. How much were you involved in decision-making processes that led to recommendations to stakeholders? (Recommendations?)
    23. How well did the interdisciplinary structure of Woody Weeds make its work more policy-relevant? (Relevance for policy?)
    Participants responded on a scale ranging from 1–4 for each question. For each question, 1 was the most positive response and 4 was the least positive response.
    Table 3
    Table 3. Indicators of successful communication in transdisciplinary projects, as proposed by Wang et al. (2019), and corresponding assessments by stakeholders, project scientists, and project students, regarding the extent to which these indicators were achieved in the Woody Weeds project. Symbols: + fully met; (+) partially met; (-) minimally met; – not met.

    Table 3. Indicators of successful communication in transdisciplinary projects, as proposed by Wang et al. (2019), and corresponding assessments by stakeholders, project scientists, and project students, regarding the extent to which these indicators were achieved in the Woody Weeds project. Symbols: + fully met; (+) partially met; (-) minimally met; – not met.

    Indicators for successful communication Assessment Explanation
    Relational development
    Actors have effective (formal and informal) channels to get to know each other. (+) The project employed 17 activities, of which several were specifically designed to provide these channels (Table 2). Responses to survey question 5 were positive; scientists, students and stakeholders felt that the project facilitated interactions and relationships among the team members and between team members and stakeholders.
    Team members accept that they need to work together to generate solutions to the problems. (+) Responses to survey question 7 indicate that scientists and students felt that the project successfully promoted collective knowledge creation.
    Team members respect each other’s knowledge and opinions. (+) Scientists, students, and stakeholders agreed that the project fostered an open and inclusive approach to considering different viewpoints (survey question 8).
    The project has an open atmosphere and communication channels for exchange. (+) All respondents agreed that the project offered a safe space to discuss ideas and to resolve issues in an equal and inclusive way (survey questions 9 and 19).
    Team members contribute actively to solution development. (+/-) Scientists and students stated that they were involved in decision-making processes that led to recommendations to stakeholders. In contrast, stakeholders felt that they were only occasionally or only rarely involved in recommendation development (survey question 22).
    Team members agree on the research results regarding applicability in practice. (+) Scientists, stakeholders, and, particularly, the students felt that the interdisciplinary structure of Woody Weeds made its work and outputs policy-relevant (survey question 23).
    Capacity building and social learning happen intentionally and unintentionally.
    (+) All respondents agreed that they were engaged in the project in a manner that enabled ongoing learning (survey question 10).
    Solution development
    Joint definition of the focal problem and project objective(s). (-) Survey questions 1 (understanding the project objectives), 11 (contribute to problem identification), and 12 (contribute to the design) garnered relatively low levels of agreement from students, stakeholders, or both, as compared with scientists.
    Information and knowledge are exchanged among all team members via multiple channels. (+) Respondents agreed that that the project facilitated information sharing to a great deal (survey question 14).
    Co-created knowledge contributes to solutions. (+) The stakeholders and to some extent the scientists and students agreed that the project offered opportunities for discovering multiple solutions to the problems the project addressed (survey question 18) and facilitated collective knowledge creation (survey question 7).
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    Home > VOLUME 30 > ISSUE 3 > Article 37 Research

    Relational values overshadow monetary value in territorial management by the Indigenous Oaxacan community of Capulálpam de Méndez

    Gould, R. K., M. Cantu Fernandez, F. Garcia López, A. K. Cosmos Pérez, G. Y. Hernández Márquez, F. Servin, and P. Balvanera. 2025. Relational values overshadow monetary value in territorial management by the Indigenous Oaxacan community of Capulálpam de Méndez. Ecology and Society 30(3):37. https://doi.org/10.5751/ES-16383-300337
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    • Rachelle K. GouldORCIDcontact author, Rachelle K. Gould
      Rubenstein School of Environment and Natural Resources and Environmental Program, University of Vermont; Gund University for the Environment, University of Vermont
    • Mariana Cantu Fernandez, Mariana Cantu Fernandez
      Instituto de Investigaciones en Ecosistemas y Sustentabilidad, Universidad Nacional Autónoma de México (UNAM)
    • Francisco Garcia López, Francisco Garcia López
      Universidad Autónoma Comunal de Oaxaca; Comisariado de Bienes Comunales, Comunidad de Capulálpam de Méndez
    • Ana Karina Cosmos Pérez, Ana Karina Cosmos Pérez
      Universidad Autónoma Comunal de Oaxaca; Comunidad de Capulálpam de Méndez
    • Guadalupe Yesenia Hernández MárquezORCID, Guadalupe Yesenia Hernández Márquez
      Alianza para el Financiamiento a la Conservación y Restauración Comunitaria de la Biodiveersidad
    • Fidencio Servin, Fidencio Servin
      Centro Universitario Comunal, Universidad Autónoma Comunal de Oaxaca
    • Patricia BalvaneraORCIDPatricia Balvanera
      Instituto de Investigaciones en Ecosistemas y Sustentabilidad, Universidad Nacional Autónoma de México (UNAM)

    The following is the established format for referencing this article:

    Gould, R. K., M. Cantu Fernandez, F. Garcia López, A. K. Cosmos Pérez, G. Y. Hernández Márquez, F. Servin, and P. Balvanera. 2025. Relational values overshadow monetary value in territorial management by the Indigenous Oaxacan community of Capulálpam de Méndez. Ecology and Society 30(3):37.

    https://doi.org/10.5751/ES-16383-300337

  • Introduction
  • Methods
  • Results
  • Discussion
  • Conclusion
  • Author Contributions
  • Acknowledgments
  • Data Availability
  • Literature Cited
  • governance; indicators; Indigenous; instrumental values; intrinsic values; IPBES values assessment; management; relational values; values
    Relational values overshadow monetary value in territorial management by the Indigenous Oaxacan community of Capulálpam de Méndez
    Copyright © by the author(s). Published here under license by The Resilience Alliance. This article is under a Creative Commons Attribution 4.0 International License. You may share and adapt the work provided the original author and source are credited, you indicate whether any changes were made, and you include a link to the license. ES-2025-16383.pdf
    Research

    ABSTRACT

    Many Indigenous and local communities have self-organized to protect their territories, and the values intertwined with those territories, in the face of dispossession and unfair resource extraction. Our transdisciplinary research team collaborated to explore how values of nature relate to territorial management in one such community: the Indigenous community of Capulálpam de Méndez, in southern Mexico. This community is a well-known leader in sustainable management, and the research collaboration aims to foster their local, regional, and global impact. We spoke with 11 groups within the community and 51 participants total. We summarized our conversations using fuzzy cognitive maps, then shared results with participants, local authorities, and the community in general. We identify multiple themes in our data. These include that concepts such as care and celo (protective love and zeal) play central roles in community relationships with the territory; though monetary value plays a role in territorial management, it is treated with wariness; and strong intergenerational considerations—traditions, customs, and ways of thinking inherited from past generations, and consideration for future generations—infuse present-day management decisions. Previous research suggests that these themes may be mirrored in other Indigenous communities; this study adds new insight about how these value-infused themes shape territorial decision making. It also demonstrates that relational values can play a pivotal role in territorial management, and that open discussion of values-management links can facilitate broader community awareness of these values’ roles in community life. These findings, in aggregate, offer potentially helpful guidance for transitions to sustainability.

    INTRODUCTION

    Indigenous and local communities steward a large fraction of global ecosystems and biocultural diversity, yet their values have been marginalized in many decision-making processes (IPBES 2022). Such marginalization often results in dispossession, resource extraction, or exploitation of Indigenous knowledge without consent (Toledo and Barrera-Bassols 2009). Yet many communities have self-organized to protect their territories and the values intertwined with those territories. This study explores environmental values in one such community and reflects on whether a transdisciplinary research partnership can create results that are helpful to that community.

    This study is a collaboration between local communal authorities in Capulálpam de Méndez (a southern Mexican Indigenous community; details below), professors and students at the local communal university, and academics at both Mexican and U.S. universities. This transdisciplinary team worked closely together to design the project, collect data, share the results with the community in multiple ways, and write this paper.

    Conceptual underpinnings

    The study advances inquiry and recommendations in the United Nations’ IPBES Values Assessment.[1] The Values Assessment is an international report on the “multiple values of nature.” In this analysis, we focus on three aspects of the Values Assessment’s conceptual framework: (1) the nested categories of worldviews, broad values, specific values, and indicators, (2) understanding values as relational, instrumental, or intrinsic, and also as material and non-material, and (3) the importance of plural valuation. We explore this framework in the context of (4) the theory and practice of communal governance in southern Mexico. This study inquires whether and how these conceptual tools can help to “make visible” important values in Capulálpam de Méndez (hereafter Capulálpam). We summarize past research on these four areas.

    Nested categories of worldviews, broad values, specific values, and indicators

    The IPBES values typology synthesizes multiple decades of work, in diverse disciplines, on environmental values (IPBES 2022, Pascual et al. 2023). The typology aims to assist decision making because it offers a way to understand the complexity of the various forms of values and representations of values, and how they interact with one another. The typology presents four main value types (see Fig. 1).

    Types of value: instrumental/intrinsic/relational and material/non-material

    There are many ways to categorize values. This study focuses on two primary designations: values as instrumental, intrinsic, and relational, and values as material and non-material.

    The Values Assessment categorizes specific values as instrumental (for human purposes), intrinsic (irrespective of humans), and relational (associated with the content of human-environment or human-mediated relationships; Chan et al. 2016, Himes et al. 2024). Instrumental and intrinsic values have been discussed in the environmental valuation space for decades (e.g., Rolston 1988, Tallis and Lubchenco 2014), with varying permutations of meaning (Himes et al. 2024). Relational values have recently gained attention in sustainability science, first conceptually (Chan et al. 2016, Muraca 2016), then empirically (e.g., Pratson et al. 2023). A primary reason for this is that they provide a language and conceptual structure for perspectives often marginalized, like Indigenous and feminist views that foreground processes and relationships (Muraca 2016).

    The distinction between material and non-material values is also helpful. The IPBES Global Assessment designates non-material nature’s contributions to people (NCP) as one of three main NCP types (material and regulating are the other two; IPBES 2022). Yet distinctions between material and non-material contributions (and associated values) are fuzzy, and that fuzziness has plagued cultural ecosystem services and related research since its inception (Gould and Satterfield 2025). Though we fully recognize the material/non-material distinction as imperfect, the emphasis on non-material values can ensure that less discussed, often ignored non-material values have space in research and practice.

    Plural valuation

    The IPBES Values Assessment defines valuation as “an explicit, intentional process in which agreed-upon methods are applied to make visible the diverse values” associated with nature (IPBES 2022:12). Academic valuation began with a focus on nature’s benefits or worth (i.e., the “value of” ecosystems); it focused on the interface between economics and ecology (Daily et al. 2000). Recent interdisciplinary work emphasizes that valuation must expand beyond this focus, to include characterization of not only values that “flow from” ecosystems, but also of values that intertwine with ecosystems (i.e., “values about” ecosystems, such as principles; Farley and Kish 2021). The IPBES Values Assessment emphasizes the importance of these diverse values and describes the benefits of plural valuation, i.e., valuation that includes multiple forms of value (Jacobs et al. 2016, IPBES 2022).

    A crucial element of plural valuation is the use of indicators beyond money to represent value; plural valuation is in many ways a reaction to abundant and convincing critiques of monetary valuation (IPBES 2022). Yet despite increasing consensus that monetary valuation is insufficient and problem-ridden (and thus that plural valuation is needed), the role that diverse values play in diverse decision making contexts needs further exploration. The Values Assessment suggests that valuation processes in Indigenous communities may be inherently integrated and implicitly plural, but explicit studies of environmental valuation in Indigenous communities are rare. This paper contributes to ongoing inquiry into diverse manifestations of valuation, in the context of an Indigenous community undergirded by a strong communal governance philosophy.

    Communal governance

    Southern Mexican communities are globally recognized for communal thought and philosophy (Escobar 2018, Martínez-Luna 2021); this philosophy forms the governance theory upon which this study is based. Scholars in southern Mexico (Martínez-Luna 2021) coined the term comunalidad (communality) to name this “mode of being and living” (Escobar 2018:269). Comunalidad involves collective identity, but it does not imply a lack of tension; municipalities’ governance faces diverse challenges associated with power imbalances (among internal actors and with external funders and regulators) and constitutional reforms that promote the privatization of previously common tenure systems (Guibrunet et al. 2021). Though communities differ, Figure 2 portrays common core characteristics of this communal governance.

    Project aims

    In this paper we describe a transdisciplinary exploration to make visible the values associated with environmental decision making in the Indigenous community of Capulálpam. Our primary focus was to create a project useful to Capulálpam. Throughout the process, we also explored the utility of the IPBES Values Assessment’s frameworks; reflections from that exploration will be published separately (Gould et al. unpublished manuscript).

    METHODS

    Study context

    Oaxacan Indigenous communities

    Fifty-one percent of Mexico’s land base is federally recognized as communally owned; this is one of the highest proportions of any nation (Rights and Resources Initiative 2015). This communal ownership has its origins in pre-colonial land-tenure practices and has been upheld by a complex mix of resistance and governmental action (Merino et al. 1997). Communal owners determine details of how they manage their lands, though they must comply with the national Constitution (which dictates a basic system of local governance) and various national regulations.

    Capulálpam is one of these communal-ownership communities. The town is located in the southern Mexican state of Oaxaca, which is globally known for decentralized governance; it has an abundance of locally managed territories, which range widely in size, from roughly 200 hectares to roughly 460,000 hectares (García Aguirre 2015). Proportional use of the territories also varies, but averages 36% for conservation, 37% for timber production, 5% for restoration, and 22% for agriculture, dwellings, and other uses (based on a survey of Capulálpam and 22 neighboring communities; Pazos-Almada and Bray 2018). These communities’ political and cultural configuration is a self-generated hybrid that combines elements of pre-colonial governance structures, colonial processes, social movements such as the Mexican Revolution (1910–1917), and, most recently, federally granted autonomy related to forest management (see below; Bray 2020). The philosophy of comunalidad emerged in these autonomous municipalities.

    Communal forest governance is intertwined with decentralized governance and comunalidad. Roughly 40 years ago, community-owned commercial forestry operations began in Mexico (Ramirez Santiago et al. 2019). These operations exist under a supportive federal framework that grants management power to local actors, and they now form an important part of many communities’ livelihoods (Bray 2016). Communal forest governance involves principles such as collective ownership and rights, collective decision making, self-determination, and benefit-sharing (Bray et al. 2003, Antinori and Bray 2005). This forest-management approach contributes to biodiversity conservation, maintenance of biocultural knowledge, and poverty alleviation (Antinori and Bray 2005, Porter-Bolland et al. 2013); scholars have identified Mexican communal forest management as a globally relevant example of sustainable practice (Bray et al. 2003, 2006).

    Capulálpam de Mendez

    Capulálpam is at an elevation of about 2200 meters, and the territory covers roughly 7800 hectares (30 square miles). In 2017, the community had 1595 inhabitants. The town was founded roughly 1000 years ago, and the ensuing centuries involved a complex mix of self-governance, colonization, conversion to Catholicism, resistance to colonization, and recognition of self-governance.

    In the past few decades, interaction with outside “experts” in fields such as forestry and Indigenous tourism, combined with professional training and the existing expertise of community members, has aided Capulalpenses in defending their territory. In perhaps the most notable example, the community expelled a transnational precious-metals mining company in the early 1990s. Part of this process was the creation, influenced by national and international academics and other professionals, of a regional forestry organization. This organization provided technical guidance to Capulálpam and nearby communities and contributed to the success of the expulsion.

    Transdisciplinary team and objectives

    Our transdisciplinary team includes Capulálpam community members, professionals involved in international governance, and academics from regional, national, and international universities. Capulálpam community members are the president of the community’s Common Lands Commission and a member of the community’s traditional medicine cooperative. The professional in international governance has represented Mexico’s Indigenous communities in fora such as IPBES and the Convention on Biological Diversity; she is Indigenous and based in an Indigenous community one hour from Capulálpam. Academics come from disciplines of ecology, anthropology, and environmental social science; two are based in Oaxaca and one in the United States.

    In alignment with this team, this study had transdisciplinary objectives. The first was to discuss multifaceted values in Capulálpam: to encourage and facilitate conversation of seldom-discussed issues that the community found important. The second was to organize those values to make sense of them in ways that connect the community’s activities with global conversations (connections that interested community members). The third objective was to summarize and share study findings in a way that would help the community discuss the study’s implications.

    We worked to implement a co-production process that would both benefit local authorities and fulfill academic goals. The leader of Capulálpam’s Common Lands Commission (Comisariado de Bienes Comunales; author FGL) emphasized the utility of increasing the visibility of values related to community decision making that are infrequently discussed in the community and thus often invisible. This study complied with Capulálpam’s Community Biocultural Protocol (PNUD et al. 2018) and the University of Vermont ethics review board. Appendix 1 contains details of the free prior and informed consent process.

    Community listening sessions

    We conducted community listening sessions, a type of modified focus group that emphasizes the value of mutual learning and dialogue amongst participants (Ardoin et al. 2022). We invited 12 community groups to participate. One group, a senior women’s organization, declined to participate because of uncertainty about whether we had appropriately engaged with the community biocultural protocol process (this was clarified, but too late for the session to occur; see Appendix 1 for details). We thus conducted 11 sessions: two pilot sessions, followed by nine additional sessions after slight revisions to the conversation structure. We conducted all sessions in early 2023. The first author (RKG) facilitated all groups, with the support of one or two other authors, one of whom (AKCP) is also a member of the Capulálpam community.

    Each session lasted between 60 and 90 minutes. After consent, the first author briefly described the values of nature and specified the differences between material and nonmaterial values. Discussion then addressed three areas:

    1. What does the phrase “territory of Capulálpam” mean to you? This allowed the participants to talk about a familiar topic, and for us to understand how they consider their territory, a concept widely recognized as important in many Indigenous management contexts (Zanjani et al. 2023).
    2. A land-management-related decision or action taken by the community that is relevant to the group’s activities (Table 1). Each group chose a different decision or action; discussion of this decision or action, strongly focused on the material and non-material values related to it, occupied the majority of each session. (Hereafter, we refer to the community land-management-related practices each group chose as the topic of their discussion as “decisions.” We do so even for practices such as medicinal-plant use or enactment of seasonal ceremony, which might more commonly be referred to as actions or practices, because they involve a series of smaller-scale decisions with impacts in the aggregate).
    3. Material and non-material values relevant for the Community’s movement against gold mining.

    At the end of each discussion, we asked for suggestions for how to share the collected information with the rest of the community.

    As each discussion progressed, we created a mental map: a visual representation of the ideas expressed and how they were connected. We used a large (~1.5-m square) sheet of paper that all participants could see. On this paper and on sticky notes placed on the paper, we recorded core value-related points that emerged in the conversation (the use of sticky notes allowed all researchers present to record points in the context of a fast-paced conversation). As we added points to the maps, we connected them spatially and with lines. The maps had four purposes, all related to better articulating a complex set of abstract ideas about relationships between values and decisions; Appendix 1 describes the purposes in detail and with connections to past research that motivated this approach.

    Analysis

    Territory-related points that arose in sessions

    Three authors (RKG, MCF, AKCP) used open coding (i.e., based on the data, not on a priori categories) to create a comprehensive list of every response mentioned, throughout the listening sessions, to the question of “what is the territory of Capulálpam?” We identified 113 distinct responses, which fell into 10 categories.

    Value-related points that arose in sessions

    After each listening session, we created a list of 20–40 value-related points from the conversation, based on the mental map we created during the session. We coded this list of value-related points in two ways: (1) by type of comment: one of the IPBES value types (Fig. 1) or an overall value-related reflection; and (2) by topic (see Box 1 for definitions of terms we use in our analysis and results). Two authors (RKG and MCF) categorized all points; iterations involved revisiting transcripts to clarify ambiguous points and discussion amongst these two authors, sometimes with consultation with author and community member AKCP. The Supplementary Materials detail the multi-stage coding process.

    Box 1: Terms used in this paper. Descriptions convey each term’s use in this study.

    Points: Single mentions (“points made”) in listening sessions.

    Topics: Content-related groupings of the subjects that points address (e.g., resources, impacts of mining operation).

    Value types: Categorization of value(s) from the IPBES Values Assessment (worldviews, broad values, specific values, and indicators).

    Reflections: Values-related points that do not fit one value type (e.g., “we must value what we have”).

    Themes: Larger concerns that transcend points, topics, and value types.

    Fuzzy cognitive maps

    We based our concept mapping approach, both during and after listening sessions, on the fuzzy cognitive mapping method. The basic idea behind fuzzy cognitive maps is to represent approximate (or “fuzzy”) relationships between entities in a system, as those relationships are understood by participants (Gray et al. 2013). During listening sessions, we created a schematic, first-draft version of a fuzzy cognitive map via a straightforward two-step process: one researcher wrote points mentioned on sticky notes, then the lead facilitator placed the sticky notes on a sheet of butcher paper and drew lines and images to reflect their relationships. Participants occasionally suggested that specific links be added, but this was not a focus of conversation.

    After data collection, we used Mental Modeler software (https://www.mentalmodeler.com/) to create fuzzy cognitive maps for each group conversation. To create these maps, the second author listened to all recordings and took detailed notes to summarize each conversation, with a focus on links between values and decisions. She then created a draft cognitive map for each group; this involved specifying factors and links between them. The first author reviewed maps, and suggested changes. The first and second author discussed these suggestions and agreed on any changes made.

    Community discussion of preliminary results

    After a first round of analysis, we invited all participants to a discussion of preliminary results. Roughly 20 people attended; in addition to listening session participants, attendees included multiple members of the Distinguished Council who had not been present in any listening session. At this event, we shared drafts of the results presented below, and also shared the 11 cognitive maps from each listening session. We first presented and discussed overall results with the entire group, then allowed whomever was present from each group to consider and offer feedback on their group’s map. The maps were, according to community member and co-author AKCP (who was present), “the sensation of the night” (“la sensación de la noche”); participants were extremely enthusiastic about the maps and their ability to convey connections that had been expressed in conversation.

    Summary cognitive map

    In addition to individual groups’ enthusiasm about their own maps, multiple community leaders expressed interest in a synthetic map that could be displayed in community spaces (e.g., the community radio’s office/recording space) and shared with visitors. Thus after the community discussion of preliminary results, we created a summary cognitive map.

    To create this map, we used the following process. The three authors who were present at most listening sessions and the community discussion of preliminary results independently rated the intensity of each map link, from 0.1 (weak) to 1 (strong; we rated intensities for groups only when we either attended or listened to the recording). We calculated the average and standard deviation of our ratings. When the standard deviation was less than 0.3, we used the average intensity. When the standard deviation was greater than 0.3, we discussed the discrepant ratings and came to agreement as to an appropriate intensity. These intensities were then entered into the Mental Modeler software, which we then used to calculate statistics (e.g., centralities) for each link.

    The lead author reviewed the connections, centralities calculated by the software, and frequencies from all maps. She used the components with highest centralities to create the summary cognitive map (a process similar to Özesmi and Özesmi 2004). All authors reviewed this summary map and agreed on slight changes (to connections between or placement of map components).

    This process did not directly involve participants; it is not a statistically rigorous summary of participants’ responses. Given that participants were not randomly chosen, it is also not a statistically rigorous summary of the community’s views. Instead, because of the many rounds of review and approval by diverse community members, along with the inclusion of multiple community members on the analysis team, we suggest it is a reasonable conceptual summary of what many in the community think and feel.

    Results-sharing event

    When we had completed analysis and prepared draft reports of results, we invited the entire community to a “Results-Sharing Event.” This event included seven interactive “stations:” a youth-oriented scavenger hunt, a photograph-based “values museum,” a mural-sized reproduction of the collective mental map, a “values web” collective creation, a discussion with author [GYHM] about global environmental initiatives, an opportunity to share questions and visions for the future, and a collectively created values mural (Fig. 3). All stations had content and prompts based on the research findings. They were created in collaboration with Cocina Colaboratorio, a research-arts-community partnership based in a nearby town (Balvanera et al. 2025).

    RESULTS

    Participant groups addressed diverse land-management actions undertaken in Capulálpam (Table 1). Groups defined the territory using 10 commonly recurring elements (Table 2). Discussions about links between values and decision making addressed diverse value types; indicators dominated (Table 3). Care was the most commonly discussed value, with related values like celo[2] and responsibility also common (Fig. 4). These values and indicators connect to land management decisions in ways that foreground past and future generations and help to maintain material benefits (Fig. 5). We elaborate on these results and discuss five emergent conceptual themes.

    Definitions of territory

    There were clear patterns in how groups discussed the Capulálpam territory. All groups identified territory as a physical area; most mentioned people, resources/benefits from the land, and care or conservation (Table 2 and Fig. 3). There was also variation and richness in points mentioned; though a few responses were extremely common (see Table 2), many were uncommon (66 elements were mentioned by only one group and 30 elements were mentioned by only two groups). One response, from a participant in the women’s traditional medicine collective, effectively summarized the holistic essence of many territory-related comments (see Fig 3).

    Participants at the community discussion of preliminary results confirmed the list of summary points in Table 2. They also wished to add a short “motto” to represent the community. After collective brainstorming followed by informal voting on proposed mottos, they selected the motto “Coexistence in equilibrium with nature.” At the results-sharing event, the community used watercolors to illustrate this conception of the territory (Fig. 3).

    Values related to community land-management decisions

    Most frequently mentioned topics

    Throughout the listening sessions, the most commonly addressed topics were care/conservation, basic resources, and values-as-principles (i.e., broad values); after these three, the next-most common topics were less than half as frequently mentioned. Table 3 depicts how points brought up under these topics aligned with the four categories in the IPBES Values typology.

    Overall, resources and relationships were central to our conversations: many of the topics mentioned intertwine with resources, relationships, or both (e.g., relationships of care maintain resources). Resources, i.e., physical benefits that the territory provides, were top concerns. Groups named resources that directly meet basic needs (e.g., water, food) much more often than income that the territory generates (which is categorized as “economic value” in Table 3), even though multiple groups engaged in economic activities in the territory (water bottling, ecotourism, forestry, farming). Relationships, in turn, are central to Capulalpenses’ reflections on how values impact their territorial management. All frequently discussed topics have relationships at their core, different kinds of relationships for different values. We elaborate on resources and relationships below as they infuse many of our other results and therefore our discussion.

    Value types

    Broad values: Groups mentioned, collectively, over 50 points related to broad values, or values as principles that transcend specific situations. These values, though they fit the IPBES definition of broad values because they transcend specific situations, all have relational aspects (for instance, connection to a particular place). This means that our results related to broad values resonate poorly with the IPBES Values Assessment’s claim that understanding of value as intrinsic, instrumental, and relational values is relevant only to specific (not broad) values. Figure 4 demonstrates how Capulalpenses’ discussion of broad values resonates with intrinsic, instrumental, and relational values (we discuss the implication of this finding for the Values Assessment’s typology in a different publication: Gould et al. unpublished manuscript).

    Twenty-three broad values were mentioned only once (they thus do not appear in any of our tables). Most of these were variations of community-related values, such as collective consciousness, mutual support, community spirit, and sharing values. A few were preservation-related values such as preservation itself and preventing extinction. Others were abundance, intentionality, affection, and nobility.

    Specific values: The specific values category included both physical and non-physical entities (Table 3). A large proportion (nearly half) of the specific values we recorded were natural features and entities derived from, or directly dependent on, those features, e.g., water, minerals, air, timber, nature, ecotourism, employment, and traditional medicine. Yet people discussed specific values that ranged far beyond these natural-resources-related responses. Participants mentioned, for instance, multiple spiritually imbued entities, including sacred sites and the sacred spiritual beings who are “owners” of the forest/mountain (dueños del monte).

    Indicators: The most common category in our analysis was indicators (Table 3). The vast majority of indicators were sociocultural, e.g., practices or states that respondents identified as expressions of values. Examples range from recently adopted practices (e.g., forestry practices that protect biodiversity, such as leaving “perch trees” during harvest) to centuries-old traditions (e.g., the tequio, or community workday, wherein people come together to implement projects that aid the territory).

    Care figured prominently in the indicators category. Nearly half of indicators mentioned related to care and conservation; examples include the perches and tequio mentioned above. In addition, over two-thirds of mentions of care and conservation were indicators (i.e., people were much more likely to describe an action that represented care than to simply say care is important). These findings highlight the crucial importance in Capulálpam of care for the territory, and especially of actions that people described as care. Many mentions of care centered around two types of practices: resource use that does not damage the territory (e.g., “Aprovechamiento que no dañe”), and practices that balance extraction with giving back (e.g., the community returns 65% of forestry profits to taking care of the forest). In other words, non-destructive use of the territory was central to the “care” topic.

    Five overarching themes from listening sessions

    Five themes from our conversations address how the community collectively thinks about how value(s) relate(s) to territorial management. They transcend topics and value types, and infuse the relationships conveyed in the cognitive map.

    Non-monetary value is central

    When we introduced the listening session conversations, we described the proposed focus on nonmaterial values related to the territory, but we also emphasized our desire to hear about how participants think about value and importance overall, including monetary value. We (especially our authors who are Capulálpam community members) thus think that the predominance of discussion of non-monetary over monetary value reflects community perspectives. In addition to results presented above (e.g., resources were mentioned more often than monetary income), many groups had big-picture reflections on value (coded as reflections; see Box 1), and the most common reflection was the crucial importance of considering value that transcends monetary value. The Ecotourism group discussed the importance of “being able to value what we have [the territory]; if we don’t have values we are lost.”[3] In this comment, they fluidly moved between specific values (“values of,” valuing what we have) and broad values (“values about,” having values) and provided a concise example of both how economic value cannot fully capture what matters, and how broad and specific value types intertwine. The Common Lands Commission explicitly emphasized that to value the land goes beyond the economic.[4] The Forestry group expressed a sentiment repeated in multiple other groups: that non-monetary aspects of the territory’s importance are difficult to articulate. “It’s something that is felt,” one Forestry participant said, “but that cannot be explained.”[5] These comments and many others suggest that people appreciated the space offered by the project to discuss and try to explain seldom-discussed, yet crucial, non-monetary values.

    Interaction between monetary and non-monetary value(s)

    Almost half of the groups explicitly discussed the interaction between monetary value and non-monetary value(s). Groups recognized that limiting resource extraction and conserving their territory curtailed explosive economic growth (e.g., as one group expressed, “preservation detains economic growth”[6]). Yet groups discussed this detained growth as necessary, even desirable. Groups identified the dangers of over-emphasis on monetary value in different ways. The Esteemed Council noted that the economy is fleeting.[7] The mining group talked at length about the temptation to expand the mining operation to increase profit, but were unequivocal that this was a bad idea because it would harm the territory and thus future generations. They said that money runs out,[8] whereas the territory lives on. They characterized the situation as one of “temptation vs. water.” The water company, in turn, described how it is better to have nature than money, and also noted the need to educate the youth about this.

    Importance of commitment to community and place

    Multiple groups expressed the importance of a deeply embedded service mindset, the hard work involved in maintaining a vibrant functioning community, and commitment to Capulálpam (which, as noted above is an intertwined social-physical territory). One participant currently engaged in a time-consuming service position (a cargo) related to land management noted that the cargo system is hard work. He noted that the tranquility that characterizes Capulálpam, which everyone loves and values, does not come easily: “tranquility is costly,”[9] he said, in terms of time, energy, and organization. But this individual was clear in his commitment to that organizational system, and he noted a strong desire to do something positive for the forest while in his cargo.[10] Strong commitment to the organizational system was perhaps most notable in the Municipal Cabinet, who stated obedience as one of the most important values that impacts decisions. They explained their roles in the Cabinet as existing entirely to serve the community, to be obedient to the community and enact collective wishes and goals.

    Intergenerational values infuse the community’s land management

    Our sessions revealed the powerful centrality of intergenerational values and connections in Capulálpam. Every conversation addressed both the past and the future in some way, and often in many ways. Discussions of the past focused mostly on human ancestors: their lessons, knowledge, and practices are seen as rich sources of value, guidance, and wisdom, often as to how to manage the territory. Discussions of the future addressed both human and non-human future beings (e.g., “more and more living beings are coming”[11]), though in many cases focused most strongly on future humans.

    Environmental consciousness of youth

    One of the only areas of notable variation in different groups’ responses concerned the environmental consciousness of the community’s youth. The high-school-graduates group (i.e., 18-year-olds) expressed strong environmental consciousness and awareness of the territory’s situation. Yet many older residents, and at least one participant in his 20s, noted a decline in interest in and awareness of the territory. The Esteemed Council noted that there had been, in the past few decades, a “break” with nature.[12] The water company group noted that today’s youth are less familiar with the territory, but that it’s important that they come to know it.[13] The forestry company noted, in the community overall, a loss of interest in knowing the territory.[14] It thus seems that there is variation in youth environmental awareness in Capulálpam: the young adults in our young-adult-focus group were highly aware of and engaged with Capulálpam’s physical territory, but this engagement was not universal across other listening sessions. This variation in engagement is likely one reason that study partners and co-authors associated with the community’s Common Lands Commission have identified consciousness-raising and a focus on nonmaterial values as an important goal for the next few years.

    Cognitive map of values-decision links

    Our summary cognitive map (Fig. 5) condenses salient values (including indicators), actors, and connections between them from all 11 listening sessions. The cognitive map highlights the prevalence and centrality of value indicators in our conversations. Value indicators, in particular “value expressions,” were the most common way Capulalpenses discussed values. Our mental-mapping methods captured this importance and make clear that expressions of value play a crucial role in values-decision links in Capulálpam. In the community discussion of preliminary results, we asked why expressions were so prevalent in the data. The collective response was simple: Talk is easy. What really matters is what you do.

    DISCUSSION

    Our results have both local and global implications. We discuss “lessons” for and from Capulálpam that are especially relevant locally, but that also have meaning for global readers.

    This research distilled multiple issues that were present in the community, but not necessarily visible or frequently discussed. This distillation can help inform decision making within the community and nearby; it also provides lessons and insights relevant far beyond. Below, we reflect on this study’s limitations and make suggestions for future research, and describe four overarching lessons from this study.

    Shortcomings and suggestions for future research

    Here we reflect on aspects of this project that can be seen as shortcomings, and on how this project can inform future research on deeply rooted, nuanced issues such as values. First, the core research involved a relatively short-term engagement (about five months from conception to share-back event). This brevity was in some ways a shortcoming, but it also has positive aspects: it demonstrates that a productive engagement, when connected to existing relationship networks, can unfold over a relatively short time. Second, the authors come from very distinct points of view, including different ontologies and epistemologies. It is thus possible, perhaps likely, that the research did not capture the full richness and complexity of values-decision relationships in Capulálpam, even though we employed a flexible, responsive research approach to accommodate these diverse perspectives. Working across knowledge systems is one of the preeminent challenges of sustainability science (Reid et al. 2006, Tengö et al. 2017); we hope that our flexible approach at least partially addressed this challenge, and know that future values-related research will continue to innovate and share approaches that address this bridging, weaving work.

    Lessons for and from Capulálpam

    Strong communal organization that can manifest values takes work

    A functioning communal space that allows for embedded valuation of the territory does not happen on its own. Community members must work hard to allow it to be effective; that hard work is situated within a framework of strong communal organization (which the community’s relatively small size also facilitates).

    Most of our listening sessions emphasized the importance of shared organization (i.e., an organizational structure that people agree to and then comply with) to effective territorial management. Published descriptions of communal governance systems in southern Mexico describe how the government, in the phrasing of a primary Zapatista principle, “manda porque obedece” (rules/directs because it obeys; Patzi Paco 2004, Escobar 2018). Capulálpam’s municipal cabinet expressed this sentiment by naming their obedience to the community as a central value that guides territorial management.

    Past research recognizes that a communal governance system “requires organization, which tends to be horizontal in that power is not delegated, nor does it operate on the basis of representation; rather, it fosters alternative forms of power through types of autonomous organization such as communal assemblies and the rotation of obligations” (Escobar 2018:275). The Capulálpam community recognizes that these forms of organization, the assembly and the “cargo” system (rotation of obligations) chief among them, are crucial to the community’s successful territorial management.

    A crucial aspect of this organizational structure is that it is social-ecological, not only social. The “organization” people so often discussed does not abruptly stop at humans; it includes humans, saints, air, water, the forest, sacred forest guardians, etc. Authors in the area that surrounds and includes Capulálpam have written about how this communal organization interweaves countless social-ecological links (Martínez-Luna 2023).

    Intergenerational values

    In Capulálpam, values and territorial management are embedded in a temporally rich throughline. That throughline stretches from prior human generations (the source of customs and traditions that form the society’s backbone), through present generations, to the future (both human and non-human). Researchers have called this concept the “long present,” wherein the past, present, and future are so intertwined that the present is understood as “longer” than in a linear-time mindset (Kim et al. 2019, Xu et al. 2023).

    Though much sustainability science often ignores past generations, many societies extensively incorporate the past in present-day decision making. Empirical work in Madagascar provides one example: it describes agropastoralists’ “social contract with the ancestors” (von Heland and Folke 2014), a sense of obligation closely related to Capulalpenses’ discussion of care and celo. As a second example, Native Hawaiian worldviews foreground ancestors in decision making; for instance, culturally important rituals often focus on links with ancestors (Kealiikanakaoleohaililani et al. 2018) and some animals understood as representations of ancestors provide present-day guidance (Pukui et al. 1972). Similar perspectives and practices are found in rural communities in East Africa (Kim et al. 2019) and within Amerindian populations (Chisholm Hatfield et al. 2018).

    The richness of ancestral wisdom is similarly relevant in Oaxaca, where Zapotec culture has existed for over 8000 years (Oudijk 1995). Its sophistication is evident in important sites, some of which still exist today (e.g., Monte Alban), and in a suite of nonmaterial inheritances that include values, principles, and wisdom. One important element of this wisdom is the understanding of “communal being” that infuses ways of being in Capulálpam and neighboring communities (Marín 2010).

    In sustainability science, attention to future generations is more common than attention to past generations (most definitions of sustainability involve sustaining something “into the future”). Yet explicit consideration of future generations is still relatively undeveloped in the field. The IPBES values assessment, for example, reviewed thousands of environmental valuation studies and found that the vast majority focus on the current generation and do not consider future generations (IPBES 2022, Martin et al. 2024). Though some initiatives in dominant decision-making contexts have a central focus on the future (e.g., the European Union; Krznaric 2021), most elements of modern European and North American society exhibit what one philosopher has called “pathological short-termism” (Krznaric 2021:4). In these societies, long-term thinking “exists on the margins” and “is strikingly underdeveloped” conceptually (Krznaric 2021:8).

    Yet a future-focused orientation is not globally unusual; many worldviews prioritize future generations. African worldviews provide one clear example. Philosopher Behrens summarizes two important tenets of African thought (he aggregates across African cultures) that relate to future generations (Behrens 2012:180); both tenets are so relevant to Capulálpam that we could use them to summarize many of our conversations. First, “the environment is a resource shared by the community as a whole,” and that community “comprises past, present, and future generations.” Second, “gratitude to our predecessors obligates us to preserve the environment for posterity.” As African philosopher Wiredu explains, the “rights of the unborn play such a cardinal role that any traditional African would be nonplussed by the debate in Western philosophy as to the existence of such rights” (Wiredu 1994:46). Capulalpenses exhibited a similar sentiment, for instance via quizzical looks in response to a probe about why the gravel plant would forego the temptation of immediate profit to benefit future generations. The reason seemed self-evident.

    In the Western academic space, ecological economists perhaps come closest to this sentiment in the concept of “intergenerational transfers,” i.e., transferring assets like natural resources to future generations (Cumberland 1991, Costanza et al. 1997). Though the Capulálpam community does not use the language of intergenerational transfers, they definitively and repeatedly express this idea. Responsibility for future generations infused all our conversations, and was clearly central to how people understand values’ interactions with territorial management.

    Temptation vs. the future

    Capulalpenses have a deep understanding that they live in a finite territory, so restraint is required to leave anything for future generations. In Capulálpam, this fact is so obvious that it is almost not worth verbalizing. Multiple groups discussed the temptation to acquire money, and the need to resist that temptation. The main reason, they shared, is that money is transitory. As one group said, ambition for more money leads eventually to death, of humans and non-humans alike.

    This aligns with widely used definitions of sustainability, which involve not impeding future generations’ ability to enjoy a high quality of life. Capulalpenses have an ingrained awareness that in many cases this care for the future may require “resisting temptation” now.

    This idea of resisting temptation can engender visions of aestheticism, of the need to sacrifice to achieve sustainability. Yet Capulálpam provides an example of how resistance to temptation need not equate to deprivation or diminished well-being. Indeed, in many ways the community exemplifies emerging, and increasingly prevalent, suggestions for sustainable well-being: well-being that foregrounds social relationships, time with others and with nature, and the sharing of life’s joys and sorrows, a non-materialistic vision of “the good life” (IPBES 2019). Multiple widely used well-being indicators (e.g., the Better Life Index [OECD 2025] or the capabilities approach [Nussbaum 2001]) also highlight this multi-faceted, socially rich conception of well-being. Capulálpam exemplifies these visions of “the good life”; the community is constantly abuzz with meetings, ceremonies, shared meals, festivals, parties, performances, parades, discussions, collective work events, and, undergirding all of this, substantial lifelong community service and dedication to protect a shared territory. This dedication includes commitment to continually and collectively address tensions and disagreements. At the risk of romanticizing, this seems a powerful model to which many other places might aspire.

    Explicit discussion of values is helpful and desirable

    A core tenet of the IPBES Values Assessment is to “make visible” (e.g., discuss and illuminate) values that are often invisible. Members of our project team and many participants expressed appreciation for the opportunity and encouragement this project, following that core tenet, provided: to explicitly discuss values and what is most important to the Capulálpam community. There was general agreement that the community cannot take values for granted; instead, Capulalpenses should, participants repeatedly said, intentionally discuss shared values, work to understand them, and maintain them by sharing them with younger generations as the society continues to modernize.

    This project offered an opportunity to organize a series of conversations to foreground community-selected values, and to systematically analyze and portray what emerged. As our results describe, multiple groups identified a decline in interest in the territory and the paramount importance of re-connecting the community’s youth with the territory and territory-related values. To that end, the Common Lands Commission team, in part inspired by our findings, has created a community-wide education initiative that exposes younger generations to these values. This is one way in which explicit conversation of values will continue far beyond the project and be part of the community’s dynamic thought and action.

    CONCLUSION

    This study adds new insight about how values, and themes closely related to values such as intergenerational transfer, shape territorial decision making in one Indigenous community. It demonstrates that relational values can play a pivotal role in territorial management, and that open discussion of values-management links can facilitate broader community awareness of these values’ role, and even subsequent community-led action to increase values awareness. Given the central roles that diverse values, and particularly relational values, will likely play in transformations toward sustainability (IPBES 2024), research such as this, which deepens understanding the nuances of values-management links in contexts with long histories of sustainable management, can offer potentially helpful guidance for transitions to sustainability.

    __________

    [1] IPBES stands for the Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services. The Values Assessment’s formal name is the “Methodological assessment regarding the diverse conceptualization of multiple values of nature and its benefits, including biodiversity and ecosystem functions and services.”
    [2] The word celo has a complex meaning, and that meaning may be one of the best encapsulations of the ways that values, institutions, and land management interact in Capulálpam. A summary of celo’s meaning in our study context might be “zealous love and protection,” but here we offer two definitions. First, the Diccionario de la Real Academia Española defines celo as (the first two definitions, both of which are relevant): “1. cuidado, diligencia, esmero que alguien pone al hacer algo; 2. interés extremado y activo que alguien siente por una causa o por una persona.” (1. care/carefulness, diligence, the care that someone puts into doing something; 2. extreme and active interest that someone feels for a cause or a person). Second author [MCF] defines celo as the obligation and passion to protect and defend something that we know and have, be it tangible or intangible.
    [3] “Poder valorar lo que tenemos; si no tenemos valores estamos perdidos.”
    [4] “Valorar va más allá de lo económico.”
    [5] “Es algo que se siente pero que no se puede explicar.”
    [6] “Preservar detiene crecimiento económico.”
    [7] “La economía es pasajera.”
    [8] “El dinero se acaba.”
    [9] “La tranquilidad es costosa.”
    [10] “Deseo de hacer algo bueno por el monte mientras se está en el cargo.”
    [11] “vienen más y más seres vivos”
    [12] “Hubo un rompimiento con la naturaleza.”
    [13] “Que los jóvenes conozcan es importante; ahora no tanto conocen pero es muy importante que empiecen a conocer.”
    [14] “Pérdida de interés en conocer el territorio.”

    RESPONSES TO THIS ARTICLE

    Responses to this article are invited. If accepted for publication, your response will be hyperlinked to the article. To submit a response, follow this link. To read responses already accepted, follow this link.

    AUTHOR CONTRIBUTIONS

    The core project development team included five authors: RKG, PB, MCF, AKCP, and FGL. The data collection team included three authors: RKG, MCF, and AKCP. RKG and MCF processed and analyzed the data. Two additional authors, YGHM and FS, helped in initial conceptualization of the research and to then contextualize the research more generally and to process and understand research findings.

    ACKNOWLEDGMENTS

    We are grateful to the 50+ residents of Capulálpam who joined our community listening lessions and shared their thoughts, insights, and concerns about the community. We also appreciate the U.S. Fulbright Program, which supported RKG’s role as a Fulbright fellow during this research.

    Use of Artificial Intelligence (AI) and AI-assisted Tools

    We did not use any AI tools in the creation of this article.

    DATA AVAILABILITY

    Ethical approval for this research was granted by the community of Capulálpam de Mendez and the University of Vermont. The Capulálpam community would prefer that the full transcripts from conversations not be shared publicly, as doing so would not comply with the CARE Principles for Indigenous Data Governance (*Collective benefit*; Indigenous peoples’ *Authority* to control their data; *Responsibility* for respectful engagement; and Indigenous peoples’ *Ethics* as informing the use of data across time [Carroll et al. 2021]). Readers who are interested in more information can contact the lead author to discuss possible sharing agreements.

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    Corresponding author:
    Rachelle Gould
    rgould@uvm.edu
    Appendix 1
    Fig. 1
    Fig. 1. The core components of the IPBES Values Assessment’s values typology. Figure adapted from Figure SPM2 in the Values Assessment Summary for Policymakers (IPBES 2022).

    Fig. 1. The core components of the IPBES Values Assessment’s values typology. Figure adapted from Figure SPM2 in the Values Assessment Summary for Policymakers (IPBES 2022).

    Fig. 1
    Fig. 2
    Fig. 2. Core characteristics of communal governance (a central component of <em>comunalidad</em>) in Calpulálpam, our study site. The years on the “staircase” refer to community members’ ages. Many surrounding communities have an analogous structure.

    Fig. 2. Core characteristics of communal governance (a central component of comunalidad) in Calpulálpam, our study site. The years on the “staircase” refer to community members’ ages. Many surrounding communities have an analogous structure.

    Fig. 2
    Fig. 3
    Fig. 3. Photo of collective mural (completed by community members at our results-sharing event), and a community-listening-session quote that captures the essence of many comments about the territory.

    Fig. 3. Photo of collective mural (completed by community members at our results-sharing event), and a community-listening-session quote that captures the essence of many comments about the territory.

    Fig. 3
    Fig. 4
    Fig. 4. Analysis of how broad values align with intrinsic, instrumental, and relational values (values mentioned by four or more groups are listed here; Table A1 continues the analysis for 10 additional values mentioned by two or three groups). Cell shading indicates relative strength of the meaning that emerged in our conversations: darker shading indicates stronger resonance, in our data, of this value dimension for the given value. (To determine shading, authors RKG and MCF independently ranked the strength of each cell from 1 to 10 (low to high importance), and we used the average to determine the intensity of shading. The average difference between our ratings was one ranking point, i.e., we were highly consistent.)

    Fig. 4. Analysis of how broad values align with intrinsic, instrumental, and relational values (values mentioned by four or more groups are listed here; Table A1 continues the analysis for 10 additional values mentioned by two or three groups). Cell shading indicates relative strength of the meaning that emerged in our conversations: darker shading indicates stronger resonance, in our data, of this value dimension for the given value. (To determine shading, authors RKG and MCF independently ranked the strength of each cell from 1 to 10 (low to high importance), and we used the average to determine the intensity of shading. The average difference between our ratings was one ranking point, i.e., we were highly consistent.)

    Fig. 4
    Fig. 5
    Fig. 5. Collective cognitive map for the community of Capulálpam. This map combines insight from all 11 group-based maps. All terms are described in the text.

    Fig. 5. Collective cognitive map for the community of Capulálpam. This map combines insight from all 11 group-based maps. All terms are described in the text.

    Fig. 5
    Table 1
    Table 1. Groups that participated in community listening sessions, and the community land-management decision used for the group discussion.

    Table 1. Groups that participated in community listening sessions, and the community land-management decision used for the group discussion.

    Group # of participants Topic for discussion in relation to land management/territory
    Community forest company (pilot) 3 Selection of forest use/logging areas
    Traditional medicine group (pilot) 5 Use of medicinal plants
    Ecotourism professionals 6 Size of tourism operation; carrying capacity of the community’s ecosystems to sustain tourism activities
    Farmers association 8 Organization of the annual feast and celebration that honors St. Isidore the Farmer
    Municipal authorities 6 Election of the municipal authorities, who ultimately make all land management decisions
    High-school near-graduates 4 Establishment of the UMA (Management Unit for Wildlife Conservation) for the population of white-tailed deer (Odocoileus virginianus)
    Distinguished council (Consejo de caracterizados) 3 Harvest fewer trees than legally allowed
    Community-based water company 4 Quantity of water bottled
    Land management agency representative (interview) 1 Establishment of a protected area in the community forest
    Community-based gravel mining company 7 Company’s activity; quantity of gravel extracted
    Community radio station 4 Definition of content to be broadcast
    Table 2
    Table 2. Most common elements of responses to the question, “For you, what is the territory of Capulálpam; how do you understand or describe the territory?”

    Table 2. Most common elements of responses to the question, “For you, what is the territory of Capulálpam; how do you understand or describe the territory?”

    Element of territory Number of groups that mentioned Examples
    Space or area 11 (all) Space, a physical area
    Values and sentiments other than care 11 (all) Celo; what we share; sentimental value; affection; sacred places; everything; life; people’s habitat; body; interaction; paradise
    People, culture 9 Population, town, people, culture, our way of relating (to people and the environment)
    Resources, benefits 9 Benefits to the community; aquifers; timber; sustenance; that which is used; that which keeps giving what it gives us
    Care and conservation 8 Something that we take care of; protection; conservation
    Flora and fauna 7 Animals, plants, endemic species, forest as repository of species
    Home 6 Home, house, place where we live
    Physical features 4 Air, mountains, roads
    Future generations 3 What we will leave for those who come next
    Ancestors 3 What is taught or passed down; heritage; myths and legends
    Table 3
    Table 3. Value-related topics that impact decisions. Topics mentioned six or more times, categorized according to the IPBES Values Assessment typology (the topic with the next-highest number of mentions was mentioned only three times). Numbers in cells indicate the number of times a value-related topic was mentioned in alignment with that value type (total, in all groups). Cells with “0” indicate that no group mentioned that topic in alignment with that value type (e.g., many topics, i.e., resources, values-as-principles, negative mining consequences, organization, traditional practices, and spirituality, were never discussed in a way we coded as worldviews). Counts that exceed 50 are bolded.

    Table 3. Value-related topics that impact decisions. Topics mentioned six or more times, categorized according to the IPBES Values Assessment typology (the topic with the next-highest number of mentions was mentioned only three times). Numbers in cells indicate the number of times a value-related topic was mentioned in alignment with that value type (total, in all groups). Cells with “0” indicate that no group mentioned that topic in alignment with that value type (e.g., many topics, i.e., resources, values-as-principles, negative mining consequences, organization, traditional practices, and spirituality, were never discussed in a way we coded as worldviews). Counts that exceed 50 are bolded.

    Topic Worldview Broad value Specific value Indicator Total
    Care and conservation 1 12 2 54 69
    Resource (e.g., wood, water) 0 1 41 16 58
    Values-as-principles† 0 52 0 0 52
    Negative consequences from past mining activity 0 0 17 8 25
    Organization 0 1 1 16 18
    Traditional practices 0 0 2 12 14
    Future generations 1 1 7 3 12
    Relationship with nature 3 1 6 2 12
    Spirituality 0 3 2 3 8
    Economic value 0 0 1 7 8
    Ancestors 2 0 2 2 6
    Total 7 71 81 123 282
    † Figure 4 expands on this row.
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    Home > VOLUME 30 > ISSUE 3 > Article 36 Research

    How is the governance of circular economy of water organized? A systematic review of the literature

    Lasseur, N. M. C. G., K. Holstead, and D. Huitema. 2025. How is the governance of circular economy of water organized? A systematic review of the literature. Ecology and Society 30(3):36. https://doi.org/10.5751/ES-16390-300336
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    • Noelle MCG LasseurORCIDcontact author, Noelle MCG Lasseur
      Department of Public Administration and Policy, Wageningen University and Research, The Netherlands
    • Kirsty HolsteadORCID, Kirsty Holstead
      Department of Public Administration and Policy, Wageningen University and Research, The Netherlands
    • Dave HuitemaORCIDDave Huitema
      Department of Public Administration and Policy, Wageningen University and Research, The Netherlands

    The following is the established format for referencing this article:

    Lasseur, N. M. C. G., K. Holstead, and D. Huitema. 2025. How is the governance of circular economy of water organized? A systematic review of the literature. Ecology and Society 30(3):36.

    https://doi.org/10.5751/ES-16390-300336

  • Introduction
  • Methods
  • Results
  • Discussion
  • Conclusion
  • Acknowledgments
  • Use of Artificial Intelligence (AI) and AI-assisted Tools
  • Data Availability
  • Literature Cited
  • circular economy of water; systematic literature review; water; water governance
    How is the governance of circular economy of water organized? A systematic review of the literature
    Copyright © by the author(s). Published here under license by The Resilience Alliance. This article is under a Creative Commons Attribution 4.0 International License. You may share and adapt the work provided the original author and source are credited, you indicate whether any changes were made, and you include a link to the license. ES-2025-16390.pdf
    Research, part of a special feature on The Next Wave in Water Governance

    ABSTRACT

    Although the concept of circular economy (CE) applied to the field of water (CEW) is relatively new, it offers a promising avenue to challenging water concerns and is increasingly proposed as the way forward in water policy and research. Literature often describes the governance of CEW as a challenge or barrier to CEW. However, the literature is spread across disciplines and areas, and work is required to condense the findings. Using a systematic literature review of 178 peer-reviewed articles, this research examines the governance of CEW to understand and explore key themes. By analyzing the literature through the lens of six governance dilemmas—cost and benefit, implementation and enforcement, level and scale, mode and instrument, problem perception, and timing and sequencing—the paper demonstrates that CEW is viewed in an often normative and static way. One way this takes place is by emphasizing the optimization of existing systems through water recycling, with less focus on decreasing consumption, which could require deeper fundamental and transformative changes. Also, the literature assumes and assigns roles unevenly: benefits are largely framed as accruing to private actors, whereas costs and responsibilities are disproportionately placed on the public sector and civil society. Finally, governance discussions tend to overlook how different frames (i.e., decreasing, optimizing, retaining) and applications of CEW (e.g., for agriculture, industry, or nature conservation) call for distinct governance responses. Finetuning proposed governance solutions to existing and specific framings and applications may offer insights into further developing CEW.

    INTRODUCTION

    Over the last decades, it has become apparent that the way water is managed and consumed is unsustainable and that change is needed. Although the concept of circular economy (CE) applied to the field of water (CEW) is relatively new (Morseletto et al. 2022), it offers a promising avenue to address water scarcity and insecurity and is increasingly put forward in water policy and research (International Water Association (IWA) 2016, Sauvé et al. 2021). For example, the new EU circular economy action plan launched in 2020 as part of the European Green Deal aims to enhance a circular transition, also in the field of water (European Commission 2020). Circular economy counters the linear economic model, where products are made from raw materials and considered waste after use, and includes the goals of eliminating waste and pollution, circulating products and materials at their highest value, keeping products and materials in use, and regenerating natural systems (Tahir et al. 2018). Circular economy can be defined as a systems solution framework that embraces the idea that materials, components, and products should be designed and produced to be restored, retained, and redistributed in the economy for as long as it is environmentally, technically, socially, and economically feasible (Kirchherr et al. 2017, Ellen MacArthur Foundation 2013:7). In the context of water, CEW offers a paradigm shift to similarly move away from a traditional linear economy, where water is extracted from the environment, used, treated, and discharged, to build a new framework that reduces preserves, and optimizes the uses of water while ensuring environmental protection and conservation. This can be achieved through different approaches to rethink, avoid, reduce, replace, reuse, recycle, cascade, store, and recover water (Morseletto et al. 2022).

    The field of CE is characterized by a focus on technical interventions (Kirchherr and van Santen 2019) applied to water; this translates into a focus on technologies to support water reuse (Salgot and Folch 2018, Capodaglio 2020, Rizzo et al. 2020). Yet water governance, meaning the range of political, social, economic, and administrative systems in place to develop and manage water resources and the delivery of water services (Rogers and Hall 2003), is frequently recognized as a barrier for CEW implementation and as something that needs to be considered and explored further. Governance barriers to CEW have been highlighted in the literature, including public perception, inadequate regulatory frameworks, and economic constraints to financing circular water projects (Frijns et al. 2016, IWA 2016, Makropoulos et al. 2018, Nkhoma et al. 2021). However, the literature on CEW governance is fragmented and scattered across fields of study and disciplines. Relevant work spans environmental economics, political sciences, and environmental engineering, often operating in parallel rather than in dialog. Diverse social science theories, such as collaborative governance (Ddiba et al. 2020), transition theory (Afghani et al. 2022), or transformative change (van Duuren et al. 2019) are sporadically applied and seldom integrated. This disciplinary fragmentation is also visible in the application of concepts, such as legitimacy (Blankesteijn and Bossink 2020) and social learning (Fulgenzi et al. 2020). Economic approaches tend to focus on valuation methods for ecosystem services (Danso et al. 2017, Ding et al. 2019), further illustrating disciplinary silos. This diversity reflects the growing interest in CEW, but also illustrates how differing conceptual framings, terminologies, and disciplinary perspectives can make it challenging to gain an integrated overview and to synthesize findings across fields.

    Responding to this gap, this research examines existing literature on the governance of CEW through the lens of the governance dilemmas framework (Jordan et al. 2010, Patterson and Huitema 2019): including problem perception, level and scale, timing and sequencing, mode and instrument, cost and benefit, and implementation and enforcement (Table 1). These dilemmas are a useful lens to examine the governance of CEW, as they provide insights into how complex climate change challenges such as CEW are addressed, organized, and governed through individual and collective responses at various scales (Huitema et al. 2016).

    By drawing attention to and reflecting on the assumptions made in the literature, we offer insights into the existing knowledge base of CEW governance. We show that the literature often adopts a normative stance and does not differentiate between the varying conceptualizations of CEW. Broadly, CEW can be understood as a reformist strategy focused on improving the efficiency of existing systems or as a transformative approach that seeks to fundamentally reconfigure social-ecological relations. Most of the studied literature emphasizes a reformist perspective, focusing on optimizing existing systems through technological interventions such as water recycling and reuse, particularly in industrial and agricultural settings, while paying comparatively less attention to strategies aimed at reducing consumption. This view is also characterized by a somewhat limited conceptualization of the roles of different governance actors, including the state, civil society, and the private sector. Building on this, we call for greater analytical attention to more transformative understandings of CEW: those that align with Feola’s (2015) concept of transformative change as a major, fundamental shift, as opposed to minor or incremental adjustments (Kapoor 2007, O‛Brien 2012). Although reformist approaches contribute to important efficiencies, they often reproduce existing institutional and socio-political structures. In contrast, transformative understandings of CEW challenge dominant governance paradigms, redefine societal values around water use, promote regenerating natural systems, and embed circularity as a systemic principle rather than a technical fix, thereby potentially inducing a paradigm shift in water governance.

    This paper is structured as follows, first we outline the systematic literature review (SLR) methodology employed in this study. We then present the results, organizing the findings around the six governance dilemmas proposed by Jordan et al. (2010). Each dilemma is addressed in turn to identify patterns and gaps in how CEW is conceptualized in the literature. Finally, we discuss the implications of these findings, highlighting dominant framings and proposing alternative perspectives that bring forward more transformative and socially just approaches to CEW.

    METHODS

    We conducted a SLR to address the study’s main objective, as this allows identifying, selecting, and assessing the existing literature in the field of interest and answers the research questions: what is the current scope of knowledge around the governance of CEW? How do existing studies suggest governance of CEW should be organized? To support the reporting of the systematic review and ensure that the article selection process is carried out in a reproducible and transparent way, we used the checklist of the “Preferred Reporting Items for Systematic Reviews and Meta-Analyses” (PRISMA) (Moher et al. 2009). The PRISMA method guides the selection process stage by stage, by pre-defining the keywords, the databases, and the inclusion and exclusion criteria. This method consists of several steps: developing the search strings, gathering the data (i.e., identifying articles, screening articles, and selecting articles), and analyzing the data (Page et al. 2021). All three steps are further described below.

    Developing the search strings

    The lead author conducted the electronic searches in November 2023, in Scopus and Web of Science. For the selection of keywords, we used semantic fields, as they group related words by meaning and help develop comprehensive search strings that ensure all relevant studies are captured. Three sets of semantic fields were identified as necessary: CE, water, and governance aspects of CEW. For this last category, the objective was to find keywords broad enough to encompass all governance aspects of CEW, while being sufficiently exclusive from the natural sciences and engineering literature to allow a suitable selection of papers.

    After studying existing reviews on CE and how the concept is currently defined (Kirchherr et al. 2017), we chose the following keywords for the semantic field of CE: “Circular Economy” OR “CE” OR “circular” OR “circularity.” Next, building on the water governance definition used in the introduction, the selected set of keywords for CEW governance was: “social,” “cultural,” “policy,” and “market.” The term “economy” was not added again here, as it was already included in the search strings related to CE.

    The final selected search terms were: (“Circular Economy” OR “CE” OR “circular” OR “circularity”) AND (“water”) AND (“social” OR “cultural” OR “policy” OR “market”). The search field was defined as “Article title, Abstract, Keywords” in Scopus, and “Topic” in “Web of Science Core Collection” in Web of Science. Search types were both set on “Advanced.”

    Gathering the literature

    To bound the study, we specified the following criteria: the research dates were set from 1990 to 2023 (as no relevant studies were identified before 1990), the language request was set to English, and the document types were limited to peer-reviewed articles and review articles. After this first set of screening automation tools, we merged the results of both databases to continue the screening process and removed all duplicates. The second screening step consisted of using inclusion/exclusion criteria for article titles, article abstracts, and entire articles. Following the PRISMA checklist, we established two sets of inclusion/exclusion criteria before the screening process:

    1. Is the paper related to CEW?
    2. Does the paper address CEW governance?

    The answer to both criteria had to be “Yes” for the article to be included in the review. The criteria were used in the specific order that they are presented above. Based on the eligibility criteria mentioned, the lead author reviewed titles and abstracts to determine whether they should be included. The next phase involved full-text reviews, retrieving and analyzing all records selected from the screening phase. The overall article-selection flow diagram is provided in Fig. 1. We found 1,504 articles initially. This number was reduced to 178. The most restrictive criterion was the second one (i.e., does the paper address governance settings of CEW), as a large majority of the papers focused on natural sciences and engineering without including governance elements.

    Analyzing the data

    After the screening process, we kept and analyzed 178 studies for this review (Append. 2). The lead author coded all articles using the Atlas.TI software, extracting bibliometric and qualitative elements. We created four categories of codes on Atlas.TI: bibliometrics (i.e., publication year, methodology), circular definitions and framing, area of application (i.e., geographical and sectoral applications of CEW), and governance-related elements. The framing code consists of understanding what strategy of CEW was applied in the article (e.g., recycling water, recovering biogas from wastewater). All statements related to governance elements were coded in the Atlas.TI software and inductively grouped into governance categories. For example, if a paper stated the need to work on public trust, legitimacy, and communication to improve the social acceptability of a CEW project, the text was coded as “Acceptability.” In total, we created six categories of governance codes: “acceptability,̵ “responsibility,” “economics,” “collaboration,” “risk management,̵ and “policies and regulation.” The Acceptability code holds elements on perception (e.g., yuck factor, disgust) and knowledge management (e.g., awareness, trust, information); the Responsibility code addresses roles of public and private actors and management responsibilities (e.g., planning, execution); the Economics code encompasses financial aspects (e.g., investments, funding, subsidies) and value assessments (e.g., costs, benefits); the Collaboration code involves networking, participation, and cooperation across multiple levels (e.g., local, regional, national); the Risk Management code deals with various risk types (e.g., contaminants, pollutants, health risks) and their monitoring (e.g., standards, controls); and the Policy and Regulation code includes elements on strategies and legislative instruments (e.g., taxes, incentives). The coding process is further described in Append. 1. Because some articles cover multiple topics, statements were sometimes coded multiple times (e.g., when a paper stated that collaboration positively affects public acceptability of CEW, both “Acceptability̵ and “Collaboration” codes were used). All governance codes were further structured according to the six governance dilemmas identified by Jordan et al. (2010): problem perception, level and scale, timing and sequencing, mode and instrument, cost and benefit, and implementation and enforcement. The coding process is described in Fig. 2.

    RESULTS

    Problem perception

    Looking at the temporal spread of the 178 articles identified, Fig. 3 shows that CEW governance has been the focus of academic concern since 2014. The drop in 2023 is related to the fact that the literature search was conducted in November 2023, before the end of the year. Articles may have come out afterward, also in 2024, with an official publication year of 2023. The geographical focus of the case studies in the selected articles is mainly Europe (n = 107). Within Europe, areas of interest include the European Union as a whole (n = 20), the Netherlands (n = 16), Italy (n = 15), and Spain (n = 11) (Fig. 4). Asia (n = 24), in particular China (n = 10) and India (n = 6), is the next most common area studied in the articles. Areas poorly represented in the sample include Africa (n = 11), North America (n = 9), South America (n = 8), the Middle East (n = 3), and Oceania (n = 1). The recent European Green Deal (European Commission 2019), the new EU circular economy action plan (European Commission 2020), and the recent European regulation 2020/741 on minimum requirements for water reuse applicable to all member states since June 2023 (European Union 2020) could explain the European focus as well as the recent rise in articles.

    Although relatively recent, there are patterns in how CEW is framed and discussed in the literature. Although clear definitions of CEW and CE are lacking in half of the papers (i.e., 89 papers offer clear definitions of CEW or CE), practical applications of CEW, particularly in case studies, illustrate diverse framings of CEW. Three frames of CEW are commonly applied in the literature. The first is optimizing, which considers CEW as a way to use water more efficiently, allowing the same water to be reused multiple times, with or without intermediate treatments. The second is retaining, where CEW takes place to store water (i.e., putting used water aside, before or after treating it, into a specific reservoir where it will be available for future uses) and retain materials (e.g., bioplastics, nutrients) and energy in the economic system. Finally, the decreasing frame focuses on reducing water use.

    Circular economy of water can be framed in different ways (i.e., optimizing, decreasing, retaining). Figure 5 shows how these are distributed across articles and highlights that the literature mainly focuses on optimizing water use (49%). Within the optimizing frame, articles mainly focus on recycling water, for the same or a different purpose. The retaining frame represents 13% of the articles. These focus on recovering nutrients (e.g., use of wastewater sludges in agriculture) and energy (e.g., biogas production from wastewater sludges). The decreasing frame represents 7% of the studies. No CEW frame was identified in 31% of the articles, as those focus either on several frames simultaneously (van Zyl and Jooste 2022) or on reshaping economics, facilities, policies, regulations, technologies, and uses around water more generally. Circular economy of water can therefore be understood as a recent European-centered challenge, perceived and framed around the optimization of current water uses through recycling and reusing water.

    Level and scale

    Next, Jordan et al. (2010) focuses on considering the appropriate level and scale for CEW implementation. In the studied literature, although the critical role of municipal and regional administrations in leading a transition toward CEW is notable (e.g., Sugiyono and Dewancker 2020, Asprilla Echeverría 2021, Södergren and Palm 2021, Berbel et al. 2023), literature glosses over the role of the micro level in a CEW. Morseletto et al. (2022:1473) contend that “governments and water authorities are responsible for designing the most effective water governance mechanisms (...) for the CEW” by aligning local specificities with national targets. Such assertions appear to be more normative than evidence based, as the literature offers limited empirical investigation into how these actors define or enact such effectiveness in practice. Södergren and Palm (2021), in connection with CEW implementation in Sweden, argue that municipally owned corporations have clearer responsibility for the profits, larger financial freedom of action, and less political control than national authorities. They highlight that municipal administrations tend to support a more holistic and inclusive approach to CEW implementation but may face challenges due to budget constraints and prioritization of other local issues. Also, stakeholders at different levels (i.e., local, regional, national) can have different priorities that do not always align. A notable message in the literature is that fragmented regulatory frameworks promote inconsistent roles and responsibilities (Brown and Farrelly 2009). For example, in the Indonesian context, Eneng et al. (2018) describe how responsibility for implementing CEW-related policies is delegated from the national to local and provincial governments. However, in practice, local and provincial agencies often prioritize attracting investment and generating tax revenue over environmental protection or the implementation of CE principles. The authors note that permits for groundwater extraction are typically granted with the primary aim of supporting regional economic development, whereas environmental assessments and long-term sustainability considerations receive limited attention. Institutional competition between government agencies, driven by differing tax structures, further undermines coordination and leads to fragmented oversight. This fragmented governance is presented as a key barrier to the effective implementation of CEW. As such, multi-level governance systems (e.g., governance between ministries, regions, and municipalities) are increasingly studied in the CEW literature (Flores et al. 2018, Fassio et al. 2022, Cagno et al. 2023), and often presented as potential solutions that would solve fragmentation and overlapping priorities challenges. However, the practical implementation of multi-level governance systems in CEW is relatively underexplored, with few concrete solutions presented. Ding et al. (2019) offer some suggestions, including establishing dedicated governmental bodies to coordinate between different levels of government to achieve CEW. This suggestion is somewhat exceptional in the literature, as it contrasts with the general tendency to under-theorize multi-level governance in the CEW field. Moreover, scholars like Skelcher (2005) argue that the proliferation of such coordinating bodies has become problematic in public administration, as they can lead to excessive bureaucracy and inefficiency. Although Ding et al.’s suggestion presents an interesting avenue, it seems important to question whether creating additional layers of coordination would exacerbate or alleviate existing governance challenges in the context of CEW.

    Jordan et al. (2010) associate scale with specific values such as flexibility, accountability, and transparency, which are embedded within broader governance levels. Although these values are presented as essential to the governance of CEW, the literature often uniquely assigns them to certain actors (e.g., Kjellen 2018, Oughton et al. 2021, Ballesteros-Olza et al. 2022). Taking flexibility as an example—understood as the capacity to be dynamic, adaptive, and responsive when navigating complex and uncertain policies—it is often linked to the private sector in the literature. Makropoulos et al. (2018) examine sewer mining technology applications in Greece and suggest that “At the small-scale (...) a private operator (e.g., a start-up or an SME) would seem more flexible to manage the challenges of ecosystem services diversification” (Makropoulos et al. 2018:296). Similarly, Seifert et al. (2019) investigate CEW and wastewater treatment plants in Germany and argue for private–public partnerships to increase the flexibility of wastewater services investments. Both examples suggest that flexibility is understood as economic efficiency and attributed to the private rather than the public sector. Also, studies focusing on ensuring transparency, accountability, and controllable distribution of roles and responsibilities are currently lacking and fundamental to overcoming administrative obstacles (Alamanos et al. 2022). These results suggest that deeper investigation is needed into the most appropriate governance mode for leading a CEW transition and the role of different actors, which are often assumed rather than empirically investigated.

    Mode and instrument

    The third governance dilemma introduced by Jordan et al. (2010) focuses on who leads a CEW transition and how (e.g., van Duuren et al. 2019, Dingemans et al. 2020, de Lauwere et al. 2022, Morseletto et al. 2022). The literature assumes specific roles for stakeholders in CEW, specifically for the public and private sectors. The public sector is the key actor mentioned in the studied literature. Several studies qualify water as a public good (e.g., Eneng et al. 2018, Asprilla Echeverría 2021) and argue that public sector leadership is essential for enhancing a CEW transition, as relying on the profit-oriented private sector risks undermining the collective responsibility to ensure universal water access (e.g., Eneng et al. 2018, Ddiba et al. 2020). Compiling the literature, we find a long list of “must dos” by the public sector: setting regulations and standards, monitoring and evaluating policies, providing funding for projects and innovation research, convening stakeholders for collaboration, promoting and implementing CEW projects (e.g., Danso et al. 2017, Ddiba et al. 2020, Franco-Torres 2021, Ballesteros-Olza et al. 2022). The public sector is, at the same time, also heavily criticized in the literature as having a short-term vision, a lack of a clear strategy, delays in administrative procedures, and limited public capacities (e.g., Flores et al. 2018, Ddiba et al. 2020, Ballesteros-Olza et al. 2022). On the other hand, studies recognize the private sector’s leadership in a CEW transition as necessary (e.g., Maquet 2020, Fico et al. 2022) and sometimes even preferable to that of the public sector, as the private sector is portrayed as dealing better with risk management and generating higher earnings (Fico et al. 2022). To overcome this public–private duality, the literature tends to present the network mode (i.e., governance led by trust and collaboration, rather than by rules or prices) as the most appropriate one for enhancing a circular transition (Miranda et al. 2022). The studied literature focuses heavily on collaboration, assuming that all sectors should necessarily align and synchronize their work (Ddiba et al. 2020), whereas lack of communication between regulators and planners is presented as a concern (Frijns et al. 2016). The collaborative governance model often presented suggests the need to redistribute responsibilities among politics, society, and the private domain (de Lauwere et al. 2022). Questions emerge, such as what constitutes a good redistribution of responsibilities, as studies point to the public sector as the primary investor in innovation, responsible for injecting capital expenditure and providing subsidies (e.g., Guerrini and Manca 2020, Laitinen et al. 2020, Agudo et al. 2022). This expectation is based on the public sector’s role in bearing the financial risk associated with early stage investments, as highlighted by Mazzucato (2013). Conversely, the private sector is depicted as entering the market only when it becomes economically viable (Ddiba et al. 2020), thus significantly limiting its financial risk. This dynamic suggests that the public sector is often expected to shoulder the investment risk without generating any earnings, whereas the private sector benefits once the financial conditions are favorable. The role of other entities in the CEW transition, such as non-governmental organizations or civil society, is rarely discussed in the literature. Savini and Giezen (2020) study the division of responsibilities in a circular transition in the city of Amsterdam regarding water, energy, and waste. They discuss problem ownership, revealing a dilemma between giving more responsibility to households in the transition, without diminishing government accountability. They suggest that environmental governance around CE is contradictory as actors simultaneously over-stretch and under-reach their responsibilities. This tension illustrates a broader challenge in CEW governance: the ongoing search for an optimal balance of responsibilities that would ensure accountability across all actors. This seems to point to a dilemma in determining the appropriate level and locus of responsibility among public and private actors.

    One central way responsibilities are defined in literature and actors are coordinated is through policy. In the CEW literature, this often translates as determining the optimal level of regulation. The literature agrees that implementation of CEW requires tailor-made policies and regulations. However, at the same time, these are often stated as barriers, with particular questions around their design, flexibility, effectiveness, and suitability (Frijns et al. 2016, Blankesteijn and Bossink 2020). Although the CEW literature highlights the need for clarity within regulations and policies, there is a concern that excessive regulation can hinder progress, create complexity, and enhance costs in the development of projects (Frijns et al. 2016). As Seifert et al. (2019) state, “...we see a double-edged sword. On the one hand, it ensures adherence to minimum requirements. On the other hand, it can tie up a large part of an organization’s human and financial resources and prevent innovation” (Seifert et al. 2019:161). This highlights the elusive search for an optimal regulation level, which seems perpetually out of reach in CEW governance.

    Timing and sequencing

    In the realm of CEW, governors are tasked with deciding when to act and in what sequence (i.e., in what order and timing to implement actions). Surprisingly, the question of action timing is often absent in CEW literature, which could mean that the dynamics of timely and strategic decision making in CEW are potentially not understood. Identifying the optimal intervention sequence proves to be challenging, and contention exists in the literature. Laitinen et al. (2020) argue that circular benefits tend to accrue over long-term horizons, whereas decision makers work over shorter-term horizons. Choices have to be made, between curative (i.e., react) or preventive (i.e., anticipate) modes of action, which sit in opposition to the lengths of political cycles (Flores et al. 2018).

    A further aspect of timing and sequencing relates to risk, and how risks are viewed across different time horizons, including environmental, health-related risks (Moya-Fernández et al. 2021), and financial risks (e.g., Savini and Giezen 2020, Qtaishat et al. 2022). Environmental and health-related risks involve elevated concentrations of contaminants that can occur when reusing water in different cycles, all of which are evolving and often not known in advance (Brînzan et al. 2020). For example, new contaminants emerge, and knowledge is lacking on their level of risks and degradation processes (e.g., Ekane et al. 2021, Qtaishat et al. 2022, Palmeros Parada et al. 2022).

    Risk management is a significant concern in CEW, as the literature explains that wastewater discharges can still contain various potentially dangerous pollutants, such as pathogens, micropollutants, antibiotic-resistant genes, nanomaterials, disinfection by-products, personal care products, and pharmaceuticals (Dingemans et al. 2020, Guerra-Rodríguez et al. 2020). In CEW literature, risk management is primarily discussed in terms of recycling water and recovering materials, with a focus on concentration levels, pollutant risks, and the risks associated with investing in new technologies. In their study on risk perceptions on the application of sewage sludge on agricultural land in Sweden, Ekane et al. (2021) state that uncertainty related to pollutants determines the type and magnitude of risk citizens may tolerate and thus plays a role in shaping public perceptions and policy directions.

    Regarding sequencing, the public sector is described in the literature as a crucial early stage actor that leads the way to a circular transition. Because many innovative circular solutions tend to not be commercially viable at their beginning, it is again expected that the public sector will fund innovation and circular initiatives in their early stages, allowing the private sector to jump in once solutions are commercially viable (Ddiba et al. 2020), or to put policy instruments in place, such as pollution taxes, to support the commercial viability of circular initiatives (Shen et al. 2020). This echoes again with the work of Mazzucato (2013), which suggests that the private sector takes minimal risks while primarily benefiting from high-risk investments made by the public sector.

    Cost and benefit

    Different types of CEW policies generate different distributions of costs and benefits among stakeholders. Looking at the practical applications of CEW in the literature, we identify five core domains (Fig. 6): (i) agriculture, including the reuse of water for irrigating crops (Vivaldi et al. 2022), or recovering nutrients from wastewater sludges for crops (Gwara et al. 2022); (ii) industry, including manufacturing firms (Cagno et al. 2023), small and medium enterprises (Bassi and Dias 2019), and the hospitality industry (Bux and Amicarelli 2023); (iii) cities, including circular urban water management (Arora et al. 2022, Castellet-Viciano et al. 2022); (iv) healthcare services, including hospitals (Vaccari et al. 2017); and (v) the water sector, including wastewater treatment (Mannina et al. 2022a, b), drinking water (Eneng et al. 2018), water supply system (i.e., articles focusing on CEW applications in both wastewater treatment and drinking water), and water ecosystems (Fidélis et al. 2021).

    Private actors such as agriculture and industry claim a significant share of domains benefiting from CEW (i.e., agriculture with 23% and industry with 16%). This can be explained by the emergence of pressing needs in those sectors, for instance in agriculture, where water can be lacking in summer. Another focus of the literature is set on wastewater treatment plants (i.e., 27.9% of the total sample), emphasizing facility-centric perspectives of CEW. The regeneration of natural water ecosystems is not driving the emergence of circular water projects (i.e., 4% of the total sample).

    Although the studied literature suggests that the benefits should mainly accrue to the private sector, such as agriculture and industry, it appears costs are to be borne primarily by the public sector and civil society. Indeed, the issue of acceptability is predominantly centered on civil society, which is portrayed in the literature as a significant barrier jeopardizing the implementation and upscaling of water reuse schemes (Chrispim et al. 2020, Ballesteros-Olza et al. 2022). Civil society is expected to accept risks linked to circular initiative projects, sometimes without them being attributed a leading role in the transition. Emotional reactions of disgust toward CEW strategies, known as the “yuck factor”, are often the thematic focus in studies on civil society (e.g., Smith et al. 2018, López-Serrano et al. 2022). For example, Medeiros et al. (2021) highlight that health, risk, disgust, and odor are the main barriers to urine fertilizer use in agriculture. Such barriers are closely tied to the sewage side of the water sector. To overcome this, information provision is suggested as a response while assuming the positive effect of information and education on the acceptability of CEW projects (Hartley 2006, Makropoulos et al. 2018, Villarín and Merel 2020). In this vein, we see a priority placed on disseminating information to gain social acceptance for circular water projects, and less around civil society and how they may or may not engage in dialogs, or how CEW might seek to reconfigure consumption practices.

    Trust and legitimacy also appear in the literature as possible solutions to enhancing acceptability and as a response to possible issues of costs and benefits. Frijns et al. (2016) argue that public support for water reuse is influenced by trust in the technical process, the regulation, and the organizations in charge. The studied literature considers a lack of public and institutional acceptability of CEW as a threat and as a problem to be solved (Chrispim et al. 2020, Ballesteros-Olza et al. 2022). Although various solutions for managing social acceptability are explored, a question arises regarding the role of citizens in the implementation, if and when they should be integrated into decision processes, and how they may experience costs and benefits. This questions the application of accountability and transparency in practice.

    Implementation and enforcement

    Due to the limited nature of circular water projects across the world, (Ddiba et al. 2020, Caparrós-Mártinez et al. 2020), limited discussions on implementation and enforcement exist in the literature. Debates regarding the appropriate level of action are discussed through top-down or bottom-up approaches. Yang et al. (2022) explain that bottom-up management policies are predominantly favored in Western economies, whereas top-down national development strategies are preferred in non-Western economies, such as China. The studied literature appears undecided on the most appropriate degree of centralization for circular water initiatives (i.e., decentralized or centralized water management) (Cipolletta et al. 2021). As highlighted in the previous sections, questions persist regarding the applicability and efficiency of a multi-level governance framework in addressing CEW implementation challenges. Uncertainties linger regarding the timing of governance interventions (i.e., anticipatory or reactive and long term or short term). The extent of public participation remains ambiguous, and the notion of power distribution within circular governance structures remains unexplored.

    Similar questions exist when addressing the enforcement of CEW initiatives. Despite the emergence of ambitious policies, such as achieving full circularity in water management by 2050 in Europe (European Commission 2020), enforcement mechanisms remain nascent. Although standards—like the recent European regulation 2020/741 on minimum requirements for water reuse—are being established, robust enforcement measures are yet to materialize. The literature offers some ideas, focusing on command and incentive economic instruments. Command instruments involve adapting the tax system to incentivize circular practices (Hagenvoort et al. 2019) or implementing tradable permits (Brînzan et al. 2020). The literature suggests that tax adjustments can reward companies and individuals for embracing CEW, and tradable permits put a cap-and-trade system in place and allow targeting specific sectors first (e.g., industries, farmers). Incentive instruments include measures like supporting research and development on water circular technologies (Mohtar et al. 2022), offering subsidies for capital expenditure to get rid of initial investment burdens (Ddiba et al. 2020), adapting pricing mechanisms to reflect the value of circular products (Giannoccaro et al. 2022), investing in institutional capacity building (Kjellen 2018), or creating new markets for circular products.

    DISCUSSION

    We analyzed the literature through six governance dilemmas established by Jordan et al. (2010): problem perception, level and scale, mode and instrument, timing and sequencing, cost and benefit, and implementation and enforcement. Overall, results highlight that academic literature focuses on emphasizing the optimization of existing systems through water recycling and reuse, with less of a focus on decreasing water consumption. Using the dilemmas framework, we identified different framings of CEW in the literature (i.e., optimizing, decreasing, retaining), and interest around some core applications, including water for industrial processes and agricultural irrigation. There is a misalignment between how CEW is defined in the literature (i.e., a systems solution framework, that should, among other elements, focus on regenerating natural systems), and how it is tackled in CEW literature. The current research landscape predominantly focuses on optimizing current linear water systems to satisfy increasing water demand in economic sectors suffering from water shortages, such as industry or agriculture, while missing discussions on the regeneration of natural systems (Fig. 5). This study shows that the literature offers a narrow, facility-centric and reformist perspective on CEW, as reflected in the prominence of efforts to optimize circularity within wastewater treatment plants (27.9% of the sample). This emphasis on technical and instrumental approaches contrasts with potentially more transformative understandings of CEW, such as rethinking water consumption patterns. Such transformative approaches might involve questioning societal norms around water uses, promoting behavioral changes, shifting the focus from technological fixes to systemic changes.

    A facility-centric understanding of CEW can influence how literature suggests governance of CEW should be organized. For example, when studies look at social acceptability, we found that a big focus is on the yuck factor and potential environmental and health risks (e.g., Smith et al. 2018, Medeiros et al. 2021, López-Serrano et al. 2022). These elements would probably be less critical, framed differently, or seen as less of a concern, if the focus of CEW were on decreasing strategies, where water reduction is the focus. Similarly, the studied literature shows that, although economics is a primary concern for CEW, articles support the idea that the public and private sectors should invest more in infrastructure projects (e.g., Guerrini and Manca 2020, Laitinen et al. 2020, Agudo et al. 2022). Once again, implementing CEW through decreasing strategies would necessitate fewer investments in capital expenditures for projects.

    We also demonstrate that the current research assumes specific roles for actors in the transition toward CEW: the public sector is expected to bear investment risks without generating any earnings, and the private sector tends to benefit once the financial conditions are favorable (e.g., Ddiba et al. 2020). When exploring the level and scale, mode and instrument, and cost and benefit dilemmas, these demonstrate assumptions around the role of different actors, including the state, private sector, and civil society, and a lesser understanding of how these roles are fulfilled. The literature indicates that costs should mainly be borne by the public sector and civil society, with a strong emphasis on enhancing public acceptability. A different understanding of CEW could lead to rethinking the roles of actors, specifically for civil society which is currently passively described and not offered an active role in the transition.

    Circular economy of water is still a concept under development that could benefit from engagement with critical literature. The literature used in this study views CEW as a goal-driven approach, emphasizing the necessity of overcoming various barriers for a successful circular transition. The vocabulary and literature surrounding CEW are prescriptive, focusing on what “must be done,” with limited criticism reported in the academic literature studied when discussing governance. One point for reflection is the limited consideration for thinking through alternative solutions. Discussions on the role of civil society are acknowledged, but framed narrowly, in terms of public acceptability. This framing tends to position civil society as an audience to be informed or persuaded, rather than as an active participant in shaping CEW. A broader perspective could highlight how civil society contributes to knowledge production, co-design, and the redefinition of water-related practices and values. It could also invite critical reflection on who decides where water goes, under what principles, and for whose benefit, bringing to the forefront issues of power, equity, and social justice in the allocation and governance of CEW initiatives.

    The legitimacy of certain barriers and the societal benefits are not fully explored in the literature. Barriers and opportunities are viewed in a normative and static manner, with a distinct separation between overcoming them to succeed in the circular transition or succumbing to them and failing in the transition. Such an understanding of CEW echoes the work of Lazarevic and Valve (2017), who state that CE is left “deliberately vague but uncontroversial” (Lazarevic and Valve 2017:1) and that we have “yet to see the contentions being fully playing out” (Lazarevic and Valve 2017:1). There is a need for a more incremental and dynamic approach to understanding barriers and opportunities in CEW governance to unravel policy processes and understand impasses. Biesbroek et al. (2014) suggest that, when studying governance barriers to sustainable transition, the focus should lie on detailing the process analysis and linking plausible causes to observed outcome patterns. Linking to CEW, we see a need for studies examining in-depth challenges that arise through decision-making processes, such as the impact of policies, how institutional parties handle conflict resolution in the context of circular water implementation, and how power relations can affect the water circular transition.

    Therefore, although CEW is a holistic concept, it can be argued that great variations exist when discussing aspects of governance, and how it can be organized. This raises questions about the comprehensive nature of CEW practices and their impact on the transition. There is a risk that a loosely defined CEW concept could be used merely as a green label, perpetuating business-as-usual practices without truly transforming the linear economy paradigm. This statement also resonates with the work of Ampe et al. (2020), who demonstrate that optimizing large-scale infrastructure, market development, and legislative changes is currently the dominant discourse in the transition toward a CE in the Dutch wastewater system. This dominant approach creates lock-in effects that focus action on technical changes and only leave space for small incremental changes.

    CONCLUSION

    We conducted a review of 178 papers related to CEW and governance. By analyzing the literature through six governance dilemmas, we found that CEW is currently predominantly studied in a European context. This may be linked to the EU’s political agenda, notably the new CE Action Plan (European Commission 2020), introduced as part of the Green Deal (European Commission 2019), which explicitly supports a circular transition across sectors, including water. In this literature, CEW is strongly focused on optimizing existing systems through recycling and reusing water. In general, the studied literature lacks distance and critical engagement toward CEW. The literature tends to be optimistic and goal driven about the concept of CEW. Literature focuses on improving or changing aspects of our current water governance to facilitate a transition toward CEW. However, literature often does not question the relevance of CEW in different situations, or the concept itself.

    This study also highlights research gaps and recommends future research directions. We suggest examining governance barriers and opportunities in a more dynamic and complex way by studying decision-making processes in greater detail. More empirical studies are needed on how practitioners use and frame the concept in practice, how to include civil society in a CEW transition, and on implementation strategies (e.g., decentralized or centralized projects). Additionally, more research is required on how governance dilemmas interrelate, the possible synergies between them, and potential governance leverage points. For practitioners and researchers, we recommend caution when using the CEW concept, considering how they frame it and how they address governance dilemmas.

    The main limitation of this study lies in its methodological constraints, as it relies on peer-reviewed published literature only. The omission of gray literature, including reports, regulations, international, national, and regional plans, and other non-peer-reviewed sources, may introduce gaps and blind spots. We suggest future studies include these. Another limitation of this study is that only articles written in English were reviewed. Despite these limitations, the study serves as a valuable snapshot of the existing scholarly discourse on CEW, providing avenues for future research directions.

    RESPONSES TO THIS ARTICLE

    Responses to this article are invited. If accepted for publication, your response will be hyperlinked to the article. To submit a response, follow this link. To read responses already accepted, follow this link.

    ACKNOWLEDGMENTS

    This research was performed within the framework of the research program AquaConnect, funded by the Dutch Research Council (NWO, grant-ID P19-45) and public and private partners of the AquaConnect consortium and coordinated by Wageningen University and Research.

    Use of Artificial Intelligence (AI) and AI-assisted Tools

    N/A

    DATA AVAILABILITY

    The data and code that support the findings of this study are openly available in Figshare at https://figshare.com/s/d7e8aa3a96a79c521da4. Ethical approval does not apply to this article.

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    Corresponding author:
    Noelle Lasseur
    noelle.lasseur@wur.nl
    Appendix 1
    Appendix 2
    Fig. 1
    Fig. 1. Systematic literature review PRISMA flow diagram.

    Fig. 1. Systematic literature review PRISMA flow diagram.

    Fig. 1
    Fig. 2
    Fig. 2. Systematic literature review coding and analysis process.

    Fig. 2. Systematic literature review coding and analysis process.

    Fig. 2
    Fig. 3
    Fig. 3. Number of publications on the governance of CEW per year (1990–2023).

    Fig. 3. Number of publications on the governance of CEW per year (1990–2023).

    Fig. 3
    Fig. 4
    Fig. 4. Map of paper count per country and region, highlighting the European scale (1990–2023). The map shows the distribution of papers across different countries and regions, with a specific focus on Europe. It indicates that 20 papers focus exclusively on the EU level, in addition to the country-specific counts.

    Fig. 4. Map of paper count per country and region, highlighting the European scale (1990–2023). The map shows the distribution of papers across different countries and regions, with a specific focus on Europe. It indicates that 20 papers focus exclusively on the EU level, in addition to the country-specific counts.

    Fig. 4
    Fig. 5
    Fig. 5. CEW frames in the selected articles.

    Fig. 5. CEW frames in the selected articles.

    Fig. 5
    Fig. 6
    Fig. 6. Core applications of CEW in the selected articles.

    Fig. 6. Core applications of CEW in the selected articles.

    Fig. 6
    Table 1
    Table 1. Governance dilemmas faced in dealing with CEW (sources: adapted from Jordan et al. 2010 and Patterson and Huitema 2018).

    Table 1. Governance dilemmas faced in dealing with CEW (sources: adapted from Jordan et al. 2010 and Patterson and Huitema 2018).

    Governance dilemma Key concern Aspects of dilemma
    Problem perception How is CEW framed? CEW framing: origins and definitions. Geographical and temporal scope of CEW.
    Level and scale At what level does a transition toward CEW occur? Distribution of responsibilities across levels (e.g., local, regional, national) and implications of responses at different levels (e.g., flexibility, accountability, transparency).
    Mode and instrument Who leads a CEW transition, and how? Modes of governance (e.g., hierarchy, market, network) and different policy instruments.
    Timing and sequencing When are steps toward CEW initiated? Timing and sequencing of action in light of risk management.
    Cost and benefit Who benefits from CEW?
    Who bears the costs of CEW?
    Costs and benefits to impacted groups, and tensions between effectiveness, fairness, and legitimacy of actions.
    Implementation and enforcement How is CEW implemented and enforced? Ambiguous goals, implementation gaps, policy style, and implications for policy change.
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    Home > VOLUME 30 > ISSUE 3 > Article 35 Synthesis

    Biocultural ethics and Earth stewardship: a novel integration to revitalize multiple values of nature

    Tauro, A., and R. Rozzi. 2025. Biocultural ethics and Earth stewardship: a novel integration to revitalize multiple values of nature. Ecology and Society 30(3):35. https://doi.org/10.5751/ES-16362-300335
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    • Alejandra TauroORCID, Alejandra Tauro
      Instituto de Investigaciones en Ecosistemas y Sustentabilidad, Universidad Nacional Autónoma de México (UNAM), Morelia, Mexico; Cape Horn International Center for Global Change Studies and Biocultural Conservation (CHIC), Universidad de Magallanes, Puerto Williams, Chile
    • Ricardo RozziORCIDcontact authorRicardo Rozzi
      Cape Horn International Center for Global Change Studies and Biocultural Conservation (CHIC), Universidad de Magallanes, Puerto Williams, Chile; Departments of Philosophy & Religion and of Biological Sciences, University of North Texas, Denton, Texas, USA; Cary Institute of Ecosystem Studies, Millbrook, New York, USA

    The following is the established format for referencing this article:

    Tauro, A., and R. Rozzi. 2025. Biocultural ethics and Earth stewardship: a novel integration to revitalize multiple values of nature. Ecology and Society 30(3):35.

    https://doi.org/10.5751/ES-16362-300335

  • Introduction
  • Methods
  • Results
  • Discussion and Concluding Remarks
  • Author Contributions
  • Acknowledgments
  • Data Availability
  • Literature Cited
  • agroecology; biocultural conservation; biocultural homogenization; ecology; education; ethics; global change; protected areas; social-environmental justice; sustainability
    Biocultural ethics and Earth stewardship: a novel integration to revitalize multiple values of nature
    Copyright © by the author(s). Published here under license by The Resilience Alliance. This article is under a Creative Commons Attribution 4.0 International License. You may share and adapt the work provided the original author and source are credited, you indicate whether any changes were made, and you include a link to the license. ES-2025-16362.pdf
    Synthesis, part of a special feature on Beyond the Assessment on the Diverse Values of Nature: Hidden gems, Biases, Frontiers, Challenges, and Insights

    ABSTRACT

    The Values Assessment (VA) of the Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (IPBES) highlights that contemporary political decisions prioritize economic values of nature while neglecting aesthetic, ecological, and spiritual values. This omission serves as an indirect driver of socio-environmental crises by reinforcing the dominant economic development paradigm that has fueled global biocultural homogenization. To address this problem, we adapt the “3Hs” model—habitat, habits, and co-inhabitants (hábitats, hábitos, co-habitantes, in Spanish)— of the biocultural ethic that offers a heuristic and normative approach to sustaining biological and cultural diversity. We examine case studies on agroecology, education, and protected areas to illustrate Earth Stewardship and biocultural conservation. Integrating these perspectives into decision making fosters sustainable and just futures, as recognized by IPBES-VA’s pathways for revitalizing diverse values of nature. Regarding habits, we provide evidence of educational programs worldwide that promote Earth Stewardship by encouraging respect, reciprocity, and sustainability. These approaches incorporate diverse cultural perspectives, blending experiential learning with ecological knowledge to strengthen biocultural relationships and inspire environmental responsibility. Regarding co-inhabitants, we show how numerous local communities coexist with diverse beings and landscapes, shaping agro- and forest-ecosystems. Despite threats like monocultures, local communities uphold biocultural ethics, preserving biodiversity, food sovereignty, and reciprocal respect for nature. Regarding habitats, we highlight initiatives that integrate conservation with cultural heritage and sustainable development. Despite challenges, PAs play a crucial role in Earth Stewardship and biocultural conservation. The “3Hs” model allows us to understand that every habitat must be cared for, and to put into action IPBES-VA recommendations, such as expanding the range of nature values included in decision making and socio-environmental policies. In this way, the “3Hs” model of biocultural ethics, although rooted in local realities, can acquire global power to transit toward more just and sustainable futures, such as those envisioned by IPBES-VA.

    INTRODUCTION

    The Values Assessment (VA) of the Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (IPBES) has shown that only a narrow set of values of nature, mainly those that provide economic benefits, is included in today’s political decisions (Pascual et al. 2023, Vatn et al. 2024). We postulate that the omission of a broader set of values, such as aesthetic, ecological, and spiritual values, represents a pervasive “indirect driver” of the current socio-environmental crises. This omission is linked to the grand narrative of economic progress that has propelled the so-called Great Acceleration. This acceleration began after World War II and is characterized by the explosive expansion of human activity, including increased population, economic growth, water and natural resource usage, food production, means of transportation, greenhouse gas emissions, and global warming (Steffen et al. 2007). In the 1950s, a set of primarily economic values was the focus of foundational documents about “world development” (Escobar 1995). For example, in Measures for the Economic Development of Underdeveloped Countries, the United Nations Department of Social and Economic Affairs stated the following:

    There is a sense in which rapid economic progress is impossible without painful adjustments. Ancient philosophies have to be scrapped; old social institutions have to disintegrate; bonds of cast, creed and race have to burst; and large numbers of persons who cannot keep up with progress have to have their expectations of a comfortable life frustrated. Very few communities are willing to pay the full price of economic progress (UN 1951:13; emphasis added).

    This economic perspective catalyzed the global replacement of local knowledge, values, and life habits. This “one-dimensional” economic approach is an “indirect driver” of processes that have brought interrelated losses of biological and cultural diversity to new scales of intensity and extension. In turn, this suppression has greatly accelerated long-term historical processes of biocultural homogenization worldwide (Rozzi 2018). The global application of a single mode of development, sustained by a narrow set of economic values, has erased and replaced local biodiversity and cultural habits as well as their interrelationships (Rozzi 2012). Consequently, ecosystem degradation and extinction of biological species (Kolbert 2011, McNeill and Engelke 2014), displacement of local peoples from their native habitats (Rozzi 2001, Borras et al. 2011, 2012, Bryan 2012), and losses of vernacular languages (Krauss 1992, Bromham et al. 2022) have been accelerated on a global scale since the mid-20th century.

    In contrast with biocultural homogenization driven by a narrow set of values, we introduce the biocultural ethic. Differing from prevailing Western anthropocentric ethics and 20th-century forms of environmental ethics, which focus on Western philosophy and sciences (e.g., Leopold 1949), the biocultural ethic values both biological and cultural diversity as well as their interrelationships. These interrelationships imply valuing the vital links between diverse co-inhabitants whose life habits have co-evolved in shared habitats (Rozzi 2012). This approach is summarized by the “3Hs” model of the biocultural ethic.

    The “3Hs” model offers a systemic and contextual approach to ethics. Habitat, in its etymological roots, is associated with the Greek word ethos, which in its archaic form meant a den. Through usage, its meaning came to include the dwellings of humans. Later, this noun became the verb “to dwell.” This dual noun-verb meaning of the Greek ethos is mirrored by the Latin words habitat and to inhabit. Moreover, from the action of inhabiting a habitat, habitual ways of inhabiting emerge configuring “habits” or recurrently performed behaviors, i.e., the ethos of animal or human inhabitants. In this etymological drift, the concept of ethos moves from signifying a biophysical space (the habitat) to meaning the act of dwelling in the habitat. In turn, it defines the identity of living beings that share the habitat, i.e., the co-inhabitants (both human and other-than-human subjects; Rozzi 2013).

    For the IPBES-VA it is essential to remember that ethos is the Greek root of the word ethics. Unfortunately, this integral relationship between “habitat” and “inhabiting” was forgotten by prevailing modern Western ethics, which developed “as if humans and their identities could exist in isolation from their habitats and co-inhabitants” (Rozzi 2012:27). The conceptual omission of the links between habitats and habits has further sustained a Eurocentric approach that was imposed onto the colonies with minimal consideration for the native ethos, “as if indigenous ethics, and their intricate links with their habitats, would not exist or would be irrelevant” (Rozzi 2012:27). The lack of consideration for biological and cultural diversity, as well as their interrelationships in the planet’s heterogeneous regions, in addition to the narrow economic focus of development, has been an indirect driver of biocultural homogenization, which has been largely overlooked. To overcome this colonial gap in modern Western ethics, the “3Hs” provide a conceptual model that can guide transdisciplinary collaborations, such as those that took place at IPBES-VA. It does this by inferring policies to sustain biocultural diversity through the examination of ecological and cultural environments of local communities (habitats), those who live there (co-inhabitants), and their lifeways (habits) (Simion 2023).

    Understanding biocultural diversity (sensu Maffi 2005, Bridgewater and Rotherham 2019) and biocultural conservation (sensu Rozzi et al. 2006, Gavin et al. 2015) and their implications for Earth Stewardship will help decision makers to address socio-environmental problems in more effective and just ways at local, regional, and global scales. In this vein, biocultural conservation and Earth Stewardship were integrated into one of the IPBES-VA’s proposed pathways to revitalize the multiple values of nature and foster sustainable and just futures (Martin et al. 2024).

    IPBES-VA recognized four pathways that (potentially or actually) contribute to sustainability and socio-environmental justice. These include: (1) Green Economy, (2) Nature Protection, (3) Degrowth and Post-Growth, and (4) Earth Stewardship and Biocultural Conservation (Martin et al. 2024). Our article introduces the latter by explaining how the integration between biocultural conservation and Earth Stewardship was developed. First, in the IPBES-VA and other sources, we identified worldviews and values that guide sustainable management practices for land, freshwater, and coastal ecosystems, aiming to conserve their biological and cultural diversity. Second, we employed the “3Hs” model to examine a set of case studies that illustrate three themes prioritized by IPBES-VA: agroecological practices, education, and protected areas in various regions of the world (Fig. 1).

    METHODS

    To identify sustainable and non-sustainable practices and values associated with Earth Stewardship and biocultural diversity, this study involved extensive literature searches in indexed and non-indexed sources (e.g., books and reports), and our own ethnographic work. First, analyses of indexed publications were conducted using Web of Science (WOS), Scopus, and Google Scholar from April to May 2020. The searches were initially conducted for English articles. In WOS, the searches were performed at the “topic level” and involved three groups of search terms: “stewardship and biocultural,” “stewardship,” and “biocultural” (Table S1). These three were, in turn, combined with additional keywords shown in Table S1. Similar searches were conducted in Scopus and Google Scholar. We found that the number of records in Google Scholar was higher than in WOS and Scopus. For this reason, we combined multiple sources to obtain a comprehensive overview of the subject (Table S2). Second, regarding non-indexed sources, we conducted a bibliographic search on the internet, looking for publications in English and Spanish, based on the keywords listed in Table S2. We examined in depth books on Earth Stewardship, and the reports published by the Ecological Society of America that launched the Earth Stewardship Initiative in 2009. Third, our long-term work in biocultural conservation helped us to identify gray literature and information about case studies in Latin America and other regions of the world. Additionally, we paid special attention to concepts and case studies about sustainable and non-sustainable practices and values associated with Earth Stewardship and biocultural diversity belonging to three thematic areas, which the IPBES-VA prioritized: (1) agro- and forest-ecosystems, (2) education, and (3) protected areas. These themes illustrate diversity of stewardship concepts and practices and biocultural conservation in different regions of the world. We endeavored to maintain a balance among world regions.

    The heuristic function of the “3Hs”

    The “3Hs” model functions heuristically to identify communities (living in cities, rural areas, or remote areas) with cultural traditions that have ethical values that guide sustainable practices for the conservation of life in its biological and cultural diversity. Likewise, it helps to identify individuals, corporations, and social groups that prioritize short-term profit over public interest, putting personal gain above the common good. These values promote practices that have disproportionately negative social and environmental impacts. Recognizing these distinctions avoids holding all social sectors as equally responsible for the current global socio-environmental crisis. This is important because oftentimes the scientific and popular literature portray environmental problems as caused by “humanity.” However, the term “humanity” generalizes all human beings and their societies; therefore, it overlooks differences among humans and their various communities (e.g., Flannery 2006, Hoekstra and Wiedman 2014).

    The “3Hs” model not only serves as a heuristic function to identify diverse types of communities, but it also provides an ethical orientation for incorporating the conservation of biological and cultural diversity into Earth Stewardship practices (Rozzi 2015, Bieling and Plieninger 2017). The Ecological Society of America (ESA) defined Earth Stewardship as a science that facilitates the active shaping of trajectories of social-ecological change to enhance ecosystem resilience and human well-being (Chapin et al. 2011, 2015). In this article, we understand Earth Stewardship as a transdisciplinary science, embedded in social and cultural actions that can be understood as biocultural practices because they operate at the interface of biophysical and cultural domains involving multiple forms of care for and management of the land that have evolved in contrasting societies (Rozzi 2015, Balvanera et al. 2021).

    We organize our review linking each theme prioritized by the IPBES-VA to one of the “3Hs” of the biocultural ethic, as follows: (1) diversity of co-inhabitants that play key roles in agro- or forest-ecosystems; (2) life-habits that promote Earth Stewardship and can be fostered by concepts and methodologies of education; (3) habitats that are cared for in remote, rural, and/or urban ecosystems, within and beyond protected areas (Fig. 1).

    RESULTS

    1. Co-inhabitants: agro- and forest-ecosystems

    Understanding that humans share habitats with a multitude of other living beings and geomorphic entities (such as rivers, mountains, rocks, or oceans) has ontological, epistemological, and ethical implications. Ontological, because human and other-than-human beings do not exist as isolated individuals, but rather in co-inhabitation interrelationships (May 2021). Epistemological, because to understand humans and other animals it is necessary to consider coevolutionary and co-inhabitation relationships that forge their identities and well-being (Esteban 2018, Rozzi 2019). Ethical, because humans share a habitat. Because humans possess reason and consciousness to a degree different from other animals, and today humans have an impact on the biosphere that is far greater than that of any other animal, humans are obligated to take care of it for the welfare of all beings (Andreozzi 2025). These core concepts of the biocultural ethic require humans to cultivate life habits that encompass a sense of co-inhabitation among the myriad living beings, most of which remain unnoticed by most people in global society (Rozzi 2019, Rozzi and Tauro 2023).

    The concept of co-inhabitant is consistent with the ecological worldviews of numerous Indigenous peoples, for whom there is often a sense of genealogical kinship (Salmón 2000, Turner and Bhattacharyya 2016, Turner and Reid 2022), as well as with scientific worldviews that have demonstrated an evolutionary kinship (Rozzi 1999). For example, science indicates that the set of biochemical reactions and metabolic processes that take place in the cells of both animal and plant organisms, which require oxygen to convert the energy of nutrients into molecules of adenosine triphosphate (ATP) is the same (Mazzarello 1999). Sharing cellular organelles, biochemical reactions, and metabolic processes demonstrates the genealogical kinship of co-inhabitants. In South American agro-ecosystems, we find that this contemporary science’s perspective resonates with Indigenous worldviews. For example, in Andean agro-ecosystems, the scientific comprehension of biochemical and metabolic processes is culturally expressed as “spirit.” All living creatures, domestic and wild, are perceived as having a “spirit” that must be respected (May 2017). For instance, an older woman from a Quechua community, who grows potatoes in the high Andes of Peru said, “You must respect (respetar) the potato really really well. If you treat her badly, she will give ... a smaller harvest ... You must care for potatoes with affection” (in Angé et al. 2018:34).

    Indigenous Andean farmers intuitively understand the biochemical and metabolic processes but express them culturally, not scientifically. In South America, on the Andean Plateau the diversity of co-inhabitants is present in ancient and contemporary agroecological practices (Scott 2011). Agrobiodiversity has coevolved as co-inhabitation between humans and other living beings. In fact, the Peruvian Andes are identified as one of the eight “centers of origin” of agriculture. Plant domestication in this center dates back at least 8000 years (NRC 1989). Here, women have traditionally been responsible for selecting, storing, planting, and harvesting the seeds and tubers of potatoes and other plants.

    As shown in the example of the Quechua woman who holds that the potato must be “respected,” Quechua women engage agricultural plants, such as potatoes, as living beings with whom they can communicate (Fig. 2). This communication goes both ways, because women hold that potatoes are able to perceive whether humans respect them. If respected, potatoes grow well; in contrast, if they are not respected, their growth process will come to an end. As the Quechua woman said, “If you treat her badly, she will give ... a smaller harvest.” In this sense, the subjectivity of the potato is linked to a particular type of intentionality (Angé et al. 2018). Potatoes are perceived as having “agency,” that is, the ability to respond and act. Potato reproduction requires a reciprocal circulation of respect, which is not just a normative stipulation.

    In Peru a Potato Park has been established where people gather to celebrate their local ancestral culture (Argumedo et al. 2021). In the everyday life of Quechua communities, respect is an affection that frames human interactions with plants and animals. Plants like potatoes and animals such as llamas are not “mere natural resources,” but co-inhabitants that participate in rituals, agricultural, and breeding practices (Mamani-Bernabé 2015, May 2015, Rozzi 2015). Relationships of co-inhabitation are widespread in the Andean Region even today.

    In Asia, Japan hosts an exemplary agricultural landscape known as satoyama, which includes forests, agricultural fields, grasslands, and irrigation systems (Shibata 2015). For example, satoyama farmers on Sado Island in western Japan engage in environmental farming through three interrelated practices: first, by reducing the use of agricultural chemicals and artificial fertilizers; second, by managing rice paddies in a way that provides suitable habitats for fish and insects (Johnson et al. 2023); and third, by re-introducing the Crested Ibis or “Toki bird” (Nipponia nippon), which is used as a flagship species (Fig. 3). “Flagship” refers to charismatic and culturally significant animals and other organisms that inspire the desire to protect them and other life forms as well (Zhu 2023). In the case of the satoyama farmers, the Toki bird, endemic to eastern Asia, inspires them to manage their rice paddies in co-inhabitation with birds (Johnson et al. 2023).

    In the Osaki region of northern Japan, satoyama landscapes are sustained by ancient practices of domestication, which are embedded in paddy rice agriculture. In this region, subject to drought, flooding, and cold temperatures, agricultural plants have coevolved in lowland swamps and wetlands (Imai et al. 2017). To secure food and to maintain their livelihoods under challenging environmental conditions, farmers have developed the Osaki Kôdo Sustainable Irrigation system, which focuses on the management of water and soil fertility. Agroecological practices carried out in these systems co-produce small forest gardens called igune. These forests surround houses situated amid the flooded landscape (Piras et al. 2022). The igune are home to a rich biodiversity, which promotes ecological health while also providing food and shelter for the farmers. Thus, igunes have instrumental value by providing a variety of ecosystem services. At the same time, by maintaining critical habitat for biodiversity, they express an appreciation for its intrinsic value. For centuries, the mosaics of paddies, gardens, and forests have sustained human communities and a high diversity of co-inhabitants.

    In Europe, distinct forest and agro-ecosystems have been generated by landraces (i.e., farmer-developed populations of cultivated species linked to traditional cultures), involving a complex intertwining of biological and cultural diversity that continuously creates new adaptive responses to changing socioeconomic and ecological processes (Negri 2005). Among these distinct ecosystems, one of the ancestral biocultural forest types is characterized by the presence of domesticated chestnuts (Conedera et al. 2004, 2016). The distribution and cultivation history of the sweet chestnut (Castanea sativa) is the consequence of coevolutionary processes between humans and trees, involving ethnolinguistic diversity and cultural-historical events (Pollegioni et al. 2020). This tree species has a long history of human utilization in agroforestry, and their nuts are highly prized as a culinary source rich in nutrients (Tagliaferri and Di Lonardo 2016). The trees also have ornamental value (Agnoletti et al. 2022). Forests of the sweet chestnut are native to southern Europe and Asia Minor, and thrive in cool, moist soils. This wide distribution is partly due to Castanea sativa experiencing a significant boost following the Roman conquest, especially in the mountainous areas south of the Alps (Krebs et al. 2022). Because sweet chestnut is so prominent among the many European forest tree species that have been managed and planted for fruit production since ancient Rome, some authors refer to the “chestnut civilization” (Rao 2013). Ecological and cultural components are closely intertwined in these forest ecosystems, called in several European languages castagnetu. These are dominated by trees that fall between the wild and the domesticated ones (Agnoletti and Santoro 2015). Castgnetu forests have had a historical resilience that has sustained ecological and human communities to this day (Michon 2011).

    (2) Habits: education to express the multiple values of co-inhabitants

    A variety of educational programs have been designed to promote values aligned with the principles of Earth Stewardship, including relationships of care, respect, reciprocity, and responsibility toward the Earth and its co-inhabitants (May 2015, Tucker 2015). These programs incorporate diverse educational methodologies rooted in various religious and philosophical traditions, including Indigenous people and local communities. Notable examples are the philosophies of buen vivir (living well) in South America, and ubuntu (I am because we are) in South Africa (Callicott 1994, May 2017, Albó 2018, Rozzi et al. 2018). These philosophies are deeply rooted in biocultural traditions and teach ways of living, habits, that are consistent with, yet also promote, sustainable and meaningful relationships among co-inhabitants.

    In South America, educational programs that promote habits centered on plural values and socio-environmental justice include grassroots movements, such as Landless Peasants (Sem Terra) in Brazil. This pedagogical approach focuses on territoriality, shaping individuals’ interactions with the land (Meek 2016). Sem Terra has institutionalized critical place-based education by establishing agroecological programs, which are funded through the Brazilian National Program of Agrarian Reform Education. Like educational approaches in other Indigenous people and local communities, Sem Terra emphasizes diversity and advocates for genuine intercultural dialogues. This converges with living well (buen vivir) principles of intercultural cooperation, reciprocity, collective action, and solidarity (MacIntyre et al. 2017, Fleuri and Fleuri 2017, Guerrero 2018, Mboyo 2019, Weber and Tascón 2020). The Sem Terra educational approach extends beyond formal schooling. It becomes an integral part of community everyday life, fostering close relationships with nature, guided by Indigenous and peasants’ worldviews and practices.

    In Japan, one of the main focuses of environmental education and restoration programs is to reestablish sustainable resource management in rural areas by learning from traditional practices and exploring new possibilities of wise use. The Japanese word saisei (often translated as restoration), refers to revitalization rather than bringing back an ecosystem to a former condition. This is illustrated by the restoration of the Kamoko Estuary on Sado Island (Fig. 4). This restoration program has used the “3Hs” model (Rozzi 2013) to restore a habitat (the estuary) that enables the restoration of life habits (recreational navigation, oyster fishing) and the return of diverse co-inhabitants, including diverse forms of human cultures (fishers and other citizens in Kamoko) and biological species (oysters, reeds, and other wetland plants; Toyoda 2018). This example gained global recognition through the Satoyama Initiative, promoted by the Ministry of the Environment of Japan and the United Nations University Institute of Advanced Studies, based in Tokyo. However, its revitalization includes not only the practice of satoyama (common-use forests), but also satoumi (common-use coastal resources) and satogawa (common-use rivers). The Japanese concept of sato refers to the close interrelationship between nature and culture, emphasizing the importance of shared management of natural resources. Hence, sato takes into consideration current environmental issues such as the conservation of biodiversity and the sustainable use of energy (Yanagi 2008, Centinkaya 2009, Berque and Matsuda 2013). In restoration projects, such as Kamoko, people learn about the current environmental problems as well as a broad set of ecological, educational, and aesthetic values of estuaries (Toyoda 2018).

    In Europe, an educational example that promotes habits based on biocultural conservation practices and Earth Stewardship includes the “forest schools” (Waite et al. 2016). These provide children with hands-on learning amid nature (Kothari 2021). Forest schools are increasingly popular in the United Kingdom where the intersection between formal and informal approaches to learning has highlighted the need for primary schools to consider learning outside of the classroom as an effective pedagogy (Cree and McCree 2013, Garden and Downes 2023). Activities outside the classroom include learning through play that enhances collaboration and teamwork, contributing to children’s social, cognitive, emotional, and physical skill development (Becker et al. 2018, Coates and Pimlott‐Wilson 2019).

    In northern Italy, the Village Forest School situated on a 500-year-old biodynamic farm in the vineyards of the Monferrato offers another example. Children from the age of 3.5 up to 14 follow a Rudolf Steiner-inspired curriculum that combines indoor and outdoor experiences in vineyards and woodlands. The curriculum is guided by the natural cycle of the annual seasons (Mazzino 2019). Understanding how the life cycles of co-inhabitants are coupled with the annual seasonality of their shared habitats helps students to value the necessity of synchronizing human activities with the life habits of plants, birds, and other organisms, particularly under the current conditions of rapid climate change (Rozzi et al. 2023a).

    Recently, formal and non-formal education programs converge in forms of outdoor recreation, nature tourism, and ecotourism that include magnificent remote nature scenery places as well as rural and urban settings (Tauro et al. 2021, Santiago-Jimenez 2023), where activities range from passive (e.g., sitting, relaxing, or enjoying a view) to active (e.g., biking, hiking, or skiing; Becker et al. 2018). On the one hand, through this type of outdoor activity, participants broaden their epistemological diversity, including experiential, presentational, propositional, and practical ways of knowing about the environmental and biological diversity (Nicol 2003). On the other hand, participants of multiple ages develop more affective relationships to their local biological and cultural diversity, enhance their environmental sensitivity, and broaden their spectrum of nature and social values (Palmberg and Kuru 2000, Kårhus 2011, Sjöblom and Wolff 2017).

    (3) Habitats: different types of protected areas

    Interactions among co-inhabitants, as well as the values and life habits shaped by education, take place in specific habitats. Conservation of habitats concentrate a large part of the global efforts to conserve biodiversity through different types of “Protected Areas” (PA; Kareiva and Marvier 2012, Gillingham et al. 2015). Worldwide there are 245,848 PAs covering 245 countries and territories according to the World Database on Protected Areas (WDPA; UNEP-WCMC and IUCN 2019). However, as the IPBES-VA affirms, conservation efforts are not (and cannot be) restricted to the creation of protected areas (Barton et al. 2022, Vatn et al. 2024). To incorporate the plurality of values existing in communities and their life habits, conservation actions also must take place in urban habitats (Goddard et al. 2010, McDonnell and Hahs 2013, Rotherham 2015, Nilon et al. 2017) as well as agricultural fields and other rural landscapes (Maestas et al. 2003, Harvey et al. 2008, Scherr and McNeely 2008, Kumaraswamy and Kunte 2013, Baiamonte et al. 2015, Borón et al. 2016, Kremen and Merenlender 2018).

    In the late 20th century, new conservation approaches and global programs recognized the interconnectedness of biodiversity, cultural heritage, and the values and practices of Indigenous and other local peoples to foster biocultural conservation and Earth Stewardship. Three of these global programs are widely distributed across the world.

    (i) Indigenous and Community Conserved Areas (ICCAs, https://www.iccaconsortium.org): Also known as “territories of life,” this initiative was launched at the 2003 International Union for Conservation of Nature (IUCN) World Parks Congress. They were defined as “natural and/or modified ecosystems containing significant biodiversity values and ecological services, voluntarily conserved by (sedentary and mobile) indigenous and local communities, through customary laws or other effective means” (Corrigan and Granziera 2010:4). ICCAs encompass a wide variety of Indigenous peoples and local communities with idiosyncratic conservation practices and values, among them utilitarian, spiritual, cultural, and aesthetic values of nature (Borrini-Feyerabend et al. 2014, Enkerlin-Hoeflich et al. 2015, Mackey and Claudie 2015). Indigenous leaders highlight the crucial role of language preservation in biocultural conservation (Frainer et al. 2020, Loncon 2023). Language guides attitudes toward nature, and numerous studies document how Indigenous peoples and their territories are indeed key to safeguarding biodiversity for future generations (Fernández-Llamazares et al. 2024).

    (ii) Globally Important Agricultural Heritage Systems (GIAHS, https://www.fao.org/giahs/en): This program was created in 2002 under the lead of the Food and Agriculture Organization of the United Nations (FAO) to protect agricultural landscapes of high heritage value (Santoro et al. 2020). GIAHS often are landscapes of outstanding aesthetic beauty and maintain a significant fraction of global agricultural biodiversity (Koohafkan and Altieri 2011). To become a GIAHS, a traditional agricultural system needs to meet five criteria, which include having: (a) food and livelihood security; (b) biodiversity and ecosystem function; (c) knowledge systems and adapted technologies; (d) culture, value systems, and social organizations; and (e) remarkable landscapes and land and water resources management features from FAO (Koohafkan and Cruz 2011). GIAHs result from unique land-use systems and generate agricultural landscapes through long-term coevolution and dynamic adaptation of rural communities and their environments (Song et al. 2021).

    (iii) Biosphere Reserves and the Man and the Biosphere Programme (MAB) of the United Nations Educational, Scientific and Cultural Organization (UNESCO): MAB was created in 1971, and it is implemented through a worldwide network of biosphere reserves, which are territories whose objective is to harmonize the conservation of biological and cultural diversity with economic and social development (Guevara and Laborde 2008, Bridgewater 2016). Biosphere reserves aim to foster harmonic relationships between people and nature, and provide logistical support for sustainable development, research, monitoring, education, and training (Van Cuong et al. 2017). Reconciliating social and economic development with biodiversity conservation requires complex spatial and governance arrangements (Ferreira et al. 2018, Lee 2021), through participatory dialogue, poverty reduction, cultural preservation, and a unique zoning approach (Araya and Clüsener-Godt 2007, Stocks et al. 2007, Gros and Frihz 2010, Karez et al. 2016). Each biosphere reserve consists of three zones with different functions and degrees of protection: (a) core zones focusing on strict protection and conservation of biodiversity; (b) adjacent buffer zones that allow for ecologically sound activities such as traditional practices of artisanal fishery, low impact ecotourism, environmental education and training; and (3) transition zones (around buffer zones) with least restrictions for sustainable ecosystem service use and socio-culturally sustainable economic and human activity (Price et al. 2010). Consequently, distinct levels of human-nature interactions can be expected in the different zones. Globally, as of March 2025, there are 748 biosphere reserves, spanning all continents and distributed in 134 countries (including 23 transboundary reserves; UNESCO 2025). Below, we examine representative cases from different continents.

    In Latin America there are 136 BRs (UNESCO 2025). In the far north of the region, biosphere reserves in Mexico have played a key role in creating synergies among the scientific community, public administration in protected areas, and civil society organizations. This model, which emphasizes multi-stakeholder participation, has been dubbed the “Mexican model of biosphere reserves” (Guevara Sada 2019). This model has had international influence because it shaped the policy guidelines of the Seville Strategy that seeks to foster sustainable regional development in biosphere reserves (Brenner and Job 2022). However, some Mexican biosphere reserves have suffered from deficient forms of local governance, triggering conflicts and generating paradoxes regarding the genuine participation of local populations (Legorreta-Diaz and Marquez-Rosano 2012, Brenner and Job 2022, Zalles 2022).

    In the extreme south of Latin America, in Chile the role of education has been enhanced to reconcile conservation objectives with participation and sustainable development (Moreira-Muñoz et al. 2019). In the world’s southernmost biosphere reserve, the Cape Horn Biosphere Reserve, education methodologies inspired by “field environmental philosophy” and biocultural conservation programs have enhanced the appreciation of Indigenous languages, of “less charismatic” biota (e.g., insects, mosses), and the development of new forms of scientific tourism, such as ecotourism with a hand-lens (Rozzi et al. 2008, Tauro et al. 2021, Contador et al. 2023, Schüttler et al. 2023).

    In Europe, an initiative among German biosphere reserves aims to achieve more precise identification of stakeholders who actually or potentially act as stewards (Winkler and Hauck 2019). In German biosphere reserves, stewards include local communities (e.g., local people, residents), producers (e.g., farmers), non-state organizations (e.g., community-based organizations, nongovernmental organizations), research institutions, governments, and the private sector (Schüttler et al. 2023). For example, the Berchtesgadener Land Biosphere Reserve, established in 1990 in the Bavarian Alps, features a transition zone that encompasses 15 small municipalities with approximately 100,000 inhabitants who derive their income from farming, tourism, small-scale agriculture, forestry, and salt mining. They have become active stewards who successfully market their regional farm products (Schüttler et al. 2023).

    In the Alps, biocultural landscapes have evolved through agroecological practices that maintain a high diversity of co-inhabitants. For example, in the Dolomiti in Italy, the regolieri have for centuries collectively owned and managed extensive forests and pastures called regoles. This ancient institution for managing common property resources was recognized legally by the Italian state as the managers of the Parco Naturale delle Dolomiti d’Ampezzo. In 2009 the park and regoles were designated a UNESCO Natural World Heritage site. The Italian government awards regolieri tax-free status and funding, supplemented by subsidies from the European Union and the government of the Venetian Region (Lorenzi and Borrini-Feyerabend 2009, Ghea 2011, Pieraccini 2013).

    In Asia and the Pacific, there are currently 228 Biosphere Reserves (UNESCO 2025), organized into four regional networks. This highly heterogeneous region, however, presents significant challenges for integrating conservation with sustainable development (Meijaard et al. 2010). Evaluation of community participation and the impact of socioeconomic development on biosphere reserves in the Asia-Pacific (Jaafar et al. 2023, Thao et al. 2023) reveals that participation in conservation projects can have contrasting socioeconomic impacts. For example, a mangrove rehabilitation project in Palawan, Dumlao (Philipines), led to increased family income for 73% of participants through financial support. However, 23% reported income losses due to the low monetary return of time spent on mangrove planting (Thao et al. 2023).

    DISCUSSION AND CONCLUDING REMARKS

    Our review article addresses a major colonial gap in modern Western ethics, which has omitted a broad array of values of nature hosted by diverse cultures in heterogeneous regions of the planet. Today, these cultures and their values can help shape sustainable life habits that are linked to specific habitats and their co-inhabitants. However, mainstream environmental ethics continues to focus only on Western philosophical schools of thought (e.g., Palmer 2013, Palmer et al. 2014, Rolston 2020). We offer a conceptual framework and empirical evidence that expands the scope of environmental ethics. Toward this aim, we have examined three core concepts of the biocultural ethic linked to three themes prioritized by the IPBES-VA. Below, we discuss each in light of evidence provided by the IBPBES-VA.

    (1) Diversity of co-inhabitants in agro- or forest-ecosystems: The IPBES-VA documents how in the Andes and the Himalaya, a significant diversity of food species and local landraces have been lost because of the expansion of a few high-value commercial crops, such as rice and wheat (Barton et al. 2022). At the same time, the IPBES-VA documents cases that are consistent with the examples we have presented for agro- and forest-ecosystems in South America, Japan, and Europe. The biologically and culturally diverse agro- and forest-ecosystems are alive today despite strong pressures against them such as land grabbing and monocultures that are subsidized by national and/or international market economies (Makki 2018), as well as powerful interests supported by legal rules such as property rights (Pascual et al. 2023). They illustrate the relevance of values and practices of Indigenous people and local communities, highlighting the importance of social movements that defend food sovereignty. An example included in the IPBES-VA is the “local initiatives of Chiapas [Mexico] communities of resistance against genetically modified organisms [that] allowed in situ conservation of local landraces, thanks to indigenous and scientific expertise” (Barton et al. 2022:283).

    Regarding the ethical implications of the former examples, the “3Hs” model helps us to interpret these social movements as expressing the central value that the diversity of co-inhabitants has as interacting agents. Domesticated plants and animals are not mere commodities with solely monetary value, as treated by prevailing market policies. Instead, they are subjects with interests and values of their own that sustain the integrity of biocultural communities.

    The concept of co-inhabitant gives agency to both human and other-than-human beings. This concept is consistent with worldviews and ecological practices prevalent in many biocultural communities that co-inhabit heterogeneous habitats in all biomes worldwide. It expresses that human beings do not exist isolated from nature, neither as individuals nor as societies, but that they coexist in webs of evolutionary, ecological, and cultural interactions with myriad living beings and other components of ecosystems. For example, in an article derived from the IPBES-VA, to illustrate a pluricentric perspective of a watershed feeding into an estuary, Pascual et al. (2023) used the term co-inhabitant in reference to fish. Considering broad values of nature, Pascual et al. (2023) ascribed different and complementary values to fish: instrumental (food for humans and regulators of ecosystem food webs), intrinsic (having a right to exist), and relational (having cultural, symbolic, and material relationships with humans). Among co-inhabiting species, ethnoecologists have noted that some have conspicuous relationships with humans and have identified them as “cultural keystone species.” These species have exceptional significance for a socio-cultural group because of their prevalence in language, ceremonies, diet, medicines, symbolic presence in traditional stories, and/or their use as seasonal or phenological indicators (Nabhan and Carr 1994, Cristancho and Vining 2004, Garibaldi and Turner 2004, Mobarak et al 2025). In this article, we have explained how species such as the potato in South America, the Toki ibis in Asia, or the sweet chestnut in Europe are co-inhabitants that establish key relationships with human communities. Because these relationships are embedded in both biological and cultural dimensions, for these salient co-inhabitants we prefer to use the term “biocultural keystone species” (Ibarra et al. 2012). A final remark on the concept of co-inhabitants is that it has not only descriptive but also normative power. By respecting their instrumental, intrinsic, and relational values, humans are compelled to care for co-inhabitants with whom they share habitats. To put this ethical imperative into action, biocultural keystone species can serve as “flagship species” that inspire conservation initiatives.

    (2) Life-habits and education for Earth Stewardship: The IPBES-VA research found multiple educational principles, methods, and concepts for teaching sustainability (Kelemen et al. 2022). Sustainability sciences have been enriched by paying attention to pedagogical processes that enable the transition from individual learning to community learning to enhance social and nature experiences (Kelemen et al. 2022). A key conclusion from Chapter 2 in the IPBES-VA is that environmental education, practiced from different perspectives, is crucial for incorporating values that connect children with local habitats, promoting environmental literacy, and fostering positive attitudes toward nature (Anderson et al. 2022). Toward this aim, intercultural and multilingual education is especially relevant to biocultural conservation by “preserving knowledge about nature (i.e., ecoliteracy) and the languages that transmit such knowledge” (Anderson et al. 2022:42). For example, Mexico has had intercultural universities for over 20 years, including local communities in higher education (Schmelkes 2009, Dietz 2012). In the United States, numerous multicultural initiatives integrate minority groups and Indigenous peoples in environmental studies, such as the “intellectual diversity” program at the College of Environmental Science and Forestry, State University of New York (SUNY) in Syracuse (Kimmerer 1998, Kimmerer 2012). Furthermore, there are various Native American-based universities (Reyhner 2010), such as Diné College among the Diné (or Navajo) in Arizona, which, since its birth in 1968, has centered the curriculum on Diné language, history, and philosophy (Johnson 2008).

    The Diné traditional living system places human life in harmony with the natural world and the universe (Kahn-John and Koithan 2015, Two Bears 2022). This worldview involves respect for society and nature, and is expressed by the Diné term k’é, which refers to “the concept of family, compassion, cooperation, love, kinship, clanship, friendliness, kindness, unselfishness, peacefulness, thoughtfulness, and all positive virtues that constitute intense, diffuse, and enduring solidarity through respectful relations with nature and others” (Lee 2016:99). This insight from the Diné language and culture supports the statement that the transition toward sustainability requires transformations based on different Western as well as Indigenous worldviews (Kelemen et al. 2022). Socio-culturally contextualized education is necessary to counterbalance the standard, formal education that promotes cultural globalization (Rozzi et al. 2023b).

    Human life habits that guide the care for co-inhabitants and shared habitats can be taught through Earth Stewardship educational concepts and practices. Many of these exist in the cultural traditions of numerous Indigenous peoples and other local communities. However, we documented how they are also present in global society through innovative outdoor practices that catalyze face-to-face intercultural and interspecies encounters, stimulating empathy with co-inhabitants and fostering Earth Stewardship behaviors that promote biocultural conservation. These practices can counterbalance the current prevalence of formal and non-formal education mediated by technology and social networks, which isolate children from biocultural diversity (Soga and Gaston 2016, Silverman and Corneau 2017, Edwards and Larson 2020, Poole 2023, Murciano-Hueso et al. 2024).

    (3) Habitats within and beyond Protected Areas (PA): The IPBES-VA demonstrates that PAs are policy instruments that support transformative changes toward sustainable and just futures by representing diverse values at local, national, and global scales (Barton et al. 2022, IPBES 2022). The IPBES-VA found that the goal of the Global 2030 Agenda to increase the number and the total area covered by terrestrial and marine protected areas has made great progress. However, the IPBES-VA notes the limitations associated with the fact that protected areas often fall within the mandate and resources of a single institution, the Ministry of the Environment (or its national equivalent; Barton et al. 2022). Additionally, often PAs, including biosphere reserves such as Yasuni-ITT in Ecuador and Nanda Devi in India, have failed to protect critical biodiversity hotspots (Bosak 2008, Rawal and Rawat 2012, Espinosa 2013, Pellegrini et al. 2014, Barton et al. 2022).

    Despite limitations of PAs, care for the habitats and the biocultural diversity hosted by them is an indispensable step for achieving Earth Stewardship and biocultural conservation. In PAs that include human communities, such as GIAHs, ICCAs, and biosphere reserves, stewards play important roles as custodians of biological and cultural diversity. For these reasons, the IPBES-VA underscores that Earth Stewardship contributes to view PAs, socio-environmental justice, and sustainability as interdependent (IPBES 2022).

    To stimulate life habits of responsible co-inhabitation, the emotional and rational understanding that human beings share habitats with myriad other beings requires overcoming the erroneous dualistic conception between “protected areas” and “unprotected areas.” The IPBES-VA has documented that this dualism is dissolved in conservation initiatives such as ICCAs and BRs, which integrate human beings and nature. Using the 3Hs biocultural framework, we have stressed the importance of overcoming the dichotomy between “protected” and “unprotected” areas by adopting habits of stewardship across urban-rural landscapes that harmonize different multiple-use needs with biocultural conservation. Palomo et al. (2016) have identified a multiplicity of components that interact to deliver ecosystem services, which are built into relations of co-production. The “3Hs” biocultural framework and the co-production focus on agricultural landscapes converge on essential aspects. Both approaches identify negative impacts resulting from transforming diverse biocultural landscapes into monocultures, which are subject to the intensive use of chemicals (for agriculture or silviculture) that degrade multiple ecosystem services, as well as the well-being of co-inhabitants (Palomo et al. 2016, Rozzi 2018, Balvanera et al. 2022). This offers an additional way to avoid the dissociation of protected and non-protected areas by understanding and valuing ecosystem services through their co-production.

    In summary, using the “3Hs” model we identified a diversity of communities that have cultural traditions hosting multiple ethical values of nature and sustainable forms of co-inhabitation. We provided empirical evidence about the great diversity of nature’s values present in different communities and world regions. These values do not exist as platonic abstractions but rather are materially embedded in the life habits of communities that have coevolved in specific habitats. However, today, the mosaic of local values and associated sustainable practices is often overshadowed by global values and policies. If this trend persists, losses of biocultural diversity will continue, and several planetary boundaries, including climate change, biogeochemical flows, and biodiversity, will be gravely transgressed by 2050 (van Vuuren et al. 2025).

    A transformation of global educational, economic, and policy systems could be rooted in better valuing the biocultural mosaic that fosters biodiversity conservation (Alejo et al. 2025) as well as the well-being and continuity of sustainable regional cultures (Watson et al. 2018, Hanspach et al. 2020, Jacobs et al. 2020). A biocultural transformation could lay the foundation for a heterogeneous global metaculture with sustainable modes of co-inhabitation (Rozzi and Massardo 2011).

    Beyond the heuristic function of identifying diverse types of communities, the “3Hs” model provides an ethical orientation for incorporating the conservation of biological and cultural diversity into Earth Stewardship practices. It contributes to implementing Earth Stewardship initiatives and other IPBES-VA recommendations, such as expanding the range of nature values considered in decision-making, as well as in the design and implementation of socio-environmental policies. In this way, the “3Hs” model of biocultural ethics has multiple-scale implications for decision making. Although it is rooted in local realities, it can acquire global power to transition toward more just and sustainable futures, such as those envisioned by IPBES-VA.

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    AUTHOR CONTRIBUTIONS

    Both co-authors contributed to all steps in the preparation of this article.

    ACKNOWLEDGMENTS

    We thank all colleagues at IPBES Values Assessments with whom we had rich exchanges of ideas during the last five years. We appreciate content discussions and language revisions by Roy May Jr. Support provided by the grant for Technological Centers of Excellence with Basal Financing of the National Agency for Research and Development granted to the Cape Horn International Center (CHIC - ANID/BASAL FB210018) was essential.

    Use of Artificial Intelligence (AI) and AI-assisted Tools

    We used AI-assisted technology for formatting of the reference list only.

    DATA AVAILABILITY

    Data/code sharing is not applicable to this article because no data and code were analyzed in this study.

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    Corresponding author:
    Ricardo Rozzi
    Ricardo.Rozzi@unt.edu
    Appendix 1
    Fig. 1
    Fig. 1. The biocultural ethic’s “3Hs” model (from <em>co-Habitantes, Hábitos, Habitantes</em> in Spanish; respectively, co-inhabitants, habits, habitats in English) interlinked with three key topics of the Values Assessment (VA) of the Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (IPBES): (i) agroecology, diversity of co-inhabitants that play key roles in agro- or forest-ecosystems; (ii) education, for life-habits that foster Earth Stewardship; and (iii) protected areas, as habitats that are cared for in remote, rural, and/or urban ecosystems. Analyses and results are organized following this scheme.

    Fig. 1. The biocultural ethic’s “3Hs” model (from co-Habitantes, Hábitos, Habitantes in Spanish; respectively, co-inhabitants, habits, habitats in English) interlinked with three key topics of the Values Assessment (VA) of the Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (IPBES): (i) agroecology, diversity of co-inhabitants that play key roles in agro- or forest-ecosystems; (ii) education, for life-habits that foster Earth Stewardship; and (iii) protected areas, as habitats that are cared for in remote, rural, and/or urban ecosystems. Analyses and results are organized following this scheme.

    Fig. 1
    Fig. 2
    Fig. 2. Woman in a potato field offering coca leaves and smoke in the Aymara territories of Bolivia. Photo courtesy Roy May.

    Fig. 2. Woman in a potato field offering coca leaves and smoke in the Aymara territories of Bolivia. Photo courtesy Roy May.

    Fig. 2
    Fig. 3
    Fig. 3. Above: the Toki (<em>Nipponia nippon</em>, the Crested Ibis) is the flagship species for the conservation of rice paddies. Below: rice paddies in a <em>satoyama</em> landscape on Sado Island, Japan. Photographs courtesy of Mitsuyo Toyoda.

    Fig. 3. Above: the Toki (Nipponia nippon, the Crested Ibis) is the flagship species for the conservation of rice paddies. Below: rice paddies in a satoyama landscape on Sado Island, Japan. Photographs courtesy of Mitsuyo Toyoda.

    Fig. 3
    Fig. 4
    Fig. 4. Above: restoration activities of the Kamoko Estuary on Sado Island, where reeds are harvested every year in cooperation with residents. Below: the project of making reed boats enhanced the participation of elders and children in the biocultural restoration project. Photographs courtesy of Mitsuyo Toyoda.

    Fig. 4. Above: restoration activities of the Kamoko Estuary on Sado Island, where reeds are harvested every year in cooperation with residents. Below: the project of making reed boats enhanced the participation of elders and children in the biocultural restoration project. Photographs courtesy of Mitsuyo Toyoda.

    Fig. 4
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    Home > VOLUME 30 > ISSUE 3 > Article 34 Research

    Remittance income weakens participation in community-based natural resource management

    Benedum, M. E., N. J. Cook, and S. Vallury. 2025. Remittance income weakens participation in community-based natural resource management. Ecology and Society 30(3):34. https://doi.org/10.5751/ES-16436-300334
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    • Michelle E. BenedumORCID, Michelle E. Benedum
      Institute of Behavioral Science, University of Colorado at Boulder, USA
    • Nathan J. CookORCIDcontact author, Nathan J. Cook
      Paul H. O'Neill School of Public and Environmental Affairs, Indiana University Indianapolis, USA
    • Sechindra ValluryORCIDSechindra Vallury
      Odum School of Ecology, University of Georgia, USA

    The following is the established format for referencing this article:

    Benedum, M. E., N. J. Cook, and S. Vallury. 2025. Remittance income weakens participation in community-based natural resource management. Ecology and Society 30(3):34.

    https://doi.org/10.5751/ES-16436-300334

  • Introduction
  • Research Context
  • Literature Review
  • Methods
  • Results
  • Discussion
  • Conclusion
  • Acknowledgments
  • Data Availability
  • Literature Cited
  • community-based natural resource management; forestry; migration; Nepal; participation; remittances
    Remittance income weakens participation in community-based natural resource management
    Copyright © by the author(s). Published here under license by The Resilience Alliance. This article is under a Creative Commons Attribution 4.0 International License. You may share and adapt the work provided the original author and source are credited, you indicate whether any changes were made, and you include a link to the license. ES-2025-16436.pdf
    Research

    ABSTRACT

    While many Global South contexts rely on community-based natural resource management, out-migration has the potential to change rural peoples’ incentives to participate in such management. We argue that remittance income from out-migration reduces dependence on natural resource commons, which may in turn weaken the voluntary participation upon which community-based natural resource management initiatives depend. We studied this relationship empirically in Nepal, a country with a largely community-based model for the governance of its forests. In analyzing nationwide survey data that spanned nearly one decade, we fit a household-level fixed-effects regression model, which showed that households that received more remittance income were less likely to rely on commonly held forests compared to households in the same village that received less remittance income. Using a similar estimation approach and more detailed survey data from the districts of Mustang and Gorkha, we also showed that larger remittance incomes predicted less participation in forest governance and management activities. These results suggest that the remittances associated with out-migration from rural areas can weaken incentives for local participation in natural resource management among the people left behind. If remittance income has these effects, policymakers may need to reconsider how to sustain community-based resource management in countries or regions that are experiencing widespread rural out-migration. Future research is needed to establish causality, validate the results cross-nationally, and explore new policy innovations that could support resource governance in contexts where many resource users receive remittances.

    INTRODUCTION

    The economic and environmental importance of common-pool resources in many Global South countries has motivated governments to adopt community-based natural resource management (CBNRM) programs, wherein rural people manage collectively owned natural resources through participatory processes (Cook et al. 2023, Cook 2024). These programs are designed to protect fragile environments, conserve ecosystem services, and support rural development. However, rural livelihoods remain highly vulnerable to environmental uncertainty and resource scarcity (Steffen et al. 2018), thus prompting many households to rely on out-migration as a livelihood adaptation strategy.

    CBNRM relies on voluntary participation, which makes it essential to understand the factors that influence engagement in these programs (Cook 2024). For example, in Nepal’s community forestry program, rural villagers engage in afforestation, forest monitoring, and rule enforcement to sustain local forests (Cook et al. 2023). Studies have highlighted the success of such initiatives in improving conservation outcomes (Oldekop et al. 2019), but those initiatives also play a crucial role in rural development. More than one billion people globally live in or near forests, and many depend on forest resources for daily subsistence and income (Newton et al. 2020). Community forestry can further benefit rural economies by generating revenue through the sale of forest products, which finances local public goods such as schools, roads, and other important infrastructure (Pokharel et al. 2007, Dongol et al. 2009, Ojha et al. 2009, Cook 2024).

    The degree to which households participate in CBNRM is shaped by economic incentives and livelihood strategies. In Nepal, participation in community forestry often involves membership in one of the approximately 22,000 community forest user groups, which collectively manage 35% of the country’s forests (Gentle et al. 2020, Cook et al. 2023, Cook 2024). Beyond membership, participation can entail taking on leadership roles, engaging in forest management activities, or having a voice in the decision-making processes (Molinas 1998, Agarwal 2001, 2016, Cook 2024). Many rural households depend on forests for firewood, fodder, and non-timber forest products (Angelsen et al. 2014, Cook 2024), which creates strong incentives for engagement in local governance. However, as households gain access to alternative income sources, such as remittances from migrating family members, those incentives may shift, raising concerns about declining participation in CBNRM.

    Out-migration has become increasingly common in rural areas, leading many households to transition away from subsistence-based economies toward remittance-dependent livelihoods. As rural households increasingly rely on remittances, global financial flows reflect this shift. In 2018, low- and middle-income countries received 529 billion U.S. dollars in remittances, a nearly 10% increase from the previous year (World Bank Group 2018). In some regions, migration has reduced reliance on local agriculture and common-pool resources because remittances provide an alternative source of income (Marquardt et al. 2016).

    Despite increasing attention to migration’s role in rural economies, little is known about how remittance income affects participation in community-based resource management. While research has linked out-migration to labor shortages that reduce participation in collective resource management (e.g., Bista et al. 2023), an alternative hypothesis suggests that remittance income may weaken household members’ incentives to engage in CBNRM institutions by reducing reliance on common-pool resources for both subsistence and small-scale commercial activities (Robson and Nayak 2010, Shrestha and Fisher 2017, Poudyal et al. 2023). However, few studies have systematically tested the effect of remittance income on participation in CBNRM across different localities, or estimated the magnitude of the relationship.

    We address this gap by using nationwide survey data from Nepal to examine the relationship between remittance income and two household outcomes: community forest use and participation in community forestry. We define out-migration as the relocation of one or more household members outside the village while the rest of the household remains in place, rather than full-household migration. This distinction is important in our study context, where partial household migration is the dominant pattern and it aligns with our theoretical framework, which emphasizes the role of remittance income in reshaping economic incentives for participation in CBNRM.

    By leveraging nationwide panel survey data that spanned nearly a decade, we systematically evaluate how remittance income influences household engagement in community forestry, and distinguish this effect from related factors such as labor shortages due to migration. While recent research has linked out-migration to labor shortages that reduce participation in collective resource management (e.g., Bista et al. 2023), an alternative possibility is that remittance income plays a more decisive role in reducing the use of community resources and participation in community resource management. Thus, we empirically test which mechanism has a stronger influence on participation in Nepal’s community forestry program. This distinction is crucial for policy design because it suggests that governments that are seeking to sustain participation in CBNRM models in high-migration environments may need to develop financial incentives or institutional adjustments that reflect evolving economic realities.

    A growing body of qualitative and case study research suggests that multiple factors, including remittance income, labor shortages, shifts in agrarian economies, and preferences for traditional resource management over government-led programs, may contribute to declining participation in community-based management (Poudel 2019, Poudyal et al. 2023). However, few studies have systematically examined the specific role of remittance income in shaping participation in CBNRM at a national scale or have sought to disentangle its effects from other migration-related factors. Our study fills that gap by providing empirical evidence on the relationship between remittances and participation in community forestry, and contributing to broader debates on migration, rural livelihoods, and common-pool resource governance.

    A theoretical model of the effects of out-migration and remittances on participation in community-based natural resource management, tested on empirical data from community forest systems, is important for policymaking and practice in the forestry sector. Since community engagement is fundamental to the sustainability of these governance models, socioeconomic changes that weaken participation in CBNRM programs may threaten their long-term viability. If remittance income reduces household members’ incentives to engage in collective governance, CBNRM institutions may face declining participation, which will require policymakers to consider adaptive strategies that sustain engagement amid economic and demographic shifts. Our study contributes to these discussions by testing a theoretical model of how out-migration and remittances affect participation in community-based resource management, using empirical data from Nepal’s community forestry system. Strengthening institutional support for rural communities that are experiencing these transitions will be essential to ensuring the resilience of community-based governance models.

    RESEARCH CONTEXT

    We use community forestry in Nepal as a test case through which to explore the relationships between remittance income, community forest use, and community forestry participation. In Nepal, the community forestry initiative has been implemented under the Forest Act of 1993 (Kanel and Kandel 2004). The Forest Act ordered the Department of Forests to establish community forest user groups in forested rural communities, starting in the 1990s (Ministry of Forests and Soil Conservation 2013, Cook et al. 2023, Cook 2024, Cook et al. 2025). As of 2020, there were more than 22,000 community forest user groups across Nepal (Gentle et al. 2020). These groups managed approximately 35% of Nepal’s forest resources, through the participation of approximately 3 million member-households (Gentle et al. 2020). Community forest user groups exist across the three ecological regions in Nepal—the northernmost Mountain Region of the Himalaya, the southern Terai Region that borders India, and the Middle Hill Region (Cook et al. 2023, Cook 2024).

    Previous research has described how community forestry is governed (Ojha et al. 2009, Cook et al. 2023, Cook 2024, Cook et al. 2025). Once a community forest user group is established, collective property rights over a plot of forested land are formally granted to the group. The community forest user group is charged with governing the communal use of forest products—mainly firewood, fodder, and other non-timber forest products—by its respective member-households. Since community forest user groups are largely self-governed, they are tasked with writing their own rules, establishing rationing systems and collecting royalties on allowable forest products, and engaging in monitoring, forest maintenance activities, and enforcement (Ojha et al. 2009,Cook et al. 2023, Cook 2024).

    As in many low- and middle-income countries, rural livelihoods in Nepal depend on natural resources, but they also depend on remittances from out-migration. In 2020, the country received 7.4 billion U.S. dollars in remittances, accounting for 23% of its GDP (World Bank Group 2020). Nearly 50% of households in Nepal have at least one member working abroad (International Organization for Migration 2019). Nepal is an ideal test case for understanding the relationship between migration, remittance income, and participation in community-based natural resource management. Not only is the community forestry program mature, large, and well-institutionalized, but widespread rural out-migration during our study period—coupled with the fact that forest dependence has historically been high in rural Nepal—makes the country a most likely case for detecting these relationships. Furthermore, recent scholarship argues that community forestry participation is likely declining in some parts of Nepal, and qualitative evidence suggests that this decline might be driven by out-migration and reduced reliance on forests, among other factors (Poudel 2019, Poudyal et al. 2023). Thus, we use nationwide survey data and econometric methods to examine the role that remittance income may be playing in this changing context.

    Our empirical analysis focuses on the study period of 2003–2012, due in part to the availability of large survey datasets from that period (see Methods). However, because our goal was to use Nepal as an empirical test case for exploring the general, theorized relationship between remittance income and community forestry engagement (established in Literature Review), this time period is particularly appropriate because there was a dramatic influx of remittance income as a percentage of GDP (World Bank Group 2025). Much of this was driven by out-migration from the types of rural communities that use community forest management models (Giri and Darnhofer 2010). Thus, although our data are from 2003–2012, we argue that Nepal during this study period provides a test case through which we may understand social processes that likely weaken participation in CBNRM in settings beyond Nepal that experience similar social and economic dynamics.

    LITERATURE REVIEW

    We explore the dynamics of rural out-migration and its implications through two key lenses. First, we review the current literature on “push” and “pull” factors in rural out-migration. This review spans the field of development studies, including development economics, to provide a comprehensive understanding of how scholars have studied the factors driving rural out-migration in the Global South context. Second, we review the relationship between rural out-migration and collective action in the context of common-pool resource management. This examination draws extensively on scholarship from the fields of common-pool resource governance and collective action, and offers insights into how rural out-migration influences and interacts with collective efforts to manage shared resources.

    Push and pull factors in rural out-migration

    Theory on rural out-migration has established that the motives for livelihood diversification through out-migration vary significantly across socioeconomic groups (Lambin et al. 2001, Zimmerer 2010). There is an important distinction between out-migration undertaken to manage risks and cope with environmental stressors on natural resources, characterized primarily by “push” factors, and out-migration undertaken for wealth accumulation, hence driven by “pull” factors (Reardon et al. 2007). The literature examined these push and pull factors by focusing on patterns of household adaptation through income diversification strategies in the Global South (García-Barrios et al. 2009, Hoffmann et al. 2019, Leblond 2019). While out-migration driven by push factors is usually associated with households’ adaptation to poverty and consumption and risk smoothing (de Janvry et al. 1991, Dressler et al. 2016), out-migration driven by pull factors is usually positively associated with an upward spiral of household wealth (Barrett et al. 2001a, Gray 2009).

    Rural households are pushed to out-migrate to cope with environmental risks, especially where missing insurance and credit markets often lead households to pursue different coping strategies against uncertainty in resource availability (Barrett et al. 2001b). Empirical evidence confirms that a key factor that pushes households to migrate and seek nonfarm livelihoods is a decline in seasonal income from farm-related activities (Abdulai and Delgado 1999). Therefore, remittances from seasonal out-migration allow these households to smooth their income inter-seasonally (Von Braun et al. 1990, Reardon et al. 2007). This type of out-migration is in fact not a means of coping with a shock, but is a planned, ex-ante adaptation to a long-term seasonal variation in resource availability and income. A second push factor for out-migration is a transitory decline in income due to an unexpected stressor (e.g., drought) that forces households to out-migrate as an ex-post adaptation strategy (Choithani et al. 2021). Out-migration is particularly prominent in rural communities where resource-based livelihoods constitute the dominant economic activity. This is because households depend more on remittances that are not subject to environmental risks that are covariant with those of the local agricultural economy (Poapongsakorn et al. 1998, Barrett and Swallow 2006).

    On the other hand, households in resource-rich areas are more likely to out-migrate to pursue attractive income diversification opportunities. For example, in the wetter and more stable agricultural zones of West Africa, households are more likely to out-migrate and diversify into nonfarm activities (Reardon et al. 1992, Haggblade et al. 2010). Indeed, empirical evidence shows that high-income households in buoyant rural economies are more likely to diversify into non-resource-based livelihoods (e.g., food processing and preparation, farm equipment repair, manufacturing) that have high returns because they have the necessary financial capital and skilled labor to pursue these profitable activities (Haggblade et al. 2010, Loison 2016). In such instances, there is evidence of a Markovian process whereby households invest remittances from out-migration into activities that enhance their resource productivity and/or human capital, such as technology upgradation, cash cropping, education, and further rounds of out-migration and income diversification (Estudillo and Otsuka 1999, Mohapatra et al. 2006, Robson and Berkes 2011, Hajjar et al. 2021).

    Linking rural out-migration and collective action

    Debates about how out-migration impacts collective management of natural resources have never been definitively settled, in part because there are multiple forms of migration in different resource contexts and participant groups (Connell and Conway 2000, Choithani 2017, Bhattarai 2020). We identify four key mechanisms through which out-migration may shape collective action in common-pool resource governance:

    • Labor constraints: Increased out-migration reduces labor availability for managing shared resources, which increases the costs of collective action (Cárdenas et al. 2017, Shin et al. 2022).
    • Resource dependence: Households that receive remittances may become less reliant on common-pool resources, which lowers their incentive to participate in community-based management (Wang et al. 2016).
    • Opportunity costs: Increased access to external incomes raises the opportunity costs of engaging in collective management, thus making participation less attractive (Rudel 2011, Sapkota et al. 2020).
    • Compensatory participation: In some cases, remaining household members (e.g., women) may step into leadership roles and contribute more to collective action efforts (Hecht et al. 2015, Leder et al. 2024).
    These mechanisms highlight the ambiguous relationship between out-migration and collective action, with some pathways reducing participation while others may sustain or even increase engagement. Furthermore, participation in collective action may have feedback effects on migration decisions: communities with well-functioning collective institutions may provide local economic opportunities that reduce the need for out-migration, while declining participation in resource management may degrade natural resources and further incentivize migration.

    To clarify these relationships, we present a conceptual figure on these mechanisms and feedback loops (Fig. 1). This figure provides a structured framework for interpreting how out-migration influences participation in CBNRM and how these relationships may reinforce or weaken each other over time.

    Participation in CBNRM is shaped in part by cost-benefit trade-offs. Households weigh the excludable benefits of participation, such as access to forest products and financial capital, against the costs, including time spent in meetings, resource maintenance, and opportunity costs (Ministry of Forests and Soil Conservation 2013, Bluffstone et al. 2020, Cook 2024). Remittances influence these trade-offs by reducing dependence on community-managed resources and making alternative income sources more viable (Shrestha and Fisher 2017, Fox 2018). Consequently, households that receive remittances may opt out of participating in CBNRM, thus increasing the marginal cost of management for poorer households that are reliant on those resources (Angelsen et al. 2014, Nguyen et al. 2015, Cook 2024).

    While the research identifies four key mechanisms through which out-migration may shape collective action, we focus on how remittance income influences two of them: household use of community forests, and participation in CBNRM activities. These theoretical propositions lead to the following two hypotheses:

    H1: Households that receive more remittances will be less likely to use collectively managed natural resources.

    H2: Households that receive more remittances will participate less in community-based natural resource management.

    METHODS

    To test our hypotheses, we used data from two sources: the Nepal Living Standards Survey (NLSS) and the Poverty Environment Network (PEN) survey initiative. The NLSS is a national-level, multi-topic household survey, collected during three periods: NLSS-I (1995–1996), NLSS-II (2003–2004), and NLSS-III (2010–2011) (Central Bureau of Statistics 1996, 2005, 2011a). The PEN initiative is a global comparative survey of households in 334 communities across 24 Global South countries (PEN 2016a). We used PEN data collected in Nepal, which provides socioeconomic, institutional, and environmental data at the household level from sampled locations in Mustang District and Gorkha District. We tested H1 by using data from the NLSS to fit a household-level model that predicted the collection of forest products from a local community forest as a function of the amount of remittance income received by the household, and we tested H2 by using the PEN data to fit a household-level model that predicted time allocation to community forest user group activities as a function of the amount of remittance income received. While previous analyses modeled forestry outcomes as a function of changes in migration at the aggregate level (Oldekop et al. 2018), our household-level analysis allowed us to measure household-level decisions, and to draw inferences about micro-level processes that link migration to community forest use and participation.

    Testing the relationship between remittances and community forest use

    The model used to test H1 was fit on an analytic sample of 3661 households in 338 rural communities, drawn from two distinct cross-sections from the 2003–2004 and 2010–2011 periods of the NLSS. Equation 1 represents this regression model:

    Equation 1 (1)

    The dependent variable (community forest use) is a dichotomous measure of whether the household reported collecting firewood or fodder from a community forest in the past 12 months, since these are two of the key products available to participants in community forestry (Agarwal 2010, Ministry of Forests and Soil Conservation 2013). Here, clogit represents the standard conditional fixed effects logistic regression model described in Chamberlain (1980), and π represents a vector of community-level conditional fixed effects. To measure remittance income, we used a variable (remittances) that represented the amount of remittance income the household received during the past year based on the household’s self-reported data. We converted these amounts to U.S. dollars using exchange rates from the year of each survey period (Central Intelligence Agency 2022) and converted them to their dollar equivalents in January 2022 (U.S. Bureau of Labor Statistics 2022). To facilitate interpretation, we rescaled this variable to be represented in hundreds of dollars. This variable includes both domestic and international remittances. While it is true that international migration tends to yield larger amounts of remittance income than does domestic migration in our study context, our theoretical model suggested that receiving a given amount of remittance income will shift the perceived costs and benefits of participating in community forestry similarly, regardless of whether the source is international or domestic. Thus, we used absolute amounts of remittance income from all sources as our independent variable of interest.

    We controlled for several household-level covariates. First, we controlled for whether the household belonged to the ethnic or caste group that was most numerous in the community (ethnic majority). Because ethnicity is assigned at birth, this variable is exogenous to migration and the receipt of remittances. Previous studies have found ethnicity and caste to be highly related to community forestry participation rates and the distribution of benefits from community forestry, which makes this an important covariate to control for (Agarwal 2016, Cook 2024). We also included a dichotomous educational attainment variable (education) that measured whether the oldest living male household member received any formal schooling. We added this control because educational attainment is a widely recognized proxy for a household’s economic background and has significant implications for economic behavior and decision-making processes (Duflo 2001). Additionally, we controlled for household size (measured as the number of individuals living in the household). Controlling for household size is important because it affects the distribution of resources within the household and the overall economic burden. Larger households might have different consumption needs and income-generating capacities compared to smaller ones (Lanjouw and Ravallion 1995).

    Finally, we controlled for three additional income sources: respondent households’ net income from crop sales (crop income), the sale of animal products (animal income), and enterprises owned by household members (enterprise income). We measured these three covariates in the NLSS data using households’ reported gross income from each activity type during the year preceding the survey, minus their reported expenditures for inputs related to each activity type during the same period. Like the remittance income variable, we converted these values to January 2022 U.S. dollars and scaled them so they were expressed in hundreds of dollars. Including these income sources allowed us to account for variations in household economic activities and their impact on overall income, thereby addressing potential biases from unobserved heterogeneity (Morduch 1995, Dercon 2002). While our list of controls did not capture every possible household characteristic, they were chosen based on their relevance to our research questions and their empirical support in existing literature. Our approach balanced the need for parsimony in model specification with the inclusion of key variables that were critical for our analysis.

    We calculated nonparametric bootstrap-clustered standard errors using the cluster resampling method recommended by Cameron et al. (2008) to correct the confidence intervals and P values reported for our logistic regression model. In line with this method, communities were resampled with replacement, coefficient estimates were calculated for each replication, and standard errors were calculated from the resultant distribution using the procedure provided in Cameron et al. (2008:416).

    This modeling approach predicted the relative odds of a household’s community forest use as a function of the amount of remittance income received by that household, while holding the household-level control variables constant. Additionally, community fixed effects held community characteristics constant in the model. Because our analytic sample from the NLSS was from two distinct, cross-sectional samples of communities across the two periods included in our study, the community fixed effects were equivalent to community–year fixed effects, and therefore also controlled for potential confounding differences between the two time periods that may have influenced the estimates. This analysis of the NLSS microdata thus allowed us to estimate the relationship between remittance income and community forest use at the level of the individual household while controlling for household characteristics, community fixed effects, and time effects. However, because remittance income was not assigned at random to households, there is still the possibility of omitted household-level variables that may have biased the estimated relationship between remittance income and community forest use. We therefore cannot assume that the causal effect of remittance income on community forest use was necessarily identified in our model, and we treat our analysis as correlational. In Appendix 1, we replicated the results while controlling for additional household characteristics.

    Testing the relationship between remittances and participation

    To explore the relationship between remittance income and participation in community forest user groups, we used the Nepal subsample of the PEN data. Our analytic sample consisted of 453 households across five communities in Mustang District and two communities in Gorkha District, surveyed in 2005–2008. While the PEN survey protocol involved interviewing households at multiple different time points, each household was asked about community forest user group participation during only one of those interviews. Our sample is therefore cross-sectional. In the villages surveyed, households in Mustang were asked about their participation in 2005. In Gorkha, households were asked about their participation in 2008.

    To estimate the association between remittances and participation in community forestry, we used a zero-inflated negative binomial regression model. It was estimated in two stages, represented by Equation 2 and Equation 3:

    Equation 2 (1)

    Equation 3 (1)

    The first stage of this model (Eq. 2) predicted the logged odds of whether or not the respondent household reported zero days of participation in community forest user group activities over the past 12 months (nonparticipation). Then, for the subset of respondent households that reported a non-zero number of days spent participating, the second stage (Eq. 3) predicted their degree of participation, measured by the number of person-days that household members reportedly spent on community forest user group activities over the past 12 months (days). One person-day was equivalent to one full working day for a single household member (see PEN 2016b). Here, logit refers to the standard logistic regression model, NBin refers to a negative binomial regression model, and σ is a dispersion parameter.

    To measure remittances in the PEN data, we used the same technique as for the NLSS data. The independent variable used in this model represented the total annual amount of remittances received by the household from individuals living outside the village during the survey year, expressed in hundreds of dollars. In both stages, the zero-inflated negative binomial regression model included the same household-level controls as described previously. δ and λ represent vectors of unconditional community-level fixed effects included in the first and second stages of the model, respectively. Because the analytic dataset was cross-sectional, the community fixed effects were equivalent to community–year fixed effects, and thus controlled for differences between communities as well as potentially confounding temporal differences between the 2005 time period (when the Mustang households were surveyed) and 2008 (when the Gorkha households were surveyed). Although there were seasonality differences between the Mustang and Gorkha households, with the former surveyed in December and the latter surveyed in March, our community-level fixed-effects controlled for seasonality differences since the season in which households were surveyed varied across communities but not between them; thus, the community-level fixed-effects addressed the effects of seasonality. We corrected the reported confidence intervals and P values for community-level clustering by calculating cluster-robust standard errors using the sandwich estimator described by Rogers (1993).

    As before, this analysis controlled for key characteristics of households, as well as community fixed effects, but we could not rule out the possibility of unmeasured confounding variables at the household level in this correlational analysis. However, in Appendix 1, we replicated the results of this analysis while controlling for additional household characteristics.

    Characteristics of samples

    Table 1 shows summary statistics for each analytic dataset, and Fig. 2 maps the locations of surveyed households at the district level. Our analytic sample from the NLSS spanned all three ecological regions of the country—the northernmost Mountain Region, the Terai Region that borders India, and the Middle Hill Region, which lies between. Furthermore, rural households from almost every district were included in the sample. By contrast, our analytic sample from the PEN survey covered the districts of Gorkha and Mustang. Thus, while the Middle Hill Region and Mountain Region were reflected in our test of H2, the Terai Region was not because it was not covered by the PEN survey. Readers should note this limitation. While our test of the relationship between remittance income and community forest use was based on a large analytic sample with substantial geographic and temporal coverage, our test of the relationship between remittances and community forestry participation was somewhat more limited, and it is possible that the results of our test of H2 do not generalize to the Terai Region.

    Although the PEN sample did not cover the Terai region, the trends in our variables of interest were largely similar across both datasets. As shown in Table 1, the NLSS and PEN samples exhibited similar trends in household income portfolios, education, ethnic majority status, and household size. Both samples showed substantial average remittance incomes ($98 for the NLSS sample and $535 for the PEN sample). On average, households earned more from enterprise income ($321 for the NLSS sample and $104 for the PEN sample) than from livestock, and the average household in both samples experienced net negative crop incomes (-$43 for the NLSS sample and -$48 for the PEN sample). More than 50% of households in the NLSS sample and nearly 42% in the PEN sample had formal education. More than 50% of households in the NLSS sample and more than 60% in the PEN sample belonged to the local ethnic majority. The average household size was 5.2 persons for the NLSS sample and 6.2 persons for the PEN sample.

    RESULTS

    Remittance-receiving households are less likely to use community forest resources

    Table 2 shows the conditional logistic regression results from the household-level model fit on the NLSS data. Estimate (a) shows the estimated relationship between a household’s remittance income and their relative odds of collecting forest products from a community forest. This estimate suggests that remittances have a negative and statistically significant association with the likelihood of collecting products from a community forest (P < 0.006). We calculated the average magnitude of this association on the probability scale using the average semi-elasticity method (Kitazawa 2012). On average, an increase in remittance income of one standard deviation predicted a roughly -8% change in the probability of reporting community forest use (95% CI: -14%, -2%). While the purpose of our model was to estimate the relationship between remittances and community forest use while controlling for the covariates, some readers may also find it worth noting that household size was the only covariate with a statistically significant test statistic (in the positive direction). Estimates on the ethnic majority and education variables exhibited wide confidence intervals.

    Remittance-receiving households spend less time on community forestry participation

    Table 3 shows the results from the zero-inflated negative binomial regression model fit on the PEN survey data. Estimate (c) in Table 3 represents the estimated relationship between a household’s remittance income and the number of person-days spent by household members on community forest user group activities (expressed as an incidence-rate ratio), and estimate (b) represents the relationship between remittance income and the odds of a household reporting participation at all. Estimate (c) indicates that remittances had a statistically significant negative association with the number of person-days spent on community forestry activities among households that reported participating.

    These model results are easiest to interpret through model predictions expressed as the raw number of predicted person-days that households spent on community forestry activities (Fig. 3). These predictions suggest that on average, households that did not receive remittances spent just over four person-days per year on community forestry activities. In contrast, households that reported receiving US$2500 per year in remittances (a difference of roughly two standard deviations, relative to households that did not receive remittances) were predicted to spend three person-days per year on community forestry activities, or nearly 25% less time relative to households that did not receive remittances. In our PEN survey sample, 13% of remittance-receiving households reported receiving this amount or more.

    In addition to the statistically significant relationship between remittance income and community forestry participation, three covariates had statistically significant test statistics in the first stage of the zero-inflated negative binomial regression, with negative signs: household size, education, and ethnic majority. Confidence intervals for other covariate coefficient estimates were generally wide.

    Data limitations and alternative specifications

    Our econometric models controlled for a range of covariates that could confound the relationship between remittance income, community forest use, and community forestry participation. In addition to the observable household-level characteristics discussed in the Methods, fixed effects controlled for unobservable and observable confounding variables at the community–year level. Nonetheless, it was not possible to rule out all potential confounding variables in this observational study, particularly if they operated at the household level (rather than the community level or community–year level). For example, the 2003–2004 period of the NLSS coincided with a Maoist insurgency that occurred across rural Nepal, and some evidence suggests that local exposure to the conflict impacted the governance of community forest user groups (Nightingale and Sharma 2014). Local conflict intensity, if it is indeed a confounding variable, is most likely to be a community-level confounding variable rather than a household-level confounding variable; therefore, it is less likely that our results were confounded by local exposure to the conflict once community-level fixed effects were controlled for. Nonetheless, if household-level conflict exposure was correlated with households’ remittance income and with their decisions to use community forests or participate in community forestry for enough households in our samples (after controlling for community–year fixed effects and our other covariates), then the variable would cause household-level confounding that we would be unable to control for.

    Thus, since our analysis was based only on observable household-level covariates, it is possible that certain omitted household-level social or economic characteristics influenced our results. For example, gender, caste, and ethnicity are likely correlated with remittance income and are known to influence decisions about community forestry participation and benefits from community forestry (Agarwal 2016, Cook et al. 2023, Shrestha et al. 2023, Cook 2024). Furthermore, the number of remittance-senders, not remittance income, may reduce the likelihood that a household will use collectively managed natural resources. All of these covariates are measurable in the NLSS data, and gender is measurable in the PEN data, whereas the other covariates are not (in both datasets, gender is operationalized through the gender of the household head). In Appendix 1, we replicated our results while controlling for these characteristics; our results were stable when these additional covariates were included in our models.

    Because we cannot completely rule out the possibility of unobservable household-level confounding variables in our study, future studies should use more robust, quasi-experimental research designs to further explore the relationships between out-migration, remittance income, and the use and governance of collectively managed natural resources.

    DISCUSSION

    Empirical insights

    We provide quantitative evidence that out-migration, via remittance income, influences both the use of shared natural resources and participation in CBNRM. Our findings from the forestry sector in Nepal support two key mechanisms. First, households that receive remittances are less likely to depend on products from community forests. As rural livelihoods shift from resource-based activities to urban employment and service-sector jobs (Jaquet et al. 2019), reliance on shared natural resources diminishes. This reduced dependence weakens households’ incentives to participate in collective management.

    Second, and relatedly, remittance income is associated with lower levels of participation in CBNRM activities. While research has suggested that multiple factors, such as out-migration-related labor shortages, socioeconomic transformations, and resistance to government schemes, influence participation in CBNRM (Poudel 2019, Shahi et al. 2022, Poudyal et al. 2023), our study isolates the effect of remittance income, which is distinct from the number of out-migrants. These findings contrast with those of Bista et al. (2023), who hypothesized a link between community forestry participation and remittance income but found no significant statistical evidence. Our zero-inflated negative binomial regression model suggests that while remittance income does not reduce the probability of participation, it significantly reduces the amount of time households allocate to community forestry activities. This may be because households that receive remittances maintain superficial ties to community-based institutions, such as occasionally attending community forest user group meetings, while drastically reducing their engagement in actual forest management activities. This would align with previous qualitative research that has shown that in some communities where participation has dwindled, members or even community forestry leaders maintain nominal ties to community institutions but contribute little time to resource management (Poudyal et al. 2023). The moderate magnitude of the estimate indicates that in settings where many households receive a large amount of annual remittance income, as is the case for some households that receive remittances from international locations (Central Bureau of Statistics 2011b), we would expect to see a noticeable reduction in the amount of time and effort allocated to community forestry. The estimate does not, however, suggest that there are substantial changes in participation by households that receive only a modest amount of such income (as is common for some other households, particularly those that receive remittances from domestic locations).

    It is also notable that these relationships hold when controlling for the number of out-migrants, and the number of out-migrants has no apparent relationship with our forestry-sector outcome variables, while controlling for the amount of remittances received (see Appendix 1). This is in contrast to some other empirical work that has shown that decisions to implement many other conservation activities in the agricultural sector show the opposite pattern: they appear to be influenced by the number of out-migrants and not the amount of remittances received (Williams and Paudel 2020). This highlights the importance of developing sector-specific models for understanding the social and economic dimensions of conservation decision-making, rather than assuming that those social and economic dimensions are the same across sectors.

    CONCLUSION

    Implications for policy and future research

    Although our study was based in Nepal, the findings have broader relevance for community-based resource management programs globally. The effectiveness of CBNRM depends on sustained participation for monitoring, enforcement, ecosystem restoration, and rural development. If participation declines due to socioeconomic shifts linked to out-migration, policymakers may need to reconsider how to sustain collective governance structures.

    One potential response is to develop targeted programs that strengthen incentives for participation among households that receive remittances. Research suggests that women left behind by out-migration face participation constraints shaped by caste and social networks (Shrestha et al. 2023). To address these challenges, pro-poor entrepreneurship strategies in community-based resource management (Paudel 2012) could help marginalized households derive economic benefits from forestry. Effective implementation would require partnerships with government and non-governmental organizations (Cronkleton et al. 2012), which could help to ensure that such initiatives do not erode local participation but instead foster sustainable engagement. Such partnerships could help develop effective donor programs with local user buy-in by encompassing tasks such as identifying poor and marginalized households, devising production and benefit-sharing plans, implementing monitoring and evaluation procedures, and establishing conflict resolution mechanisms regarding resource use. These efforts could ultimately build the resilience of community-based natural resource systems (Nightingale and Sharma 2014). Therefore, future policy development should focus on creating an enabling an environment for commercial livelihoods in the context of community-based programs (Sapkota et al. 2020).

    Our findings also raise important questions for future research. While we documented participation shifts due to remittance incomes, further studies should examine the long-term impacts on the sustainability of CBNRM institutions. Specifically, how do declining participation rates influence afforestation efforts and resource management outcomes? Additionally, exploring whether participation patterns differ across social groups, such as wealthier versus marginalized households, would provide insights into equity concerns in CBNRM governance (Sunam and McCarthy 2016, de Brauw 2019). If wealthier households withdraw from collective management, this may leave marginalized groups with disproportionate responsibility for maintaining community forests, which would reinforce existing socioeconomic inequalities (McCarthy et al. 2009, Maharajan et al. 2012, Dustmann and Okatenko 2014, Cook 2024).

    Finally, while our study identified correlations between out-migration, remittance incomes, and participation in CBNRM, future research should employ causal identification strategies to strengthen policy recommendations. The findings also open avenues for cross-national comparisons using similar datasets, such as those developed through the cross-national PEN survey initiative. Expanding this research across different regions would help determine whether the observed patterns in Nepal apply to other community-based governance systems that are experiencing high out-migration. Similarly, there is room for future work to investigate whether our results from the 2003–2012 period fully capture present-day dynamics in Nepal. Although this study period is useful for studying the general relationship between remittance incomes and community forestry, and yields lessons that are relevant to countries that are currently experiencing out-migration from community forest systems, it is possible that some of these dynamics have either changed or intensified in Nepal since the time of data collection. We note this limitation so as to discourage readers from misinterpreting our results, and to encourage future data collection to study the dynamics of migration and forestry in Nepal.

    Our study underscores the complex relationship between out-migration, remittance income, and community-based resource management. As rural economies transition due to migration, natural resource governance institutions must adapt to shifting participation dynamics. Understanding these evolving relationships is critical for ensuring the long-term sustainability of CBNRM models, particularly in regions where migration-driven socioeconomic transformations are accelerating.

    RESPONSES TO THIS ARTICLE

    Responses to this article are invited. If accepted for publication, your response will be hyperlinked to the article. To submit a response, follow this link. To read responses already accepted, follow this link.

    ACKNOWLEDGMENTS

    This research was supported by the National Science Foundation (grants: #1757136, #2242507, #2343136). We thank the Central Bureau of Statistics in Kathmandu and the Poverty Environment Network (PEN) program for providing the data used in this study. We thank Dr. Krister Andersson and Dr. Ganesh Gorti for their constructive comments and suggestions about this work.

    Use of Artificial Intelligence (AI) and AI-assisted Tools

    AI-assisted tools were not used in the research and writing process.

    DATA AVAILABILITY

    The National Living Standards Survey data analyzed in this study were provided by the Central Bureau of Statistics of the Government of Nepal. A data use agreement prohibits the authors from sharing these data. However, the datasets generated and analyzed during the current study are available from the corresponding author on reasonable request if prior permission is granted from the original data providers (where applicable).

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    Corresponding author:
    Nathan Cook
    cooknath@iu.edu
    Appendix 1
    Fig. 1
    Fig. 1. Out-migration influences participation in community-based natural resource management (CBNRM) through four potential mechanisms: labor constraints, resource dependence, opportunity costs, and compensatory participation. Arrows with plus (+) signs denote reinforcing effects (an increase in one variable leads to an increase in the connected variable); minus (-) signs indicate balancing effects (an increase in one variable leads to a decrease in the connected variable).

    Fig. 1. Out-migration influences participation in community-based natural resource management (CBNRM) through four potential mechanisms: labor constraints, resource dependence, opportunity costs, and compensatory participation. Arrows with plus (+) signs denote reinforcing effects (an increase in one variable leads to an increase in the connected variable); minus (-) signs indicate balancing effects (an increase in one variable leads to a decrease in the connected variable).

    Fig. 1
    Fig. 2
    Fig. 2. Study setting. Colors indicate the number of households surveyed in a given district across the Nepal Living Standards Survey (NLSS) sample (left) and Poverty Environment Network (PEN) sample (right).

    Fig. 2. Study setting. Colors indicate the number of households surveyed in a given district across the Nepal Living Standards Survey (NLSS) sample (left) and Poverty Environment Network (PEN) sample (right).

    Fig. 2
    Fig. 3
    Fig. 3. Association of remittances and the number of days spent on community forestry activities. Predictions were based on the results of a zero-inflated negative binomial regression model (see <em>Methods</em> and Table 3). As the amount of remittance income increased, the predicted number of person-days spent on community forestry activities decreased (CFUG: community forest user group).

    Fig. 3. Association of remittances and the number of days spent on community forestry activities. Predictions were based on the results of a zero-inflated negative binomial regression model (see Methods and Table 3). As the amount of remittance income increased, the predicted number of person-days spent on community forestry activities decreased (CFUG: community forest user group).

    Fig. 3
    Table 1
    Table 1. Descriptive statistics for household survey samples.

    Table 1. Descriptive statistics for household survey samples.

    Mean Median SD Min Max
    Nepal Living Standards Survey sample (N = 3661)
     Dependent variable
      Community forest use 0.437 0 0.496 0 1
     Independent variable
      Remittance income (100 U.S. dollars) 0.978 0 4.831 0 122.974
     Control variables
      Crop income (100 U.S. dollars) -0.429 -0.149 7.568 -72.263 397.798
      Animal income (100 U.S. dollars) 0.261 0 2.6021 -16.082 39.619
      Enterprise income (100 U.S. dollars) 3.209 0 14.879 -135.272 501.729
      Education 0.544 1 0.498 0 1
      Ethnic majority 0.503 1 0.500 0 1
      Household size 5.205 5 2.305 1 26
    Poverty Environment Network sample (N = 453)
     Dependent variable
      Participation (days) 4.159 3 4.919 0 30
     Independent variable
      Remittance income (100 U.S. dollars) 5.348 0 11.077 0 124.521
     Control variables
      Crop income (100 U.S. dollars) -0.483 -0.408 1.343 -7.271 8.757
      Animal income (100 U.S. dollars) 0.005 0 2.454 -21.942 14.038
      Enterprise income (100 U.S. dollars) 1.043 0 4.075 -3.184 39.351
      Education 0.419 1 0.494 0 1
      Ethnic majority 0.678 1 0.468 0 1
      Household size 6.192 6 2.591 1 18
    Table 2
    Table 2. Association of remittances and the use of community forest resources. Odds ratios were estimated using logistic regression with conditional fixed effects at the community level. The dependent variable was a dichotomous indicator of whether or not the household collected firewood or fodder from a community forest over the past 12 months. 95% confidence intervals were calculated using cluster-bootstrapping at the community level. <em>N</em> = 3661.

    Table 2. Association of remittances and the use of community forest resources. Odds ratios were estimated using logistic regression with conditional fixed effects at the community level. The dependent variable was a dichotomous indicator of whether or not the household collected firewood or fodder from a community forest over the past 12 months. 95% confidence intervals were calculated using cluster-bootstrapping at the community level. N = 3661.

    Variable 95% confidence interval P
    Independent variable
     (a) Remittances (100 U.S. dollars) 0.970 [0.950, 0.991] 0.006
    Control variables
     Ethnic majority 0.900 [0.738, 1.097] 0.299
     Education 0.954 [0.795, 1.145] 0.612
     Household size 1.071 [1.028, 1.117] 0.001
     Crop income 1.012 [0.992, 1.033] 0.246
     Animal income 1.002 [0.965, 1.040] 0.920
     Enterprise income 0.994 [0.986, 1.003] 0.190
    Conditional fixed effects (community level) X
    Table 3
    Table 3. Association of remittances and the number of person-days spent on community forestry activities. Exponentiated coefficients were estimated with a zero-inflated negative binomial regression model. The dependent variable was the number of person-days a household reported spending on community forestry activities in the previous 12 months. The first stage predicted the likelihood of a household reporting zero days of participation in community forestry activities. For households with non-zero community forestry participation, the second stage predicted the number of person-days spent on community forestry activities. The model included unconditional fixed effects at the community level. <em>N</em> = 453. 95% confidence intervals were corrected for clustering at the community level.

    Table 3. Association of remittances and the number of person-days spent on community forestry activities. Exponentiated coefficients were estimated with a zero-inflated negative binomial regression model. The dependent variable was the number of person-days a household reported spending on community forestry activities in the previous 12 months. The first stage predicted the likelihood of a household reporting zero days of participation in community forestry activities. For households with non-zero community forestry participation, the second stage predicted the number of person-days spent on community forestry activities. The model included unconditional fixed effects at the community level. N = 453. 95% confidence intervals were corrected for clustering at the community level.

    First stage: Odds of zero participation in community forestry activities (logistic; odds ratios) Second stage: Number of person-days spent on community forestry activities (negative binomial; incidence-rate ratios)
    Independent variable
    Remittances (100 U.S. dollars) (b) 1.011 (c) 0.992
    [0.985, 1.037] [0.987, 0.997]
    P = 0.401 P = 0.001
    Control variables
    Ethnic majority 0.244 1.334
    [0.142, 0.421] [0.945, 1.885]
    P = 0.003 P = 0.102
    Education 0.230 1.134
    [0.162, 0.328] [0.969, 1.327]
    P < 0.001 P = 0.117
    Household size 0.900 0.998
    [0.871, 0.929] [0.969, 1.028]
    P < 0.001 P = 0.909
    Crop income -0.052 0.962
    [0.575, 1.566] [0.878 - 1.055]
    P = 0.838 P = 0.411
    Animal income 1.104 0.991
    [1.005, 1.212] [0.951 - 1.034]
    P = 0.038 P = 0.684
    Enterprise income 0.973 0.997
    [0.890, 1.063] [0.975 - 1.020]
    P = 0.543 P = 0.815
    Constant 10.830 3.595
    [5.859, 20.02] [2.949 - 4.381]
    P < 0.001 P < 0.001
    Fixed effects (community level) X X
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    Home > VOLUME 30 > ISSUE 3 > Article 33 Research

    Downstream impacts of the Madeira Hydroelectric Complex on várzea traditional agriculture and extractivism

    Lobo, G. S., J. O. Gil, R. F. B. da Silva,‬ and E. F. Moran. 2025. Downstream impacts of the Madeira Hydroelectric Complex on várzea traditional agriculture and extractivism. Ecology and Society 30(3):33. https://doi.org/10.5751/ES-16518-300333
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    • Guilherme S. LoboORCIDcontact author, Guilherme S. Lobo
      Programa de Pós-Graduação em Ambiente e Sociedade do Instituto de Filosofia e Ciências Humanas (IFCH), UNICAMP, Brazil; Núcleo de Estudos e Pesquisas Ambientais (NEPAM), UNICAMP, Brazil
    • Jorge O. Gil, Jorge O. Gil
      Institute of Agro-Environmental Research and Sustainable Organizations (IEPAGRO), Porto Velho, Rondônia, Brazil
    • Ramon F. B. da Silva‬ORCID, Ramon F. B. da Silva‬
      Núcleo de Estudos e Pesquisas Ambientais (NEPAM), UNICAMP, Brazil
    • Emilio F. MoranORCIDEmilio F. Moran
      Michigan State University, USA

    The following is the established format for referencing this article:

    Lobo, G. S., J. O. Gil, R. F. B. da Silva,‬ and E. F. Moran. 2025. Downstream impacts of the Madeira Hydroelectric Complex on várzea traditional agriculture and extractivism. Ecology and Society 30(3):33.

    https://doi.org/10.5751/ES-16518-300333

  • Introduction
  • Methods
  • Results
  • Discussion
  • Conclusion
  • Responses to this Article
  • Author Contributions
  • Acknowledgments
  • Use of Artificial Intelligence (AI) and AI-assisted Tools
  • Data Availability
  • Literature Cited
  • Amazon; extractivism; flood recession agriculture; hydropeaking; traditional livelihoods
    Downstream impacts of the Madeira Hydroelectric Complex on várzea traditional agriculture and extractivism
    Copyright © by the author(s). Published here under license by The Resilience Alliance. This article is under a Creative Commons Attribution 4.0 International License. You may share and adapt the work provided the original author and source are credited, you indicate whether any changes were made, and you include a link to the license. ES-2025-16518.pdf
    Research

    ABSTRACT

    Hydropower development in the Amazon has accelerated under public and private incentives, aiming to promote economic growth, environmental conservation, renewable energy, and social equity within a sustainable development agenda. However, recent studies show significant negative impacts on local communities and ecosystems, raising concerns about hydropower’s true contribution to sustainability. Despite increasing awareness, research has largely overlooked the downstream effects of hydropower dams. Since the Madeira Hydroelectric Complex became operational, it has introduced sub-daily flow oscillations (hydropeaking) in the Madeira River, Southwest Amazon. Although poorly understood, hydropeaking can disrupt the river’s essential flood pulse, which rural riverine communities, known as ribeirinho, depend on for traditional flood recession agriculture and extractivism in the whitewater floodplains (várzea). These communities have long adapted their livelihoods to seasonal flood dynamics, using both low- and high-gradient várzea floodplains, but this downstream flow alteration may be affecting the várzea social-ecological system and must be investigated. To investigate hydropeaking’s effects, we conducted semi-structured interviews with local experts (n = 51) of four downstream ribeirinho communities, along with hydrological and soil analyses. Our findings reveal a shift in agricultural practices, particularly in flood recession agriculture in low-várzea areas. Soil analysis corroborates local experts’ concern about declining fertility, showing reduced phosphorus content following dam operations. Additionally, the extreme 2014 flood and expanding illegal gold mining have further diminished engagement in extractivist activities. A truly sustainable future for the Madeira River depends on revitalizing várzea-based value chains while preserving both ecological integrity and social resilience. We recommend establishing an independent monitoring group composed of ribeirinho communities and local scientists to assess downstream impacts on the várzea social-ecological system. Furthermore, targeted compensation and mitigation projects should be implemented to promote the sustainable use of várzea resources.

    INTRODUCTION

    Hydropower is Brazil’s primary renewable energy source, accounting currently for about 60% of the electrical mix (Energy Research Office (EPE) 2024). Since the 1980s, hydropower development has been boosted, particularly in the Amazon basin, as it possesses immense hydraulic potential (von Sperling 2012). Hydropower development has been accelerated by government and private sector incentives aimed at fostering economic growth, environmental conservation, and social equity under a sustainable development agenda (Fearnside 2015, Moran and Athayde 2019). However, recent years have seen a proliferation of studies highlighting the adverse impacts of hydropower development on local communities’ well-being and the ecosystems of the Amazon (Athayde et al. 2019). This has led to growing concerns regarding the role of hydropower in sustainable development in the Amazon (Moran et al. 2018).

    Despite this increased awareness, certain types of impacts have received more attention than others. Major research efforts have concentrated on the direct impacts of the large dam construction and surrounding reservoir areas (Dias et al. 2018), including involuntary population resettlement and the repercussions of a large reservoir in ecological processes (Kirchherr et al. 2016, Cernea and Maldonado 2018). However, less scientific attention has been directed toward the downstream socio-ecological impacts of hydropower dams (Richter et al. 2010), especially within tropical regions (Winemiller et al. 2016, Runde et al. 2020). This constitutes a significant knowledge gap, given that the dam operation typically results in hydrological alteration downstream, often crossing jurisdictional boundaries over long distances (Nilsson et al. 2005, Poff and Schmidt 2016). Lost in hydropower development’s shadow, the downstream impacts have been overlooked in the Amazon, leading to recurrently underestimated and undercompensated impacts on people and the environment (Mayer et al. 2022c, García et al. 2024, Utsunomiya et al. 2024).

    In the Amazon, downstream dam regulation is a significant concern due to the intrinsic connection between aquatic ecosystems and the seasonal flow regime, described by Junk et al. (1989) as the flood pulse. The largest Amazonian rivers are characterized by a predictable monomodal flood pulse driven by dry and rainy seasons in their catchment basins (Junk et al. 2014). Along the margins of these rivers occur floodplains, which are crucial habitats for endemic and endangered species adapted to flood pulse (Junk and da Silva 1997, Wittmann et al. 2013). The flood pulse also regulates biochemical cycles within the floodplain (Melack 2016), such as soil and water nutrients (Melack and Forsberg 2001).

    Beyond its influence on biota and ecological processes, the flood pulse profoundly defines the livelihoods of rural traditional riverine communities (known as ribeirinho in Portuguese), who reside in floodplain areas, especially the biodiverse whitewater floodplain, locally known as várzea. The bond between traditional ribeirinho’s livelihoods, várzea, and flood pulse is so profound that it resonates in their identity, resource utilization, movements, and social activities (Harris 1998). For instance, ribeirinho communities manage agriculture and extractivism in the várzea in synchrony with flood pulse (Junk et al. 2020). In this sense, natural and human elements of the várzea are interrelated and inextricably shaped by the flood pulse, functioning as a complex socio-ecological system (Kumar et al. 2023).

    In this intertwined socioecological system, downstream dam regulation needs to be seen as an essential factor that pushes into a transitional state, eventually leading to new dynamic equilibria (Berkes and Folke 1998). Different components of the system that depend on the flood pulse adjust to flow regulation at varying rates. For instance, invertebrates and floodplain herbaceous vegetation may reach a new equilibrium within a few years (Baladrón et al. 2023), whereas fish and vegetation composition may continue adjusting for decades (Gandini et al. 2014, Bejarano et al. 2018). As the ecology adapts to the regulated flow, local residents, particularly farmers and extractivists, also adjust their livelihoods, which rely on floodplain resources (Thomas and Adams 1999). These adaptations are further influenced by broader economic and social factors from outside the floodplain, although their impacts are felt locally. However, few studies have explored how social-ecological systems adapt to downstream changes caused by dams, especially in the Amazon.

    Under this scenario lies the enormous Madeira Hydroelectric Complex (MHC), which has been damming the Madeira River, a large whitewater tributary of the Amazon River. Operation of the MHC causes a sub-daily flow oscillation (hydropeaking) due to the intermittent operation of floodgates associated with energy demand (Almeida et al. 2020). Despite being considered a minor variation in hourly flow, hydropeaking may have significant implications for the social-ecological dynamics, however, there have been no studies to date that investigated how ribeirinho communities perceive hydropeaking concerning the impacts and adaptation on the várzea agriculture and extractivism activities (Bipa et al. 2024, Jardim and Collischonn 2024). We hypothesize that even subtle fluctuations in water levels can disrupt várzea traditional livelihoods, influencing agriculture and extractivism practices, and broader ecological interactions.

    To test this hypothesis, we applied an interdisciplinary approach that combined interviews with 51 local experts from four downstream ribeirinho communities, daily and hourly hydrological analyses, and an assessment of soil chemical properties before and after the implementation of the MHC. A key aspect of our study was capturing the lived experiences of these communities, highlighting how hydropeaking influences their agricultural and extractivist activities within the várzea, a phenomenon largely understudied worldwide (Richter et al. 2010).

    METHODS

    Study site

    The Madeira River basin spans over 1.4 million km², encompassing parts of Bolivia, Brazil, and Peru. Formed by the confluence of the main tributaries of the Amazonian–Andean region (Beni, Mamoré, and Madre de Dios Rivers), it is recognized as one of the most significant whitewater rivers in the Amazon basin in terms of sediment load (Latrubesse 2008). Naturally, the Madeira River has a flood regime that varies about 10 m between the dry and rainy seasons (Junk et al. 2014). Along the Madeira River occurs the várzea, the most biodiverse floodplains (Wittmann et al. 2013), which are divided into low and high topographic gradients according to both scientific and local knowledge (Junk et al. 2012, Souza et al. 2012). The low-várzea is flooded annually for more than 3 mos. and covered by mud bars, grassland, or sparse forest vegetation, whereas the high-várzea is elevated, covered with dense forest vegetation, agroforestry systems, and flooded for less than 3 mos. during the highest peak.

    Within the várzea, several ribeirinho communities live and maintain their unique traditional livelihoods intricately tied to the flood regime rhythm (Harris 1998). They depend on the naturally fertile várzea soils for flood recessional agriculture, cultivating short-term crops (less than 90 d to produce), like beans (Vigna unguiculata), manioc (Manihot esculenta), and watermelon (Citrullus lanatus) in the low-várzea, especially in river mud bars. In the high-várzea, they practice conventional agriculture, planting long-term crops, such as corn (Zea mays), squash (Cucurbita sp.), and banana (Musa sp.). Also, they manage the high-várzea by adopting an agroforestry system to harvest essential forest resources, especially açaí (Euterpe precatoria) and other native fruits (Souza et al. 2012) (Fig. 1).

    Since 2013, the MHC, comprising the Jirau and Santo Antônio dams, has been fully operational on the Madeira River. The cascade operation of these two large run-of-river dams has triggered multiple hydrosedimentological changes, making the Madeira River the most environmentally vulnerable basin in the Amazon (Latrubesse et al. 2017). Located approximately 100 km apart, the combined effects of the dams affected downstream flood regime with significant increases in daily and sub-daily flow peaks (i.e., hydropeaking) (Almeida et al. 2020), significantly threatening the natural ecosystem state (Siddiqui et al. 2021). Additionally, the damming of the MHC has led to a decline in downstream sediment load (Li et al. 2020). Despite the ribeirinho communities’ fundamental connection to the várzea, they have had limited participation in environmental assessment reports of the MHC (Mayer et al. 2022a), leading to lack of compensation for losses in livelihoods and health (Mayer et al., 2022b, 2022c, García et al. 2024).

    Shortly after the completion of the MHC, an extreme flood event occurred in 2014. Driven by intense regional rainfall and aggravated by dam operations, the Madeira River reached unprecedented levels (Oliveira et al. 2021). This event resulted in irreparable losses for urban and rural populations along the Madeira River (Novoa Garzon and Silva 2020), and caused severe impacts on the várzea’s fauna and flora (Moser et al. 2019, Bobrowiec et al. 2021, Medeiros et al. 2023, Dayrell et al. 2024). This event exemplifies how the flood regime is the fundamental process governing the várzea, where the fates of people and nature are governed by the river’s rhythm (Jackson et al. 2022).

    Hydrological data collection and analysis

    Hydrological analyses were conducted using daily flow data (m³ s⁻) from the Madeira River, from 1967 to 2022, to identify hydropeaking events and assess other hydrological anomalies. The data were obtained from the Brazilian National Water Agency (Agência Nacional de Águas e Saneamento Básico (ANA)) database including two of the region’s most established and consistent downstream river gauges: the Porto Velho gauge (Code 15400000), located 5 km downstream of the Santo Antônio Dam, and the Humaitá gauge (Code 15300000), approximately 250 km downstream from the same dam. To evaluate hourly flood pulse oscillations, the analysis was restricted to years and river gauges with adequate data coverage (greater than 90% of the year with hourly data) during the MHC’s operation period (2013–2019). Hourly data for the pre-dam period were unavailable, and the Humaitá gauge has a large data gap for all time series, therefore, it was no longer considered. The comparison focused on the Porto Velho gauge, representing the impacted downstream area, and the Abunã gauge (Code 15320002), located 5 km upstream of Jirau dam and not impacted (Fig. 2).

    The daily flow data of the Madeira River was analyzed using the Indicators of Hydrologic Alteration (IHA) software, version 7.1, developed by the Nature Conservancy (2009). These analyses followed the IHA environmental flow protocol to evaluate the hydrological impacts of anthropogenic activities, focusing on key parameters related to hydropeaking. Daily rise and fall rates (m³ s⁻¹ h⁻¹) and the number of reversals were computed for periods before and after the construction of the MHC. Rise rates were determined by the median of positive differences between consecutive daily flow values, whereas the median of negative differences determined fall rates. Additionally, the number of reversals, defined as abrupt changes from rising to falling flow trends, was calculated for each seasonal flood pulse regime (October to September).

    Changes in the seasonal flood pulse of the Madeira River were further assessed by comparing monthly Pardé coefficients for periods before (1967–2012) and after (2013–2022) the construction of the MHC. The Pardé coefficient, the ratio of mean monthly discharge to mean annual discharge, indicates shifts in the seasonal flood pulse regime (Almeida et al. 2020).

    Sub-daily flood pulse oscillations were evaluated using the HP1 indicator (m³ s⁻¹ h⁻¹), which quantifies the magnitude of hydropeaking. This indicator is calculated as the difference between sub-daily maximum and minimum hourly flows, normalized by the mean daily flow (Carolli et al. 2015). The non-parametric Wilcox test was employed to assess the statistical significance using R software.

    Soil data collection and analysis

    The soil’s chemical properties were assessed by analyzing samples collected before and after the construction of the MHC. For the pre-construction period, we used data from the “Studies and Perspectives of Development for Downstream Madeira River 2010–2011” program (Souza et al. 2012). This program was conducted in collaboration with the Institute for Agri-Environmental Studies and Research and Sustainable Organizations (IEPAGRO) and the Santo Antônio Energia, the company responsible for the Santo Antônio Dam operation. The IEPAGRO program collected eight samples in productive areas of the low and high várzea of each downstream ribeirinho community expected to be impacted by dam regulation. The soil was sampled at 20 cm depth, during September and October 2011, which coincides with the Madeira River low water season. All samples were georeferenced and stored in geodatabases. The samples were analyzed for various soil chemical parameters, including base saturation (Al+H), calcium, magnesium, organic matter, pH, phosphorus, and potassium, following the Brazilian Agricultural Research Corporation (Embrapa) standardized protocol (Embrapa 1997).

    For the post-construction period, samples were collected during the low water season as well, in September and October 2023, adopting the same protocols used in 2011 and in the same georeferenced points. These samples were analyzed for the same soil chemical parameters following Embrapa standardized protocols (Embrapa 1997). The differences between soil chemical properties in the surveyed várzea were compared using the Student’s t-test, performed with the Python library scipy.stats.

    Interview data collection and analysis

    The interviews were conducted in four downstream non-indigenous rural riverine (ribeirinho) communities outside protected areas in Porto Velho, Rondônia State, Brazil: Cujubim Grande, São Carlos, Nazaré, and Calama (Fig. 2), which have a combined total population of 2,743 residents (Instituto Brasileiro de Geografia e Estatística (IBGE) 2024). From September 2022 to November 2023, we identified interviewees using a non-probabilistic “snowball” sampling method, an appropriate method for research with remote and dispersed groups (Russell 2005). The participants selected were local experts, defined for this study as community members recognized by their peers for their long-term practical knowledge of várzea agriculture and extractivism. A key inclusion criterion was at least 10 yrs of continuous residence downstream, including the period prior to the construction of the MHC.

    Semi-structured interviews were conducted with these selected participants to explore their perceptions of várzea agricultural and extractivism practices in the context of hydropeaking. Participants were asked about their agricultural and extractivism practices in both low-várzea and high-várzea. For extractivism, they were questioned about resource use, such as edible fruits, medicinal products, oils, palm hearts, resins, tannins, textile fibers, and timber.

    The interviews further explored any abnormal changes in the Madeira River’s daily flooding, and how these changes may have impacted their agricultural and extractivism activities over the past decade. Participants were asked to suggest and discuss possible causes when changes were noted.

    Interviews were conducted using the ArcGIS Survey123 on tablets, with audio recording, and took place in the participants’ homes or work environments. Before the interviews, participants were informed about the study’s objectives and provided consent, ensuring anonymity and the option to withdraw at any time. This study was approved by the Human Research Ethics Committee at the University of Campinas (CEP authorization number: 61440222.9.0000.8142).

    Interviews were transcribed to be analyzed in the Python “pandas” and “spacy” libraries. We implemented a content analysis approach to identify the most frequently mentioned terms across all interviews, focusing on the perceptions of local experts from ribeirinho communities regarding hydropeaking occurrence and the adaptation strategies in agriculture and extractivism within the várzea.

    RESULTS

    Hydrological data

    The mean monthly Pardé coefficient comparison between pre-dam and post-dam periods shows that Madeira River still preserves a seasonal flood pulse regime, validated with Porto Velho and Humaitá gauges flow data (Fig. 3).

    The flow rise rate (m³ s⁻¹ day⁻¹) showed a marked difference between the pre-dam (1967–2012) and post-dam (2013–2022) periods. Both river gauges recorded a significant increase in the rise rate following the dam’s operation (Porto Velho gauge, p < 0.001; Humaitá gauge, p < 0.05). Daily flow analysis revealed a 21.4% increase at the Porto Velho gauge and a 26.9% increase at the Humaitá gauge (Fig. 4a). The flow fall rate (m³ s⁻¹ day⁻¹) showed a significant increase of 33.1% at the Porto Velho gauge between the pre-dam and post-dam periods (p < 0.001). At the Humaitá gauge, there was a 6.2% increase in the fall rate, but it was not statistically significant (Fig. 4b). Daily flow analyses showed a 35.6% increase in flow reversals. The comparison between pre-dam and post-dam impact showed a 35.6% increase in the number of flow reversals at Porto Velho Station (p < 0.001). The Humaitá gauge showed a 5% increase in reversals (Fig. 4c).

    The comparison between Abunã and Porto Velho gauges hourly flow shows a significant downstream sub-daily flood pulse oscillation (p < 0.001), as the hydropeaking indicator (HP1) has a greater mean and standard deviation in the impacted region (Fig. 5).

    Soil data

    The soil chemical comparison between 2011 and 2023 from Cujubim Grande, São Carlos, Nazaré, and Calama revealed slight acidification and a general decline in fertility, with reductions in calcium, magnesium, phosphorus, and potassium levels. Despite these trends, only the decrease in phosphorus was statistically significant (p < 0.018), observed only in the low-várzea soils across all communities. Other parameters, such as base saturation (Al+H) and organic matter, showed less pronounced variations (Table 1).

    Survey data

    Agriculture and extractivism in the várzea

    A total of 51 local experts from four downstream ribeirinho communities were interviewed, one adult (over 18 yrs old) per family unit. Of these, 85% were male, with an average age of 58, and most had completed primary education. The interviews revealed that the importance of the várzea to local livelihoods has persisted after the establishment of the MHC. Ninety-six percent of respondents considered the várzea very important for their traditional livelihood. Local experts stated that low-várzea, especially river mud bars, are very important for the flood recessional agriculture of beans, manioc, and watermelon. The high-várzea are mostly used to plant bananas and sometimes squash, and harvest açaí, as exemplified by a ribeirinho from the Nazaré community:

    We plant beans and manioc on the river’s mud bars, and we grow long-term crops on the higher ground in the várzea. We plant bananas on the higher ground, and we also grow squash and harvest native açaí.

    For our purposes, respondents were asked if they perceived hydropeaking in the Madeira River in recent years. Eighty-five percent perceived hydropeaking. Among the respondents who perceived hydropeaking, the majority pointed to the MHC as the driver of this phenomenon (77.8%), 2.75% indicated illegal mining, 2.75% climate change, and 16.7% don’t know the reason. Regarding the predictability of the Madeira River flood rhythm, 89% of respondents stated that hydropeaking jeopardizes their capacity to predict daily flood levels. A ribeirinho from the São Carlos community who has been living in the region for 40 yrs reported that several bioindicators have changed with the hydropeaking, such as the inhambu bird (Crypturellus sp.) and river dolphin (Sotalia fluviatilis) behavior that used to be a signal of rising river water:

    The river is not normal. In the morning, it’s full, but by the afternoon, it dries up. We know that when the inhambu bird starts calling at night, the river will rise. We also know that when the dolphins start moving too fast, the river will rise. It used to be like that, but now it’s all messed up. The river can rise a meter from six in the evening until dawn. Then, during the day, it can drop by a meter and a half. We’ve lost our ability to predict the river.

    Seventy-five percent of respondents indicated that hydropeaking negatively impacts their agricultural practices. The most frequent agricultural activities in várzea cited by respondents that decreased after hydropeaking occurrence were beans (14), manioc (9), and watermelon (12), all mostly located in the low-várzea. This, in turn, led to the interruption of flood recessional agricultural practices that was described by a ribeirinho from Cujubim Grande:

    Nowadays, you can’t plant crops along the river’s mud bars like you used to. It’s too risky. You plant beans or anything else today, and by tomorrow it’s all flooded.

    Several respondents mentioned adapting their agricultural effort from the low-várzea to higher ground to avoid hydropeaking, frequently noting (16 mentions) increased banana production in high-várzea. Another issue created by the hydropeaking that motivated the focus in agriculture on high-várzea, is a misinterpretation of the natural reversal of the river flow, an abrupt change from rising to falling flow trends locally known as repiquete, which serves as an environmental signal of the beginning of the flooding season. According to a ribeirinho from the Calama community, the similarity of hydropeaking with repiquete confuses them:

    Before these dams, we were familiar with the signs of the flood and drought seasons. In October, we knew the first repiquete would come, with the water rising once and then receding. In early November, there would be a second repiquete. From late November to December, it would rain, and the water would start rising steadily. But it’s different now, it’s out of season. When it’s not expected, the water rises a little and then dries up, because they’re releasing water from the dams. It’s not affecting the high-várzea, but we used to plant on the river’s very productive mud bars. Now, we have to plant higher up.

    The ribeirinho local experts were asked if they perceived any change in the várzea soil fertility since the beginning of hydropeaking occurrences. Sixty-six percent of the respondents noted a decrease in soil fertility, 28% indicated no change, and 6% responded that they didn’t know. The deterioration of soil fertility was noted by a ribeirinho from the São Carlos community:

    The river is shallower now, depending on the outflow from the dams. The dams traps mud, so it no longer settles on the bars, making them more sandy. There’s only sand on the banks now, and the soil is weaker for cropping.

    According to the interviews, extractivism was not significantly impacted by hydropeaking, with açaí harvesting being cited three times as impacted, and araça-boi (Eugenia stipitata), bacaba (Oenocarpus bacaba), and cacao (Theobroma cacao) each cited only once. Aside from hydropeaking, several respondents declared that the extreme 2014 flood was a major event that caused disinterest in extractivism due to huge losses (being cited by 28 respondents), including displacing residents and diminishing açaí palms, as stated by another ribeirinho from São Carlos community:

    Here in São Carlos, a lot of people left because of the 2014 flood. The only ones who stayed were those who were pioneers here. I lost everything during the 2014 flood—my house and my crops, including around 1,500 açaí plants.

    During fieldwork, numerous illegal rafts and dredges extracting gold from the riverbed and banks were commonly observed. Despite the risks associated with this illegal activity, many ribeirinho community residents have shifted their labor efforts away from várzea recession agriculture and extractivism to gold dredging, transforming the agricultural landscape documented by IEPAGRO in 2011 to a marked mining-induced erosion in 2023 (Fig. 6a, b). Although interviewees acknowledged that gold dredging is illegal, some stated that it is the only economic alternative for them and their family members who live downstream from the MHC. As described by a ribeirinho from the Nazaré community:

    I’m not against ending illegal mining, but it needs to be done differently. We need to bring everyone together and provide economic alternatives that were lost after the dams. I’m tired of seeing the news frame us as criminals, when for us, this is the only way to sustain our families’ livelihoods.

    DISCUSSION

    We found that local experts from the four surveyed ribeirinho communities perceive the occurrence of hydropeaking, which aligns with data analysis from river gauges, demonstrating agreement between information sources. They recognize the specific impacts of hydropeaking, differentiating its effects on their traditional várzea flood recessional agriculture and extractivism based on topographic gradients. The low-várzea gradient was identified as being more severely impacted, particularly affecting the flood recessional cultivation of beans, manioc, and watermelon on the river’s mud bars. Additionally, ribeirinho local experts reported challenges in practicing agriculture in the low-várzea due to poor soil fertility, which was corroborated by soil analysis showing deficient phosphorus content. According to local experts, they have shifted their agricultural practices to the high-várzea gradient, away from the direct impacts of hydropeaking. However, this agricultural adaptation has not been reflected in extractivism. The interviewed local experts reported a decline in várzea extractivist activities, primarily due to consequences of the extreme 2014 flood event, which caused significant socio-ecological losses for communities along the Madeira River, as well as the emergence of alternative economic opportunities, such as gold mining.

    Our extended hydrological analysis corroborates the findings of Almeida et al. (2020), demonstrating that the operation of the MHC has significantly increased short-term flood pulse oscillations (hydropeaking). This impact is most pronounced near the complex, with attenuation observed further downstream, likely due to the influence of the channel, floodplain, and tributaries such as the Jamari and Ji-Paraná Rivers (Greimel et al. 2018). Despite this attenuation, distant downstream communities, such as Nazaré and Calama, still perceive hydropeaking as a disruptive force in their traditional livelihoods. Hydropeaking has also altered other aspects of local livelihoods. As highlighted by Santos et al. 2020, fishers in Humaitá, a city located 250 km downstream, reported declines in productivity due to the unpredictable flood pulse post-damming. Although hydropeaking is a subtler phenomenon compared with the impact of older Amazonian dams (Schöngart et al. 2021), it significantly alters how Amazonian traditional livelihoods interact with floodplains and rivers, as observed in this case and others, such as the Arara people from the Xingu River (Utsunomiya et al. 2024). Therefore, hydropeaking must be addressed by decision makers as a direct impact of the MHC that requires appropriate compensation.

    We found a new aspect of hydropeaking’s impact on traditional ribeirinho’s livelihoods according to local experts. Undoubtedly, the main hydropeaking impact perceived by local experts is predicting flood timing to practice flood recessional agriculture in the low-várzea. As noted by previous studies, flood recessional agriculture is risky when the flood regime becomes unpredictable (Coomes et al. 2016). For instance, early floods, similar to hydropeaking, cause substantial agricultural losses in the Peruvian Amazon (Langill and Abizaid 2020). In the case of the Madeira River, the persistent hydropeaking led to a significant decline in the efforts of local communities to develop flood recessional agriculture, dropping the traditional production of beans and manioc in river mud bars, both of which are rooted in ancient indigenous heritage (Watling et al. 2018). This disruption has driven ribeirinho community members to adapt, particularly anchoring their production effort in banana monoculture in the high-várzea areas. Such a focus on higher ground could potentially trigger a forest transition process in the high-várzea and upland areas due to limited access to flood recessional agriculture areas (Coomes et al. 2022).

    This study presents the first soil chemical assessment of agricultural várzea areas following the damming of the Madeira River, revealing a decline in soil phosphorus content in the low-várzea, consistent with local experts’ perceptions. The observed reduction in phosphorus in low-várzea soils is validated by water data (Almeida et al. 2015). Finer and Jenkins (2012) have raised concerns about the impact of damming the Madeira River on sediment load, as sediment trapping is a documented phenomenon in reservoirs worldwide (Dethier et al. 2022). Phosphorus depletion poses a significant threat to the entire social-ecological system, as phosphorus is a critical limiting macronutrient in the Amazon (Malhi et al. 2021). For instance, high productivity of várzea flood recessional agriculture is naturally sustained by nutrient-rich sediments deposited by the Madeira River, originating from the Andes (McClain and Naiman 2008). Therefore, declining phosphorus in the low-várzea soil is another key driver for the agricultural shift to higher ground, as local experts confirmed. In the case of várzea agriculture, phosphorus content depletion is especially concerning given the local logistical challenges of supplying phosphorus from outside the natural cycle (Morello et al. 2018). Moreover, phosphorus fertilization has been shown to increase phytoplankton biomass and productivity in central Amazon whitewater lakes and várzea (Melack and Forsberg 2001). In this sense, the decline in phosphorus may also be contributing to decreasing commercial fish yields in the Madeira River (Santos et al. 2018), as many fish species consumed in the Amazon rely on food chains that begin with phytoplankton (Forsberg et al. 1993).

    Surprisingly, extractivism was not frequently mentioned by interviewees as important to their livelihood, despite its potential to create sustainable chains for native products (Abramovay et al. 2021). A significant factor contributing to the disinterest in várzea extractivism was the substantial losses experienced during the extreme 2014 flood, which destroyed productive areas and residences (Novoa Garzon 2019). This event killed numerous várzea tree and herbaceous species (Oliveira et al. 2021, Medeiros et al. 2023), thereby likely reducing the availability of extractive resources (Evangelista-Vale et al. 2021).

    The decline in interest in agroextractivist practices in the várzea has been further exacerbated by the gold mining boom along the Madeira River. In recent years, many ribeirinho community members whose livelihoods were based on agriculture, extractivism, fishing, and hunting have turned to illegally extracting gold to increase their profits (Pestana et al. 2022). Despite mining being a fundamental economic activity in the Madeira River (Martins et al. 2022), it threatens local resilience due to its numerous impacts on the ecosystem and social structure of the traditional communities (Froese et al. 2022). With limited sustainable economic alternatives available, they are increasingly being pushed toward illicit activities that compromise the integrity of the regional social-ecological system (Marcovitch and Val 2024). Addressing this challenge requires urgent efforts to develop viable, sustainable livelihood options that align with the ecological and cultural realities of the region (Zerbini et al. 2024). Without such conservation interventions, the cycle of environmental degradation and social-economic vulnerability will only deepen, further endangering both the biodiversity and the ribeirinho well-being.

    CONCLUSION

    Our research explored the perceptions of local experts from ribeirinho communities regarding the downstream impacts caused by the MHC, combined with hydrological and edaphic data. Taking advantage of an interdisciplinary approach, our findings show that local experts have not only perceived these impacts but have also adapted their agricultural and extractivist practices within the várzea. To our knowledge, we provided the first evidence that the damming of the Madeira River is altering the phosphorus content of low-várzea soils. Although our study, based on a comparison of two periods, has limitations in confirming continuous soil chemical changes, it strongly indicates the need for continued monitoring of várzea soils and associated social-ecological impacts.

    Over the past decade, the downstream changes caused by the MHC have eroded existing resource base and traditional practices in the várzea. Without innovation or adequate support, agriculture has become limited to the high-várzea areas. At same time, low-várzea exhibited the higher downstream impact, diminishing flood recessional agriculture due to hydropeaking impact and phosphorus soil loss. Additionally, the extreme 2014 flood, in addition to “gold fever”, put pressure on people to find some other means of labor and subsistence, decreasing interest in várzea extractivism and agriculture.

    Although the findings from our 51 local experts’ interviews cannot be statistically generalized to the entire downstream population of Porto Velho, they are critically important, as these ribeirinho community members have experience with várzea agriculture and extractivism both before and after the operation of the MHC. Moreover, local knowledge of experts reflects deep social-ecological links that are often invisible to the general population (Wantzen 2024), being of great value to downstream dam assessment, as some impact can be perceived only by those who observe nature processes intimately and daily (Baird et al. 2021). For generations, ribeirinho communities have relied on várzea agriculture, extractivism, and fishing as their main economic activities. However, recent years have been particularly challenging, pushing them to limited viable economic alternatives. In this context, documenting local expert perceptions alongside empirical assessments, such as soil and hydrological analyses, is essential to capture the downstream impacts of large dams on these often-overlooked communities. This is particularly relevant for run-of-river dams, frequently promoted as sustainable energy solutions with minimal downstream consequences.

    Despite the conventional assumption that run-of-river dams cause only subtle flow variations, our findings demonstrate that hydropeaking promotes profound social-ecological consequences on the várzea system of the Madeira River. Given these impacts, it is imperative to involve ribeirinho communities in conservation initiatives and research efforts, ensuring close monitoring of downstream effects. The active participation of local communities in impact monitoring has proven successful in the case of the Belo Monte Dam, one of the most controversial hydropower projects in the Amazon, and aligns with conditions observed in the Madeira River. Along the Xingu River, ribeirinho communities and indigenous people have collaborated with local researchers to independently assess Belo Monte’s downstream effects, providing a counterpoint to the periodic social-environmental assessments conducted by the energy company, showing an often underestimated extent of social-ecological consequences (Quaresma et al. 2025).

    Similarly, in the Madeira River, the companies responsible for the hydroelectric complex, Jirau Energia and Santo Antônio Energia, have conducted hydrobiochemical monitoring in the downstream region. However, their assessments have consistently overlooked the downstream impacts on the várzea social-ecological system. In this context, our findings strongly recommend that ribeirinho communities of the Madeira River adopt an independent monitoring protocol inspired by the Xingu River experience. To implement such a monitoring system, we propose establishing partnerships with research institutions (e.g., Federal University of Rondônia - UNIR, and the National Institute for Amazonian Research - INPA), agroextractivist cooperatives, and local NGOs. Through these collaborations, ribeirinho residents could be trained by scientists to apply diverse monitoring methods that integrate local knowledge with scientific knowledge. The downstream region of the MHC is a particularly suitable setting for this collaborative monitoring system, as it could be built based on previous initiatives, such as the ForestFisher project, which supported participatory monitoring of artisanal fishing (Biodiversa+ 2024).

    Decision makers must recognize the unique vulnerabilities of ribeirinho communities living downstream of the Madeira Hydroelectric Complex and implement mitigation actions that restore hydrological conditions as closely as possible to natural flow patterns. Access to water is a fundamental right, not a commodity, and downstream communities must have real-time access to river flow information to adapt their livelihoods accordingly. A truly sustainable future for the Madeira River depends on revitalizing várzea-based value chains, preserving both ecological integrity and social resilience while preventing harmful activities such as illegal mining. In this sense, the sustainability of the Madeira River’s várzea social-ecological system requires integrating scientific assessments with local knowledge, prioritizing community-led solutions.

    RESPONSES TO THIS ARTICLE

    Responses to this article are invited. If accepted for publication, your response will be hyperlinked to the article. To submit a response, follow this link. To read responses already accepted, follow this link.

    AUTHOR CONTRIBUTIONS

    Conceptualization: GSL, RB, and EM. Fieldwork: GSL and JOG. Data analysis: GSL. Writing – original draft: GSL, RB, and EM. Writing – review and editing: GSL, RB, and EM. All of the authors contributed to and discussed further analyses and commented on various versions of the manuscript.

    ACKNOWLEDGMENTS

    We thank the Postgraduate Program in Environment and Society (PPGA&S) at the University of Campinas for academic support. This work was financed by the São Paulo Research Foundation (FAPESP) through the project “After Hydropower Dams: Social and Environmental Processes Post-Construction in the Brazilian Amazon” (2019/17113-9), led by Dr. Emilio Moran. FAPESP also funded Guilherme Lobo’s PhD scholarship (2020/07037-0) and a Research Scientific Internship Grant (2022/13330-8) at the University of Stirling, UK, and Dr. Ramon Bicudo’s scientific grants (2022/16002-1 and 2023/15877-7). We also extend our gratitude to Silvia Mandai for permitting the use of her photograph taken at the Madeira River, to IEPEAGRO for sharing soil data, and to Dr. Thiago Sanna Silva and Dr. Mariluce Paes for their valuable suggestions. Finally, we are deeply grateful to all the ribeirinhos of the Madeira River for their participation and support.

    Use of Artificial Intelligence (AI) and AI-assisted Tools

    N/A

    DATA AVAILABILITY

    The data and code that support the findings of this study are openly available in the University of Campinas (Brazil) repository named Repositorio de Dados de Pesquisas da UNICAMP (REDU) at https://doi.org/10.25824/redu/1WTNAC. The data set consists of responses from anonymous semi-structured interviews, soil data, and R, Google Earth Engine, and Colab scripts. Ethical approval for this research study was granted by University of Campinas Ethical Committee (CEP: 61440222.9.0000.8142).

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    Corresponding author:
    Guilherme Lobo
    guisousalobo@gmail.com
    Fig. 1
    Fig. 1. Illustration of topographic gradients, water column variation, agricultural and extractivism practices, and vegetation in the <em>várzea</em> of the Madeira River. Source: Authors.

    Fig. 1. Illustration of topographic gradients, water column variation, agricultural and extractivism practices, and vegetation in the várzea of the Madeira River. Source: Authors.

    Fig. 1
    Fig. 2
    Fig. 2. Study area with river gauges used in hydrological analysis. Surveyed <em>ribeirinho</em> communities: Cujubim Grande, São Carlos, Nazaré, and Calama. Source: Prepared by the authors using data from IBGE (boundaries), ANA (gauges and dams), SEDAM-RO (communities), and Pekel et al. 2016 (hydrography).

    Fig. 2. Study area with river gauges used in hydrological analysis. Surveyed ribeirinho communities: Cujubim Grande, São Carlos, Nazaré, and Calama. Source: Prepared by the authors using data from IBGE (boundaries), ANA (gauges and dams), SEDAM-RO (communities), and Pekel et al. 2016 (hydrography).

    Fig. 2
    Fig. 3
    Fig. 3. Mean monthly Pardé coefficients (± standard deviation) for the Madeira River, a normalized indicator average monthly flow divided by the annual average flow, comparing pre-dam (1967–2012) and post-dam (2013–2022) at the Porto Velho and Humaitá gauges, from 1967 to 2022.

    Fig. 3. Mean monthly Pardé coefficients (± standard deviation) for the Madeira River, a normalized indicator average monthly flow divided by the annual average flow, comparing pre-dam (1967–2012) and post-dam (2013–2022) at the Porto Velho and Humaitá gauges, from 1967 to 2022.

    Fig. 3
    Fig. 4
    Fig. 4. Indicators of short-term flood pulse variability based on flow daily data (m3 s–1 day–1) from 1967 to 2022. Plots show pre-dam (1967–2012) and post-dam (2013–2022) mean (± standard deviation) for (a) flow rise rates, (b) flow fall rates, and (c) the number of flow reversals at gauges located 5 km (Porto Velho) and 250 km (Humaitá) downstream of the dam. Asterisks reveal significant differences between the pre and post-dam periods (Wilcox test, <em>p</em> < 0.05).

    Fig. 4. Indicators of short-term flood pulse variability based on flow daily data (m3 s–1 day–1) from 1967 to 2022. Plots show pre-dam (1967–2012) and post-dam (2013–2022) mean (± standard deviation) for (a) flow rise rates, (b) flow fall rates, and (c) the number of flow reversals at gauges located 5 km (Porto Velho) and 250 km (Humaitá) downstream of the dam. Asterisks reveal significant differences between the pre and post-dam periods (Wilcox test, p < 0.05).

    Fig. 4
    Fig. 5
    Fig. 5. Dimensionless hydropeaking indicator (HP1) for the Madeira River using hourly flow data from the Abunã gauge (green, upstream, non-impacted) and the Porto Velho gauge (red, < 5 km downstream of Santo Antônio dam, impacted). The indicator shows the hourly rate of flow change, calculated as the difference between maximum and minimum flow divided by the daily mean. The Wilcoxon test revealed a significant difference between impacted and non-impacted regions (<em>p</em> < 0.001).

    Fig. 5. Dimensionless hydropeaking indicator (HP1) for the Madeira River using hourly flow data from the Abunã gauge (green, upstream, non-impacted) and the Porto Velho gauge (red, < 5 km downstream of Santo Antônio dam, impacted). The indicator shows the hourly rate of flow change, calculated as the difference between maximum and minimum flow divided by the daily mean. The Wilcoxon test revealed a significant difference between impacted and non-impacted regions (p < 0.001).

    Fig. 5
    Fig. 6
    Fig. 6. (a) Bean, manioc, and squash plantations managed by <em>riberinhos</em> in the low <em>várzea</em> of the Nazaré community, September 2011. Photo by J. Gil taken during Institute for Agri-Environmental Studies and Research and Sustainable Organizations (IEPAGRO) fieldwork. (b) Illegal gold mining platforms on the Madeira River contrasted with a squash plantation in the high-<em>várzea</em> during the interviews (October 2023). Photo by S. Mandai.

    Fig. 6. (a) Bean, manioc, and squash plantations managed by riberinhos in the low várzea of the Nazaré community, September 2011. Photo by J. Gil taken during Institute for Agri-Environmental Studies and Research and Sustainable Organizations (IEPAGRO) fieldwork. (b) Illegal gold mining platforms on the Madeira River contrasted with a squash plantation in the high-várzea during the interviews (October 2023). Photo by S. Mandai.

    Fig. 6
    Table 1
    Table 1. Soil chemical parameters for 2011 and 2023 samples of each <em>várzea</em> topographic gradient (low and high <em>várzea</em>) in the <em>ribeirinho</em> communities located downstream of the Madeira Hydroelectric Complex, Porto Velho, Brazil.

    Table 1. Soil chemical parameters for 2011 and 2023 samples of each várzea topographic gradient (low and high várzea) in the ribeirinho communities located downstream of the Madeira Hydroelectric Complex, Porto Velho, Brazil.

    Chemical parameters Cujubim Grande São Carlos Nazaré Calama
    Low-várzea High-várzea Low-várzea High-várzea Low-várzea High-várzea Low-várzea High-várzea
    2011 2023 2011 2023 2011 2023 2011 2023 2011 2023 2011 2023 2011 2023 2011 2023
    pH 5.4 5.2 5.7 5.1 5.5 5.3 6.7 4.7 6.2 6 5.4 5.3 5.6 5.9 4.2 5.1
    P (mg/dm³) 45 15 30 21 86 18 80 84 79 50 75 21 83 27 3 21
    K (mmcolc/dm³) 2 1.1 1.2 1.9 1.9 1.3 2 0.4 3.6 0.6 3 0.8 2.3 0.6 0.7 1.9
    Ca (mmcolc/dm³) 51 40 48.8 17 72.4 17 60.5 18 15.5 18 18.9 17 63.8 15 2.2 17
    Mg (mmcolc/dm³) 27 16 24.2 7 31.2 8 34.2 3 5.1 4 6.4 14 24.8 5 1.8 7
    Al+H (mmcolc/dm³) 36.3 17 16.5 14 16.5 13 8.3 11 54.5 8 75.9 12 14.9 9 113.9 14
    MO (g/kg) 3 7 9.9 4 6.2 6 7.6 3 14.3 2 16.4 3 6.2 7 39.1 4
    V (%) 61 77 77 69 86 67 92 66 53 74 45 73 86 70 4 65
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    Home > VOLUME 30 > ISSUE 3 > Article 32 Research

    Nutrient deficit rather than distance of farming activities from the boundary of protected areas drives crop raids by elephants

    Chama, L., S. M. Siachoono, and D. Phiri. 2025. Nutrient deficit rather than distance of farming activities from the boundary of protected areas drives crop raids by elephants. Ecology and Society 30(3):32. https://doi.org/10.5751/ES-16116-300332
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    • Lackson ChamaORCIDcontact author, Lackson Chama
      Copperbelt University, School of Natural Resources, Department of Zoology and Aquatic Sciences, Kitwe, Zambia
    • Stanford Mudenda SiachoonoORCID, Stanford Mudenda Siachoono
      Copperbelt University, School of Natural Resources, Department of Zoology and Aquatic Sciences, Kitwe, Zambia
    • Darius PhiriORCIDDarius Phiri
      Copperbelt University, School of Natural Resources, Department of Plant and Environmental Sciences, Kitwe, Zambia

    The following is the established format for referencing this article:

    Chama, L., S. M. Siachoono, and D. Phiri. 2025. Nutrient deficit rather than distance of farming activities from the boundary of protected areas drives crop raids by elephants. Ecology and Society 30(3):32.

    https://doi.org/10.5751/ES-16116-300332

  • Introduction
  • Methods and Materials
  • Results
  • Discussion
  • Conclusions
  • Acknowledgments
  • Author Contributions
  • Acknowledgments
  • Data Availability
  • Literature Cited
  • agricultural crops; crop raid; elephants; food quality; natural vegetation
    Nutrient deficit rather than distance of farming activities from the boundary of protected areas drives crop raids by elephants
    Copyright © by the author(s). Published here under license by The Resilience Alliance. This article is under a Creative Commons Attribution 4.0 International License. You may share and adapt the work provided the original author and source are credited, you indicate whether any changes were made, and you include a link to the license. ES-2025-16116.pdf
    Research

    ABSTRACT

    Human-wildlife conflicts resulting from the raiding of agricultural crops by elephants are among the major challenges affecting the conservation of this flagship species. Several studies have pointed at human activities, such as farming nearer to protected areas boundaries, as the main driver of these conflicts. Studies comparing the quality of food between agricultural crops and the natural vegetation in the elephants’ natural habitats as the potential key driver of these conflicts, are almost non-existent. We tested if there were differences in the incidences of crop raids with distance of farming away from protected area boundaries. Further, we compared the food quality of agricultural crops to the natural vegetation in the mammals’ habitat in and around Kasanka National Park in Zambia. Surprisingly, there was no difference in the incidences of crop raids relative to the distance of farming away from the protected area boundary. Further, the results show higher protein, energy, and moisture composition in the often-raided agricultural crops than the natural vegetation. However, the natural vegetation had higher ash, vitamin C, and fiber composition relative to agricultural crops. Broadly, our results suggest that the natural vegetation in the wild may not necessarily have all the key nutrients in adequate proportions to meet the body requirements of elephants. Therefore, elephants raid the crops to compensate this nutrient deficit, irrespective of how far the farms may be situated from the boundaries of protected areas.

    INTRODUCTION

    Human-wildlife conflicts are increasingly becoming one of the major challenges affecting global conservation efforts. The problem is especially prominent in Africa and Asia, where many countries are host to a rich biological resources base, but are crippled with many challenges, among which include an ever-increasing human population (World Bank 2022; Suzuki 2019, World Bank blog, https://blogs.worldbank.org/opendata/worlds-population-will-continue-grow-and-will-reach-nearly-10-billion-2050), contention for space (Shaffer et al. 2019), struggles to balance economic development and nature conservation (El-Ashry 1993, Alexander and Whitehouse 2004, Cao et al. 2021), coupled with insufficient capacity to manage these resources (Hussain 2023). Large mammals like elephants (Loxodonta africana) have been shown to be at the heart of most of these conflicts (Naughton-Treves 1997, Quirin 2005, Wang et al. 2006a, Warren 2009), because their foraging behavior is characterized by expansive home-range needs (Karanth and Sunquist 2000, Fernando et al. 2008a, b), forcing them to compete directly with humans for limited space and resources (Goswami et al. 2014, Hoare 2015, Youldon et al. 2017, Shaffer et al. 2019).

    Human-elephant conflicts are further heightened by human activities that encroach on elephant habitat (Leimgruber et al. 2003, Acharya et al. 2017, Di Minin et al. 2021, Gobush et al. 2021), such as farming either close to the boundaries of protected areas or along wildlife migration corridors (Wang et al. 2006b, Linkie et al. 2007, Strum 2010, Fungo 2011). Over the years, these interactions have resulted into either the decimation of the mammal’s populations or destruction of their habitats by humans (Hance 2013). For example, the population of African elephants is said to have declined from 3–5 million to between 470,000 and 690,000 over the last 100 years, while that of the Asian elephant declined from 100,000 to between 35,000 and 50,000 in the same period, mainly due to habitat loss and conflicts with humans (WWF 2002). In countries such as India, Kenya, and Sri Lanka, up to 100, 120, and 200 annual elephant mortalities have been reported, respectively, resulting from conflicts with humans (MOEF 2010, Santiapillai et al. 2010, Fernando and Pastorini 2011, Shaffer et al. 2019).

    Human fatalities of varying proportions have also been reported across several countries (e.g., see Mariki et al. 2015, Köpke et al. 2024). With the projected further increase in human population (World Bank 2022; Suzuki 2019, World Bank blog), this will increasingly draw both elephants and humans closer to each other, and will potentially escalate the incidences of human-elephant conflicts (Leimgruber et al. 2003, Shannon et al. 2009, Das and Chattopadhyay 2011, Montez and Leng 2021). Therefore, unless a tangible solution is in place, this will continue to undermine elephant conservation efforts and may reciprocally result into substantial damage to human grown crops, threatening livelihoods, human life and property by elephants (Acharya et al. 2017, Shaffer et al. 2019, Eustace et al. 2022). However, addressing human-elephant conflicts also calls for the examination of evidence from a growing body of studies suggesting that these, often fatal, interactions are somehow triggered by the variation in the nutritional quality of food between agricultural crops and the vegetation in the mammals’ natural habitats (Sukumar 1990, Rode et al. 2006, Pokharel et al. 2019, Vogel et al. 2020; Vogel et al. 2019, unpublished manuscript). Generally, agricultural crops have been shown to have superior nutritional quality compared to the natural vegetation in the wild. This observation has been made in both Africa (e.g., Rode et al. 2006, Branco et al. 2019, Vogel et al. 2020; Vogel et al. 2019, unpublished manuscript) and Asia (e.g., Sukumar 1990, Pokharel et al. 2019), potentially suggesting that food nutrients composition (henceforth referred to food quality) is likely to be an important factor in driving the elephant’s optimal foraging behavior and patterns of habitat use, including the raiding of agricultural crops (Pretorius et al. 2012; Vogel et al. 2019, unpublished manuscript).

    Establishing the key drivers of human-elephant conflicts is essential if the future of these animals and the livelihoods of affected communities are to be ascertained. Certainly, food quality is critical in defining the fitness of wild animals (Nyambe et al. 2017). For example, some studies have shown that poor food quality could reduce the growth rate of an organism or even cause failure to reproduce or premature death (Chapman and Reiss 1992, Bolen and Robison 1995). Many wild herbivores in particular have long been shown to be largely limited by the availability of protein in their diet (Bell 1969), especially during non-growing seasons (Schmidt and Snyman 2010).

    Given that food quality of plants can be influenced by environmental parameters such as geographical location, climate, soil type, fertility, and moisture (Yang et al. 2018), it remains unclear as to what extent the food quality of agricultural crops will remain higher than that of wild vegetation. The influence of food quality could particularly be true in a country like Zambia, given that the raiding of human grown crops by elephants is more prominent in the growing season (Nyirenda et al. 2011), during which there is a comparable availability of food resources in both human farms and the elephant’s natural habitats (Clegg and O'Connor 2017). In this case, crop raiding is unlikely to be driven by the scarcity of food in the wild. Thus, studies on human-wildlife conflicts should not only focus on the location of agricultural fields away from the boundary of protected areas or wildlife migration corridors, but also on parameters of food quality and the role they could potentially play in driving elephants toward the raiding of crops. This may help generate information that could contribute toward finding a lasting solution to meaningfully reduce these conflicts.

    Food nutrients such as protein, energy, ash, moisture, vitamin C, and fiber have been shown to be particularly critical in the diet of elephants. For example, elephants tend to select foods that are high in protein, energy, and ash, albeit wild plants have been shown to be lower, especially in protein and minerals than agricultural crops (Sukumar 1989, Osborn 1998). Thus, as Rode et al. (2006) suggested, these differences in nutrient composition could be used by elephants to raid agriculture crops to supplement deficient diets in the wild (McDowell 1997). Moisture content of the food determines its quality prior to consumption, especially in the context of texture, taste, appearance, and freshness (AOAC 1995, Isengard 2001, Nyambe et al. 2017). Thus, its presence enhances the palatability of animal food. And adequate dietary vitamin C has been shown to act as an immunomodulatory agent, a critical prophylaxis especially for the prevention of several viral infections (e.g., Elephant endotheliotropic herpesvirus hemorrhagic disease) that often affect elephants (Mousavi et al. 2019). Further, Carr and Maggini (2017) have shown that vitamin C is important for stimulating neutrophil migration to sites of infection, where it enhances phagocytosis, oxidant generation, and microbial killing, whilst simultaneously protecting the host tissue from excessive damage, i.e., by enhancing neutrophil apoptosis and clearance by macrophages, and decreasing neutrophil necrosis and NETosis. Thus, the presence of vitamin C in the diet is necessary for the immune system to mount and sustain an adequate response against pathogens (Carr and Maggini 2017, Colunga et al. 2020). Obviously, dietary fiber plays an important role in the health of animals (Adiotomre et al. 1990, Prosky 2000, Montagne et al. 2003, Cummings et al. 2004, DeVries 2004). However, the overly disproportionate increase in fiber composition has been shown to trigger a significant decrease in the quality of animal food in the wild, as it leads to low moisture, protein, energy, and vitamin C composition (Pei et al. 2001, Nyambe et al. 2017). Thus, a higher dietary fiber diet could potentially lead to deficiencies in these critical nutrients (Schmidt and Snyman 2010) and has been shown to reduce subjective appetite, energy intake, and body weight in some animals (Wanders et al. 2011).

    The aim of this study is to increase understanding of the key drivers of human-elephant conflicts for enhanced conservation and ascertaining the livelihoods of affected or vulnerable communities. We tested if there is a difference in the incidences of crop raids by elephants at three distances (of farming) away from the boundaries of protected areas (namely, Kasanka National Park and the nearby wildlife migration corridor). Further, we compared the food quality of agricultural crops to the natural vegetation in the mammals’ habitat in and around Kasanka National Park in Zambia. We predicted that (1) the incidences of crop raids by elephants remained a major problem in our study area, potentially compromising the livelihoods of the majority of households and undermining elephant conservation efforts, (2) the escalation of human-elephant conflicts is not necessarily driven by the location of farming activities in proximity to either the boundary of protected areas or elephant migration corridors, as has been suggested by some studies, and (3) the food quality of agricultural crops is superior to that of the natural vegetation in the elephant’s habitats and this is likely to trigger the raiding of crops by elephants (McDowell 1997, Rode et al. 2006, Pretorius et al. 2012, Branco et al. 2019).

    METHODS AND MATERIALS

    Study area

    The study was undertaken in and around Kasanka National Park, a protected area located in the Central province of Zambia (12° 30′S, 30° 14′E; Fig. 1). The park, which hosts a population of approximately 50 elephants, is completely surrounded by the Kafinda Game Management Area (KGMA). The KGMA (3491 km²) shares boarders with the Bangweulu wetlands and Lavushi Manda National Park in the north, the Muchinka Chiefdom in the south, Mpika district in the east, and an international boundary with the Democratic Republic of Congo in the west. Both Kasanka National Park and Lavushi Manda National Park are currently under public-private partnership management regimes. Moreover, the two national parks share an elephant migration corridor. Situated at an elevation of 1200 m (approximately) above sea level, the area occurs in a predictably high rainfall region (1000 and 1300 mm annually). The rainfall activities are largely triggered by the Congo air-mass that moves south into Zambia. The area is characterized by a series of highly connected natural forest habitats stretching far-beyond the boundaries of the park into human farming areas. The vegetation is predominantly Miombo woodland, the largest forest type in Zambia, characterized by thin, nutrient-poor, and acidic soils, overlaying an iron-rich lateritic rock (Kennedy et al. 2008). The Miombo is dominated by leguminous trees, notably those of the genera Brachystegia, Julbernardia, and Isoberlinia. Traces of Chipya woodland also occur on deep soils in a few places (Smith et al. 2000, Smith and Fisher 2001). The area is also characterized by patches of evergreen swamp forest and is host to abundant wetland habitats, including perennial rivers as well as seasonal, permanent, and floodplain wetlands and lakes, especially toward the Chambeshi and Luapula Rivers further north (Byng 2008, Kennedy et al. 2008). These wetland habitats are partly connected or linked to the Bangweulu swamps, one of the largest marshes in the world and internationally recognized as a Ramsar site (Fig. 1). The most important water bodies in the KGMA are the Luapula and the Lulimala rivers, both sharing boarders with the Bangweulu wetlands. The Luapula River is the main source of water for the Congo River (Kennedy et al. 2008). Thus, the area is an important catchment area, endowed with a rich freshwater resource base. Effectively, this suggests that access to naturally existing water may not be a nutritional challenge for elephants and other animals existing within this ecosystem.

    The local people and livelihoods

    Host to a few clusters of sparsely populated human settlements, the area is home to the Bemba-Lala speaking people of Chief Chitambo’s chiefdom (Chama et al. 2023). The Chief owns the land and he is the supreme leader of the people locally, but subject to the President of the Republic of Zambia. The traditional leadership is decentralized into village clusters. Each cluster is led by a Chilolo (i.e., Chief’s cabinet minister representing each cluster) while villages are led by Village heads. The area is one of the remotest and most socioeconomically isolated in the country. Small-scale agriculture is the main occupation and source of livelihoods in the area (Eriksen 2004, Kennedy et al. 2008, Chama et al. 2023). Most of these farming activities are undertaken near the boundaries of Kasanka National Park while some occur along the elephant migration corridor linking Kasanka National Park to Lavushi Manda National Park. The distance between the two national parks is approximately 70 km.

    Field observations

    Between November 2017 and March 2018 and November 2022 and January 2023, fieldwork was undertaken both inside and outside Kasanka National Park.

    Monitoring elephants feeding inside Kasanka National Park

    In the park, fieldwork was characterized by the observations of elephants during their feeding activities to record and determine their food plant species preferences (i.e., following Chiyo et al. 2005, Koirala et al. 2016). These observations, which lasted for a period of two weeks, were conducted at six different sites, namely (i) Fibwe hide, (ii) Kabwe, (iii) Kafubashi dambo, (iv) Kapabi swamp, (v) Lake Wasa II, and (vi) Songa (Fig. 1). The observations were dependent on the total time that elephants took feeding at each site (lasting between 15 and 40 mins) before they moved out. Observations were repeated at least twice when elephants were seen revisiting each of these sites. Three observers, (accompanied by one game scout) were involved in physically tracking and observing the elephants inside Kasanka National Park. We then collected vegetation samples from all plants on which the animals were seen feeding in each site.

    Monitoring elephants feeding outside the park

    We repeated the observations outside the park to determine the food preferences of elephants when raiding agricultural crops, i.e., with the aid of camera traps (TOGUARD 2" Mini Trail Camera 20MP 1080P), following Berezin et al. (2023) and Davis et al. (2023). Here, we used camera traps because elephants often raided agricultural crops in late night hours, when most farm owners would be fast asleep, making it practically challenging to observe the mammals. Camera traps have been widely used to either identify individuals (Karanth and Nichols 1998, Silver et al. 2004) or investigate behavior that could be challenging to study using direct observations (Griffiths and van Schaik 1993, Smit et al. 2019). Six camera traps (i.e., three traps at each distance [2 km, 10 km, 20 km] from the protected area boundary) were placed on different days in each of six villages sharing borders with protected areas. Among these (six villages) included three off the boundary of Kasanka National Park (namely, Chalilo, Mapepala, and Mpelembe; Fig. 1) and another three off the boundary of the elephant migration corridor (namely, Chiundaponde, Kasamba, and Musangashi villages; Fig. 1). We used 20 km as the maximum distance because both African and Asian elephants have been estimated to travel an average of 5–10 km each day when living in non-extreme environmental conditions (Rowell 2014). Thus, we only expected this average distance to move to 20 km or beyond in extreme conditions or when elephants are lacking sufficient supplies of resources (e.g., food, water, etc.; Viljoen 1989, Spinage 1994). At each distance across villages, camera traps were placed in three randomly selected crop fields for a period of 72 hours before moving to the next village. We then took note of all crops on which elephants were recorded feeding in each field.

    Socioeconomic survey among communities living outside protected areas

    We conducted a socioeconomic survey in each of the six villages with the aid of semi-structured questionnaires (Appendix 1), interviewing communities (n = 108 households, comparable to Amwata and Mganga 2014) located at different distances (namely, 2 km, 10 km, 20 km) away from the Kasanka National Park Boundary (KNPB) and the elephant migration corridor (EMC) between Kasanka National Park and Lavushi Manda National Park. In each village, at least 15 farmers or household heads (i.e., ≥ 5 individuals at each distance) were randomly selected and interviewed in this survey. We recruited and trained five community enumerators who helped in administering the questionnaires to all selected household heads across villages. The surveys involved collecting information on the communities’ main sources of livelihoods, incidences of crop raids (i.e., the number of times their fields have been raided), and the type of crops grown. Further (and most importantly), the survey also verified with the local people if the types of crops on which the elephants were captured feeding (by the camera traps) are the most targeted on their respective farms. Similarly, food samples were collected from all crops verified by communities as most targeted by elephant raids.

    Handling and analysis of food samples

    In both Kasanka National Park and outside, at least 1 kg of vegetation sample was cut and collected with the aid of pruning shears. The samples (n = 48) were packed in kaki paper envelopes and weighed using a digital scale calibrated in grams. They were then stored in a cool box while they were transported from the field to the food chemistry laboratory at the University of Zambia within 48 hours of collection. At the laboratory, collected vegetation samples were subjected to food quality (protein, energy, moisture, ash, vitamin C, and fiber) analysis. Protein was determined by means of the Kjeldahl method and calculated using a conversion factor of 6.25% (Kjeldahl 1883, Levey et al. 2000, Latimer 2016, Mæhre et al. 2018). Energy content (kJ/g) was determined by exposing food samples to combustion at high pressure in bomb calorimetry (Rodríguez-Añón and Proupin-Castineiras 2005). Ash content (% ash) was determined gravimetrically via dry ashing of vegetation samples (approx. 100 g each) in a muffle furnace at 600 °C for 14 hour (Liu 2019). Vitamin C was determined by means of a high-performance liquid chromatography (RP-HPLC) with ultraviolet detection (Gazdik et al. 2008, Mazurek and Włodarczyk-Stasiak 2023), while total dietary fiber was determined by the enzymatic-gravimetric method and liquid chromatography. Here, each vegetation sample was subjected to extended enzymatic digestion at 37 °C to simulate human intestinal digestion followed by gravimetric isolation (Garbelotti et al. 2003, McCleary et al. 2010, McLeary and McLoughlin 2022).

    Statistical analysis

    During data analysis, we first used linear mixed-effects model fit by REML to test if the incidences of crop raids differed at varying distances (i.e., 2 km, 10 km, and 20 km) away from either KNPB or the EMC. Here, we used incidences of crop raids against distance as fixed effects, while distance nested in village name/location were used as the random effects. Secondly, we used analysis of variance to test if food quality differed among plant types or species (i.e., a variety of food plants on which elephants fed, inclusive of both agricultural crops and the natural vegetation in Kasanka National Park). In this analysis, plant type was used as a predictor while food quality (protein, energy, moisture, ash, vitamin C, and fiber) was used as the response. We then used the post-hoc test with Tukey Honest Significant Difference to tell if and where differences occurred in food quality among individual species of food plants. All the above statistical analyses were performed in R Version 3.0.2 (R Development Core Team 2006, Pinheiro et al. 2012). Socioeconomic data, which was largely centered on assessing the livelihoods and incidences of crop raids by elephants were analyzed with the aid of Microsoft excel (2013) following Amwata and Mganga (2014).

    RESULTS

    Livelihoods of the local people[1]

    Of the 108 household heads that were interviewed, 44% and 56% were female and male, respectively. The main sources of livelihoods in the area include small-scale crop husbandly (i.e. practiced by 98% [n = 106] of the population). Several crops are grown, but the most common and socioeconomically important crops (selected based on frequency of appearance on the list of crops given by farmers), are grown either as single (monocropping) or part of a cluster of several other crops grown simultaneously (intercropping) by individual households. These crops include maize (Zea mays, henceforth referred to as Agr1 [grown by 98% of the population]), cassava (Manihot spp., Agr2 [94%]), pumpkins (Cucurbita spp., Agr3 [54%]), ground nuts (Arachis spp., Agr4 [67%]), and sweet potatoes (Ipomoea spp., Agr5 [27%]), finger millet (Eleusine spp., Agr6 [25%]), and beans (Phaseolus spp., Agr7 [16%]). The majority (87%, n = 94) of the household-heads interviewed grew most of these crops for both food production and income generation. The income generated from the sale of these crop products is critical for supporting the well-being of these households in the area.

    Incidences of crop raids by elephants

    The mean frequency of incidences of raids in the EMC (2 ± 1) were similar to those in areas surrounding the KNPB (4 ± 1) during the past five years (F (1, 4) = 1.235; p > 0.05). Seventy-five (69.4%) of the households interviewed experienced incidences of crop raids by elephants on their farms. Among the crops grown by the local people, maize (Agr1; mentioned by 82%, n = 89 of the respondents), cassava (Agr2; 71%, n = 77), and pumpkins (Agr3; 54%, n = 58), respectively, were the most targeted by elephants. The number of individuals in each herd of elephants that was seen raiding crops ranged from 11 to 27 across villages. In the park, elephants were repeatedly seen feeding on four natural vegetation species, namely White thorn (Senegalia [Acacia] polyacantha; henceforth referred to as Wld1; number of elephant feeding visits [n = 14]), Rice grass (Oryzopsis spp.; Wld2; n = 11), Common reed (Phragmites australis; Wld3; n = 5), and Guinea grass (Megathyrsus maximus; Wld4; n = 13). Rice grass (Wld2) plants were particularly highly sought after by the mammals, albeit they could only be found in a couple of small clusters of swamps (Kafubashi and Kapabi areas) located in the middle of Kasanka National Park (Fig. 1).

    Effects of distance of farming activities on incidences of crop raid by elephants

    No difference occurred in incidences of crop raids across distances of farming activities away from either the KNPB or the EMC (F (2,102) = 1.80; p > 0.05; Fig. 2). Of all the elephant crop raid incidences recorded in the area (69.4%, see above), 29 (26.89%), 30 (27.78%), and 16 (14.81%) occurred within a radius of 2 km, 10 km, and 20 km, respectively, away from either the KNPB or EMC. Of the 26.89% incidences within the 2 km radius, 16 (55%) occurred in the KNPB while 13 (45%) occurred in the EMC areas. Of the 27.78% incidences that occurred in the 10 km radius, 18 (60%) occurred in the KNPB while 12 (40%) occurred in the EMC areas. And of the 14.81% that occurred in the 20 km radius, 9 (56%) occurred in the KNPB while 7 (44%) occurred in the EMC areas.

    Food quality across plant types

    The mean protein composition differed significantly across plant types (F (6, 41) = 33.39; p <0.0001; Fig. 3a). It was higher (per 100 g wet weight) for maize (Agr1; 4.02 ± 0.58%) than cassava (Agr2; 3.02 ± 0.27%), pumpkin (Agr3; 1.94 ± 0.51%), white thorn (Wld1; 1.61 ± 0.49%), rice grass (Wld2; 2.98 ± 0.17%), common reed (Wld3; 1.42 ± 0.27%), and guinea grass (Wld4; 1.64 ± 0.46%). Protein composition for cassava (Agr2) remained similar to rice grass (Wld2; p > 0.05), both of which were, however, significantly higher than the rest of the plants.

    The mean total ash content (per 100 g dry weight) differed significantly across food plant types (F [6, 41] = 21.12; p < 0.0001; Fig. 3b). Generally, it was higher among wild plants than agricultural crops. For example, ash content for white thorn (Wld1; 3.8 ± 0.94%) was higher than maize (Agr1; 1.57 ± 0.89%), cassava (Agr2; 1.43 ± 0.12%), and pumpkin (Agr3; 1.00 ± 0.27%). Similarly, the mean total ash content for rice grass (Wld2; 3.54 ± 0.44), common reed (Wld3; 4.12 ± 0.27%), and guinea grass (Wld4; 3.11 ± 0.40%) were each significantly higher than maize, cassava, and pumpkin. No difference occurred in ash content either among agricultural crops or among wild plants (p > 0.05).

    The mean moisture content (per 100 g wet weight) differed significantly across food plants (F [6, 41] = 41.29; p < 0.0001; Fig. 3c). It was higher for pumpkin (Agr3; 86.75 ± 3.26%) than maize (Agr1; 45.02 ± 10.81%), cassava (Agr2; 58.62 ± 2.35%), white thorn (Wld1; 47.42 ± 6.97%), rice grass (Wld2; 59.08 ± 8.91%), common reed (Wld3; 58.74 ± 5.60%), and guinea grass (Wld4; 59.98 ± 4.34%). No difference in moisture content occurred among the rest of the food plants (p > 0.05).

    Although the mean fiber content (per 100 g dry weight) for white thorn (Wld1; 3.25 ± 0.51%) and guinea grass (Wld4; 2.77 ± 0.32%) remained similar, both of them were generally significantly higher than the rest of the food plants, namely maize (Agr1; 1.64 ± 0.29%), cassava (Agr2; 1.88 ± 0.12%), pumpkin (Agr3; 1.72 ± 0.45%), rice grass (Wld2; 0.96 ± 0.15%), and common reed (Wld3; 1.76 ± 0.13%; F [6, 41] = 15.89; p < 0.0001; Fig. 3d). Besides being lower than white thorn and guinea grass, the fiber content for rice grass was also significantly lower than maize, cassava, pumpkin, and common reed.

    The mean energy content (per 100 g wet weight) differed significantly across food plant types (F [6, 41] = 57.66; p < 0.0001; Fig. 3e). It was higher for cassava (Agr2; 434.67 ± 26.31 KJ/g) than maize (Agr1; 212.32 ± 50.02 KJ/g), pumpkin (Agr3; 41.37 ± 14.78 KJ/g), white thorn (Wld1; 203.94 ± 68.26 KJ/g), rice grass (Wld2; 139.61 ± 21.46 KJ/g), common reed (Wld3; 146.39 ± 23.07 KJ/g), and guinea grass (Wld4; 136.42 ± 15.53 KJ/g). Although lower than cassava, the energy content for maize was significantly higher than both pumpkin and guinea grass. In fact, energy content for pumpkin was also lower than each of the remaining plant types (p < 0.05), i.e., besides cassava. However, no differences in energy content occurred among the rest of the food plant types (p > 0.05).

    The mean vitamin C content (per 100 g wet weight) differed significantly across food plant types (F [6, 41] = 27.0; p < 0.0001; Fig. 3f). It was higher for white thorn (Wld1; 113.74 ± 3.96 mg/g) than maize (Agr1; 71.37 ± 20.03 mg/g), cassava (Agr2; 0.77 ± 0.22 mg/g), pumpkin (Agr3; 82.35 ± 14.39 mg/g), and common reed (Wld3; 0.87 ± 0.06 mg/g). However, mean vitamin C content for white thorn remained similar with rice grass (Wld2; 92.65 ± 4.58) and guinea grass (Wld4; 92.30 ± 11.70) (p > 0.05).

    DISCUSSION

    Our results show that human-elephant conflicts remain a major problem in the study area, as nearly 70% of the households interviewed experienced several incidences of crop raids by elephants on their farms, which agrees with our first prediction. Secondly, the distance of farming activities away from the boundary of protected areas had no effect on the incidences of crop raids by elephants, as elephants raided all farms irrespective of how far they were located relative to the boundary of protected areas, and this is congruent with our second prediction. And although natural vegetation in the park had higher composition of ash, vitamin C, and fiber, our results show that it had comparatively lower composition of protein, energy, and moisture compared to agricultural crops, suggesting that the diet of elephants in the wild had a nutritional deficit in these nutrients. Thus, the elephants’ foraging decisions to raid agricultural crops could be largely driven by the need to increase their uptake of a diet rich in these elements, i.e., in line with our third prediction.

    Incidences of crop raids and livelihoods of the local people

    Clearly, human-elephant conflicts remain a major problem in the study area, as the majority of farmers still experienced several incidences of crop raids on their farms. Although several crops are grown, the major ones in the context of driving crop raids by elephants and sustaining the well-being of communities including maize, cassava, and pumpkins. The majority of these crops are predominantly grown for both income generation and as food sources by the local communities. The income generated from the sale of these crop products is the only source of income for the majority of households in the area, suggesting that any incidences of crop raids on the community’s fields by elephants could have significantly negative impacts on their livelihoods.

    Generally, communities that are dependent upon a single livelihood strategy have been shown to be particularly vulnerable in human wildlife conflict zones because of a lack of alternative income strategies (Dickman 2010, Shaffer et al. 2019, Anoop et al. 2023). For example, human-elephant conflicts were found to reduce household incomes among subsistence farmers by at least 35% in Kenya (Amwata and Mganga 2014), whereas in Tanzania, annual crop damage was equated to two months of household food loss, and reduced household cash income by 1.3% (Kaswamila et al. 2007). Similarly, elephant related conflicts cost communal farmers around US$1 million a year in Namibia, while in some Nepalese communities it can be up to around a quarter of the household incomes of poor farming families (WWF 2008). These and many other risks potentially explain why conflicts with elephants have driven many subsistence farmers (in both Africa and Asia) to either quit their settlements or stop growing food crops that attracts elephants to their farms (Dickman 2010, Barua et al. 2013, Amwata and Mganga 2014, Anoop et al. 2023). However, quitting or relocation of settlements often comes with costs, as farmers have to find or pay for new land to resettle and potentially construct new villages. Thus, unless locals are supported to venture into alternative income-generating activities (e.g., curio shops, village ecotourism, etc.), human-elephant conflicts can lead to socioeconomic deprivation and destitution among the affected communities, i.e., if left unaddressed (Dickman 2010, Barua et al. 2013). Worse still, these conflicts can compromise human appreciation for conservation of local biodiversity and undermine the potential especially for human-elephant coexistence (Hedges and Gunaryadi 2010, Graham et al. 2010, Barua et al. 2013, Anoop et al. 2023). Thus, for as long as the incidences of crop raids by elephants continue to occur in our study area, both the livelihoods (especially food security and household incomes) of the local people and the conservation of the elephants will remain under threat.

    Incidences of crop raids across distance of farming from protected areas

    Our results show that distance of farming activities away from either KNPB or EMC had no effect on the incidences of crop raids by elephants. These findings are in contrast to those from several previous studies (e.g., Andersson et al. 2013, Parker et al. 2014, Matseketsa et al. 2019) that have shown human-wildlife conflicts to have particularly been prominent among communities that either live or undertook their farming activities close to the boundaries of protected areas. In fact, other studies suggest that the incidences of crop raids by elephants were limited to within 4 to 6 km from the edge of protected areas (Gubbi 2012, Guerbois et al. 2012). However, the fact that these incidences remained similar across distances (i.e., up to 20 km) in our study area raises new questions about the correct radius of high-risk for the occurrence of human-elephant conflicts. On the one hand, our findings suggest that the maximum (20 km) distance threshold used in this study may not have been adequate to detect the effect of distance of farming activities (from the boundaries of protected areas) on crop raids by elephants. For example, elephants can walk up to 195 km per day (Elephants for Africa 2016), albeit they often only average between 5 and 10 km in non-extreme environmental conditions (Rowell 2014) and over 20 km in extreme conditions (i.e., on a daily basis; Spinage 1994, Viljoen 1989, Sukumar 2003, Leighty et al. 2009, Chiyo et al. 2014). Their movements are usually driven by a variety of factors, among which include the need for social groupings and also adjusting their foraging range relative to the distribution and availability of resources (McKay 1973, Whitehouse and Schoeman 2003, Slotow and van Dyk 2004, Leighty et al. 2009). Therefore, the 20 km (maximum) used in this study may fall within the normal daily threshold travelled by the mammals to forage for food resources. Thus, crop raid incidences were expected to remain unchanged within this distance.

    On the other hand, our findings could suggest that the distance of farming activities from the boundaries of protected areas may not necessarily be the key driver of human wildlife conflicts in our study area. Instead, other parameters, especially food quality (Osei-Owusu and Bakker 2008) may be responsible, as has been suggested by previous research (Nyhus 2016). In this case, the findings of the current research agree with our prediction that the escalation of human wildlife conflicts was not necessarily driven by the farms’ location relative to the boundary of protected areas, as has been suggested by previous studies (Andersson et al. 2013, Parker et al. 2014, Matseketsa et al. 2019). This may especially be true in our study area, given that it is a game management area that is host to a few clusters of sparsely populated human settlements and a series of highly connected natural forest habitats stretching far beyond the boundaries of protected areas into human farming areas. Potentially, these conditions provide a conducive environment for elephants to traverse and raid nutritious agricultural crops far from the edges of the protected areas. And the fact that these incidences remained similar between KNPB and EMC could be explained by the fact that farming activities by communities in both areas were centered on the growing of nutritionally similar combinations of crops. Thus, there was nothing unique between the two areas to trigger a different foraging behavior from elephants. Overall, our findings suggest that the distance of farming from the edge of protected areas is unlikely to affect crop raid incidences by elephants, as long as there is a connected forest habitat transcending the boundaries of protected areas into human farming areas and that the crops grown on those farms contain nutrients that are either lacking or inadequate in their natural habitats.

    Food quality and crop raids by elephants

    Although natural plants from the national park contained higher composition of ash, vitamin C and fiber, our results show that they were largely deficient of protein, energy, and moisture, i.e., compared to agricultural crops. Generally, these results seem to suggest that although elephants are able to obtain adequate supplies of minerals, vitamin C, and fiber in the natural habitat, there is a nutritional deficit where access to especially protein and energy was concerned. Thus, it is highly likely that the mammals’ foraging decisions to raid agricultural crops could be largely driven by the need to increase their uptake of a diet rich in these elements. Our findings are similar to those from research suggesting that nutrient deficiency in their natural habitats could be responsible for explaining the elephants’ dietary choices, among which include the behavior of consuming human grown crops (Sukumar 1990, Rode et al. 2006, Pretorius et al. 2012, Branco et al. 2019, Pokharel et al. 2019, Vogel et al. 2020; Vogel et al. 2019, unpublished manuscript).

    Although lower in composition among natural plants, protein, energy, and moisture are very critical in defining the survival of wild animals (Barboza et al. 2009). For example, besides being an important energy source (6 kcal/g; Robbins 1983), proteins are polypeptides of amino acids required for building of body tissues, albeit only ruminants (among herbivores) can synthesize a variety of amino acids with the help of symbiotic microbes in their rumen. Given that elephants are non-ruminant herbivores, they are unable to synthesize most of these amino acids. Thus, they need the presence of both qualitative and quantitative protein in their diet to increase their access to all essential amino acids (Branco et al. 2019). Although natural plants such as rice grass (2.98 ± 0.17g) has relatively comparable protein composition to agricultural crops like cassava (3.02 ± 0.27g), elephants still left the park to raid the latter outside the park. This could be explained by the assumption that a combination of both maize and cassava, which are often grown in abundance by the local people, provided a far much high protein composition than what the mammals could obtain from rice grass in the wild. Our findings agree with previous research that found cultivated crops to generally provide significantly more protein than wild vegetation (e.g., Sukumar 1990, Branco et al. 2019), ultimately suggesting that feeding on these crops provided the elephants with substantially more protein. In this case, crop raiding by elephants was an extension of their optimal foraging strategy.

    Alternatively, research has shown that several wild plants contain secondary compounds such as tannins that can impact negatively on the digestibility of protein (Barboza et al. 2009). Tannins bind to protein, rendering it unavailable for digestion (Clegg 2008). Therefore, it is highly likely that elephants could be driven to raid agricultural crops to avoid feeding on protein-rich wild plants because they contain secondary compounds, such as condensed tannins that act as chemical deterrents, as they negatively affect the ability of an animal to digest nutrients (Robbins et al. 1987). Elephants have also been shown to generally have poor digestive abilities (Greene et al. 2019). In African elephants, the digestion efficiency can be as low as 22% depending on forage quality (Clauss et al. 2003, Pendelbury et al. 2005, Greene et al. 2019). Given the potential presence of digestion inhibiting chemicals and toxins in their natural forage, elephants strategize their foraging behavior toward consuming a wide variety of plants to either meet their daily nutritional requirements or dilute the chemicals and toxins in some of the plants they feed upon to maximize protein digestion. Thus, this could partly explain their behavior to raid agricultural crops.

    Like protein, elephants have a high absolute energy requirement (Branco et al. 2019). The high energy requirement is driven largely by their large body sizes (Demment and van Soest 1985) and shorter gastro-intestinal tracts (GITs; i.e., in relation to their body sizes; Clauss et al. 2003, Clauss et al. 2005a, b), albeit the widths of their GIT are larger than expected (Clauss et al. 2003, Clauss et al. 2005a). These phenological attributes have been shown to effectively result in faster food passage rates, albeit with lower nutritional gains (Clauss et al. 2003, Clauss et al. 2005b, Muller et al. 2013). Clearly, however, elephants still constantly need abundant replenishment of energy to grow, reproduce, sustain metabolic demands, maintain their structures, and respond to changes in the environment (Benedict and Lee 1938, Dierenfeld 1994, Brown et al. 2004, Pretorius et al. 2012). Generally, they have a mixed diet (Cerling et al. 1999), which fluctuates across seasons (Codron et al. 2006, Owen-Smith and Chafota 2012, Shrader et al. 2012). Nonetheless, their high absolute energy requirements have been shown to drive the mammals to select plants of higher quality and digestibility so that energy intake can be maximized (Demment and van Soest 1985, Pretorius et al. 2012). Therefore, elephants may include plant species that are both most abundant and have the highest metabolizable energy value in their diet as in the case of some agricultural crops in our study area.

    Our findings are consistent with recent studies on patterns of crop raids by elephants in Africa that found agricultural crops to have exceedingly higher digestible energy than natural-forage diets (Nyhus 2016, Branco et al. 2019). Thus, elephants in our study area likely benefited considerably from crop raiding because of the significantly higher amount of digestible energy present in crops relative to the natural vegetation in protected areas. The above observations further agree with findings from other studies (Simpson and Raubenheimer 1993, Raubenheimer and Simpson 1997, 1999) suggesting that animals could adjust the amounts of food ingested from different food sources to keep the balance between different nutrients and consistently reach their daily nutrient requirements (Pretorius et al. 2012, Branco et al. 2019). Thus, this may explain the observed foraging decisions made by elephants to target and raid agricultural crops such as maize and cassava (outside their natural ecosystem), which are richer in protein and energy, respectively, than wild plants.

    Results from this study also show that pumpkin had a significantly higher moisture content than was found in wild plants. Moisture is arguably the most important nutrient in animal diets, as it is the medium through which many physiological process (e.g., metabolic processes, chemical reactions, eliminating waste from the body, etc.) are facilitated. Besides, it regulates temperature and this is particularly critical for large bodied and high-water consuming animals such as elephants (Barboza et al. 2009, Pretorius et al. 2012, Pontzer et al. 2020). Research has shown that the need for moisture or water in animals increases when they forage on a high-protein and high-energy diet, driven largely by a corresponding increase in metabolic waste, urinary excretion of urea, and heat produced by metabolism (Cherian 2020). Interestingly, our results show that besides pumpkins, elephants also targeted both maize and cassava that had significantly higher protein and energy contents, respectively, i.e., among the agricultural crops that they raided. Potentially, this suggests that the mammals feed on pumpkin to ensure that their metabolic processes were adequately supplied with the moisture to effectively break down a high protein and energy diet during crop raid.

    Generally, water intake in animals is also expected to increase with higher environmental temperatures and increased physical activity because of water lost through evaporative loss (Barboza et al. 2009, Dunkin et al. 2013, Pontzer et al. 2020). Essentially, water or moisture uptake should not really be a problem for elephants because their natural habitat (Kasanka National Park) has abundant naturally occurring perennial water bodies. Besides, crop raid incidences predominantly occur during the growing season, when most of these water bodies and the vegetation in the park are replenished from high annual mean precipitation (> 1300 mm) in the area. However, as elephants move several kilometers to raid agricultural crops, they possibly lose a lot of water, because most of these crops are located on farms outside protected areas and far from water bodies. Thus, they depend on moisture-rich crops such as pumpkins to compensate for their body water losses and to therefore maintain all water-related physiological functions.

    CONCLUSIONS

    Generally, human-elephant conflicts still remain a major challenge affecting a predominantly peasant farming-dependent community within Kafinda Game Management Area in Zambia. These conflicts are largely driven by the disparities in the quality of food in the elephant’s natural habitat, seemingly pushing them to raid highly nutritious agricultural crops in our study area. Broadly, these findings suggest that elephants can raid human grown crops, irrespective of the distance the farmland is located away from the boundaries of protected areas, provided such crops contain nutrients that are either lacking or inadequate in their natural habitats. Thus, human-elephant conflicts are likely to continue for as long as humans continue to grow crops whose food quality is higher than wild vegetation.

    These results do not necessarily support the practice of farming activities along or closer to the boundaries of protected areas by local farmers, as doing so undermines the integrity of these ecosystems, to the detriment of the wildlife species they host. Thus, farming activities should be undertaken outside the buffer zones (i.e., 10 km immediately after the boundary) of protected areas to promote both elephant conservation and the preservation of livelihoods for the local people. And given that most of the affected communities are farmers whose livelihoods are primarily derived from the raided crops, allowing this problem to continue is detrimental to the survival of these people. Therefore, policy makers should work in collaboration with researchers to identify appropriate measures to address this problem, especially in the face of these findings. Stakeholders (e.g., government, conservation, and charity NGOs, etc.) should especially support and work in collaboration with local communities to identify and introduce crops and livelihood strategies that are not susceptible to attacks by elephants. This will not only enhance the resilience of livelihoods and safety of human life, but also contribute toward the conservation of elephants. Further, we encourage more studies to test the effect of food quality of agricultural crops in driving crop raids by elephants to increase our understanding of the human-elephant conflicts dynamics and thereby be in a stronger position to address this problem for the benefit of both conservation and local communities.

    __________

    [1] All agricultural crops have been named with the letters Agr. (followed by a species’ unique number) while wild plants are named with the letters Wld. (followed by a species’ unique number).

    RESPONSES TO THIS ARTICLE

    Responses to this article are invited. If accepted for publication, your response will be hyperlinked to the article. To submit a response, follow this link. To read responses already accepted, follow this link.

    AUTHOR CONTRIBUTIONS

    LC originally conceived and formulated the research idea. LC assisted by SS undertook the fieldwork. DP did the mapping of the study area. LC analyzed the data. LC, SC, and DP wrote the manuscript.

    ACKNOWLEDGMENTS

    We thank the Department of National Parks and Wildlife (in Zambia) for the research permit and Kasanka Trust Limited for hosting us during fieldwork. This work was funded by the British Ecological Society small research grants for Africa.

    Use of Artificial Intelligence (AI) and AI-assisted Tools

    N/A

    DATA AVAILABILITY

    Data/code available on request because of privacy/ethical restrictions.

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    Corresponding author:
    Lackson Chama
    lackson.chama@cbu.ac.zm
    Appendix 1
    Fig. 1
    Fig. 1. Map of the study area. Dark green is Kasanka National Park, pale green is Kafinda and other game management areas (GMAs) where the local people live and grow their agricultural crops that are often raided by elephants. KNPB is the Kasanka National Park Boundary.

    Fig. 1. Map of the study area. Dark green is Kasanka National Park, pale green is Kafinda and other game management areas (GMAs) where the local people live and grow their agricultural crops that are often raided by elephants. KNPB is the Kasanka National Park Boundary.

    Fig. 1
    Fig. 2
    Fig. 2. The relationship between distance of farming activities from the boundary of protected area and the mean number of incidences of crop raids by elephants. The PA on the axis refers to the boundary of the protected area.

    Fig. 2. The relationship between distance of farming activities from the boundary of protected area and the mean number of incidences of crop raids by elephants. The PA on the axis refers to the boundary of the protected area.

    Fig. 2
    Fig. 3
    Fig. 3. Shows protein (a), ash (b), moisture (c), fiber (d), energy (e), and vitamin C (f) composition across both agricultural and wild plant types. Agricultural crops include maize (<em>Zea mays</em>, Agr1), cassava (<em>Manihot</em> spp., Agr2) and pumpkin (<em>Cucurbita</em> spp., Agr3). Wild plants include white thorn (<em>Senegalia [Acacia] polyacantha</em>, Wld1), rice grass (<em>Oryzopsis</em> spp., wld2), common reed (<em>Phragmites australis</em>, Wld3), and guinea grass (<em>Megathyrsus maximus</em>, Wld4).

    Fig. 3. Shows protein (a), ash (b), moisture (c), fiber (d), energy (e), and vitamin C (f) composition across both agricultural and wild plant types. Agricultural crops include maize (Zea mays, Agr1), cassava (Manihot spp., Agr2) and pumpkin (Cucurbita spp., Agr3). Wild plants include white thorn (Senegalia [Acacia] polyacantha, Wld1), rice grass (Oryzopsis spp., wld2), common reed (Phragmites australis, Wld3), and guinea grass (Megathyrsus maximus, Wld4).

    Fig. 3
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    Home > VOLUME 30 > ISSUE 3 > Article 31 Research

    The Great Stink in the 21st century? Problematizing the sewage scandal in England and envisioning a new infrastructure ideal

    Sylvester, R. E., P. Hutchings, and A. Mdee. 2025. The Great Stink in the 21st century? Problematizing the sewage scandal in England and envisioning a new infrastructure ideal. Ecology and Society 30(3):31. https://doi.org/10.5751/ES-16416-300331
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    • Ruth E. SylvesterORCIDcontact author, Ruth E. Sylvester
      School of Civil Engineering, University of Leeds
    • Paul HutchingsORCID, Paul Hutchings
      School of Civil Engineering, University of Leeds
    • Anna MdeeORCIDAnna Mdee
      School of Politics & International Studies, University of Leeds

    The following is the established format for referencing this article:

    Sylvester, R. E., P. Hutchings, and A. Mdee. 2025. The Great Stink in the 21st century? Problematizing the sewage scandal in England and envisioning a new infrastructure ideal. Ecology and Society 30(3):31.

    https://doi.org/10.5751/ES-16416-300331

  • Introduction
  • Theoretical Basis: Envisioning England’s Sanitation Future
  • Methodology
  • Results: Disjointed Progress Toward Sanitary Reform
  • Conclusions
  • Acknowledgments
  • Data Availability
  • Literature Cited
  • environmental health; ethnographic methods; public health; social imaginaries; water governance
    The Great Stink in the 21st century? Problematizing the sewage scandal in England and envisioning a new infrastructure ideal
    Copyright © by the author(s). Published here under license by The Resilience Alliance. This article is under a Creative Commons Attribution 4.0 International License. You may share and adapt the work provided the original author and source are credited, you indicate whether any changes were made, and you include a link to the license. ES-2025-16416.pdf
    Research, part of a special feature on The Next Wave in Water Governance

    ABSTRACT

    The Great Stink of 1858 saw politicians in the Houses of Parliament commission a new sewer system for London at an unprecedented scale and cost. Political consensus was driven by the stench emanating from the river Thames, filled with faeces. Today, England is experiencing parallels to the first Great Stink, with untreated sewage discharging into the country’s watercourses for a total duration of 3.6 million hours in 2024. The scale of sewer discharges has heightened tensions between the public and the water industry, with activists leading civic action that includes social media campaigns, bill boycotts, and street protests. We carried out an ethnographic study in the Yorkshire region with the aim of analyzing and exploring emerging tensions between stakeholders. We found that the root causes of the sewage problem were deeply contested, creating an uneven foundation for sanitary reform. Stakeholder groups understood the sewage crisis differently and were often found to be calling for competing solutions. To theorize these divergent problematizations, we draw from sanitation imaginaries literature that considers collective assumptions about waste infrastructures. Sanitary developments in England have long aspired to the modern sanitation ideal, seeking to discretely remove household waste waters, transporting and treating elsewhere, eliminating public health risk alongside minimal environmental impact. The contemporary sanitation crisis, or “Great Stink of the 21st century,” has shattered this modern infrastructure ideal and social imaginary, causing rifts between stakeholders about how and what progress can be made. Overall, historical parallels serve to remind that political consensus and a shared vision among stakeholders are necessary conditions for sanitary revolution in England.

    INTRODUCTION

    In recent decades, the matter of sanitation has been rendered invisible and conceived as uniform in England, in line with the modern infrastructure ideal. Yet the 2020 sewage scandal re-positioned sanitation as visible and revealed systemic ruptures across the network. Sewers are a form of faecal waste management, a service that can be delivered through an array of options and configurations, all with the primary purpose of ensuring environmental conditions favorable to public health (WHO 2018). Although sanitation terminology is not commonly used in England, we apply it in this research to recenter the primary purpose of sewers and to examine ingrained assumptions (or social imaginaries) around waste management.

    Most households in England have been connected to sewer networks since the mid-20th century (Hassan 1985). Although the common notion today is that all people are connected to these networks, there are notable exceptions. Certain populations remain unconnected and must employ alternative sanitation practices, including marginal social groups such as Roma and Traveller communities (Eminson 2024), boat dwellers (Sylvester and Underhill 2024), and people experiencing homelessness (Meehan et al. 2023). Despite these important minorities, this research is focused on the dominant narrative in England, premised on the ideal of modern, sewered service delivery.

    The late-19th century saw sweeping developments in clean water and sanitation provision, necessitated by populations and industry clustering around urban centers, producing intensely unsanitary environments (Abellán 2017). The Great Stink of 1858 recalls a summer when the river Thames became so putrid that politicians in the new Houses of Parliament, built on its banks, were driven to commission a sewer system for London at an unprecedented scale and cost (Halliday 2001). The chief engineer for the project, Joesph Bazalgette, is attributed with the skill and foresight that saved more lives than any public official of that era (Doxat 1977, Cook 2001). This is the most poignant example of sanitary reform in England, sparked by the proximity of those with power to a river of faeces, and a visionary engineer empowered with authority and financial resources.

    Sharing some parallels to the first Great Stink, in 2024 untreated sewage was discharged into England’s watercourses 450,398 times for a total duration of over 3.6 million hours (The Rivers Trust 2025). Whereas in the 19th century the construction of combined sewer networks enabled a revolutionary step change in sanitary conditions, in the 21st century this infrastructural design is channeling high volumes of sewage into the environment. Combined sewer overflows (CSOs) are system components that allow sewers to release excess untreated wastewater, designed only to operate under heavy rainfall events. However, new data show that, in many locations, this occurs during business as usual.

    Annual sewage spill data have been collected since 2016, via Event Duration Monitors (EDM) fitted onto CSOs, detecting changing wastewater levels and indicating sewage spills. In 2019 and 2020, EDMs were rolled out widely across the country, building national datasets that represent the scale of the issue. The Environment Act 2021 cemented the trends in open reporting, obliging water companies to publish their sewage data, moving away from the practice of private self-reporting (EA 2025). In the same year, results from a full assessment of England’s rivers were published, revealing that only 16% of surface water bodies were classified as in “good” ecological status, according to the Water Framework Directive Regulations (DEFRA 2025). Coinciding with the Covid-19 pandemic, lockdowns, and increased attention on the local environment, this time marks the beginning of the national “sewage scandal.”

    Since 2020, avid campaigners have mobilized, demanding rapid improvements to sewerage infrastructures and river health, making use of consumer power (bill boycotts; We Own It 2024), street protests (Gayle 2024), publicly available data (Sewage Map 2024), social media influencing (Save Windermere Campaign 2024), and leverage points in otherwise impenetrable water industry governance structures (discussed further in the “Competing geographies” section; Bullough 2022). Customer trust is at an all-time low (Consumer Council for Water 2024), political economists express the failures of privatizing water (Buse and Bayliss 2022), and seminal public health scholars ask: what will it take for a new sanitary revolution in the U.K. (Middleton and Saunders 2024)? Despite swathes of public attention (Usher 2023), progress toward sanitary reform is disjointed, riddled with contestation about what the real problem is and how it should be solved.

    We apply an ethnographic lens to this new iteration of the Great Stink, exploring these contestations and divisions between sanitation stakeholders (including those with an interest and role in sewer infrastructure, river management, and wider governance) ostensibly working toward the same goal. Drawing from critical geography and political ecology literature (McFarlane 2008, Lawhon et al. 2022), we attribute conflicting stakeholder narratives to distinct, high-level sanitation paradigms (or imaginaries), informing different formulations of the problem at hand. We find that two fundamental components of sustained, equitable sanitary reform are currently missing: clear political support and consensus on the future sanitation vision for England.

    THEORETICAL BASIS: ENVISIONING ENGLAND’S SANITATION FUTURE

    A defining feature of the first Great Stink was a strong aspiration for the future sanitary revolution: the efficient management and re-distribution of faecal waste away from populated areas. The “remote dumping of sewage and waste” is central to the contemporary urban process. Graham and Marvin’s (2001) seminal work on the modern infrastructure ideal argues that urban infrastructures are increasingly fragmented and politicized, often working to re-produce socioeconomic inequities in cities. Whereas the social imaginary of modern infrastructure is discrete, efficient, and universal, Graham and Marvin (2001) refute this through the lens of uneven and competing geographies.

    Analysis of the modern infrastructure ideal has been applied to specific sectors, such as Linton’s (2010) foundational text on modern water. In this research, we focus on the sanitation sector, examining how the modern sanitation ideal has become ingrained in England and a widely accepted social imaginary. However, the sewage scandal has ruptured this acceptance, based on widespread revelation of the uneven distribution of waste and its implications.

    Sanitation imaginaries

    We trace this sector-specific literature on the modern infrastructure ideal to McFarlane (2008) writing on the spatial imaginaries and logics of sanitation infrastructures in Bombay. He argues that ideologies of the “contaminated city” in the colonial period, and the “world city” in the postcolonial era, have shaped how sanitation has been implemented. The world city concept has connotations of being orderly, clean, and akin to other idealized cities in rich countries (McFarlane 2008). Similarly in Jakarta, Putri (2019) writes that geometric, urban layouts have been created in the image of western cities, re-producing belief in this type of logic.

    Building on McFarlane’s work, Morales et al. (2014) are the first to explicitly use the phrase “sanitation imaginaries,” defining it simply as the expectations people have for their sanitation. Participants in their study, from a marginal neighborhood in Buenos Aires, expressed beliefs around sanitation in a modern city. These included the expectations of state responsibility, and the absence of physical or mental engagement with excreta, which were seen as signifying “underdeveloped and backward lifestyles.” Further, the privacy associated with domestic sewerage was considered a marker of modern, urban citizenship (Morales et al. 2014).

    Adjacent literatures have also extended the concept of sanitation imaginaries. Jensen and Morita (2017) explore the ontologies of waste infrastructures using anthropological methods, finding that infrastructures are both created by and create “practical ontologies.” Sanitation infrastructures have the unique character of many secret, shameful, private, hidden, and unseen dimensions of modern society. As well as analyzing the spatial distribution of wastes in a city, anthropological insights help realize the potential for re-shaping social relations by looking at what happens in these spaces of visible waste (Jensen and Morita 2017, Alexander and O’Hare 2020).

    Most recently, Lawhon et al. (2022) offer a new type of sanitation imaginary as an alternative to the modern ideal. From their work in Kampala, they find that the promise of modernity, though still appealing, is waning. They propose modesty as an imaginary that rejects the hierarchy of modernity and “does not accept inadequate sanitation for some: it is founded (instead) on a vision of an interconnected city with shared interests” (Lawhon et al. 2022:161). A modest approach is relational, aware of the multi-scalar impacts of sanitation on the environment and wider society.

    Related scholarship exists in the Global North, with Silver (2019) extending relational theorization of urban inequality through decaying infrastructures in New Jersey. Meehan et al. (2020) disrupt common myths about modern water Global North contexts, and Picon (2018) examines how networked infrastructures are dependent on social imaginaries, through a case study of Haussmann’s renovation of Paris and the contemporary smart city perspective. England is one context that has, for decades, seemingly embodied the modern sanitation ideal, appearing to uniformly deliver sewered services to everyone at a similar quality and cost, under a highly neoliberal governance model (Lawhon et al. 2017). Yet, this appearance is waning and public belief in it is fracturing, in parallel to the visible degradation of sewer systems.

    Problematizing sanitation

    Attached to the absence of a clear sanitation vision is a lack of stakeholder consensus on what the real problem is. Bacchi and Goodwin’s (2016) problematization theory supports our analysis of contested understandings of the sanitation crisis. The term problematization represents how an issue is conceptualized and configured as a problem within social groups (Stengers 2019). Problematizing sanitation or wastewater management has shown to be used strategically to maintain political narratives and hide, disguise, or re-frame others (Weder 2022).

    In Sweden, Holmberg and Ideland (2022) find that wastewater management has been made into a public secret, upheld through a deliberate balancing act of visibility and invisibility. The problems associated with sanitation, such as leaks or sewer malfunctions, are presented to the public by water industry and political leaders as normal and treatable with the correct response and can be mitigated in the future by the correct behavior.

    Müller and Kruse (2021) study how drought is configured as a problem in Germany. They show this happening in several ways, such as through the legitimizing of political framings using scientific language, and the increasing use of a national security framing. Similarly, Bourblanc (2013) examines water pollution from agriculture in Brittany, finding that the local social movement constructs problems and changes them strategically to support their goals. Bourblanc (2013) also employs the concept of “problem ownership” that expresses the interest organizations have in controlling the problem definition in order to legitimize their involvement in solution-making processes.

    The literature on problematization and imaginaries demonstrates how deeply sanitation is intertwined with social behavior and ingrained, collective assumptions. These concepts underpin our investigation of the contemporary sanitation crisis, as we explore contested understandings of the root problem, and ask how we can move toward a consensus vision of a better sanitation future.

    METHODOLOGY

    Our methodological approach combines anthropological insights with a political ecology perspective of spatial inequities in our study region of Yorkshire. Although our findings are distinct to this region, they are also indicative of the broader situation in England.

    Data collection and research context

    We used the anthropological method of ethnography to gather data on experiences and beliefs around sewage and waste infrastructures. Ethnography requires extensive familiarization with the research context and interlocutors through observation, relationship building, and participation in local activities, as well as more formalized methods, such as semi-structured interviews. Our research was conducted over a period of 15 months, from September 2022 to December 2023. Ethical clearance was provided by the ethics committee at the University of Leeds, including a detailed data management plan and anonymity protocols.

    We began by closely following the developments of an activist group based in Knaresborough, who were responding to sewage discharges in their local river. Data collection activities in and around the town of Knaresborough included: observations at stakeholder meetings and local events, informal conversations, field notes, and reflections from personal river encounters.

    As the study progressed, we also established relationships with Ilkley, a nearby town in rural Yorkshire, and Bradford, a city of over 500,000 people (Figs. 1 and 2). These were developed by drawing on the researchers’ networks, attending local events, and connecting to local people and places of interest through university staff residing in the areas. Through these activities it became more apparent that the sewage crisis in Knaresborough was intertwined with regional dynamics. We attended river events in both Ilkley and Bradford, as well as conducting informal conversations and carrying out formal interviews.

    The rivers running through the two rural towns of Knaresborough and Ilkley are the Nidd and the Wharfe, respectively. Although distinct, the rivers have many similar qualities, deriving from head springs in the Yorkshire Dales National Park, home to Wild Brown Trout and Grayling, and dramatically gushing through the Nidd Gorge and The Strid (Wharfe) as well as meandering through rolling farmland. The rivers wind through the heart of both towns, adding to their picturesque natures. In contrast, the rivers in Bradford (the Bradford beck [a colloquial name for a small river or brook in northern England] and the river Aire) are substantially modified and covered over, and receive heavy inputs from sewer discharges and household misconnections. It is also a much more multi-cultural place than the rural Yorkshire towns, with immigrants from Eastern Europe and West India and Asia having settled in the city to work in the booming textile industry in the mid-20th century.

    Data analysis

    Alongside ethnographic data, the first author carried out 16 in-depth, semi-structured interviews with a range of sanitation and river stakeholders associated with the three research locations. Interviewees included representatives from river activists, wild swimmers, the water industry, the environment sector, regulators, politicians, and academics. In this paper, interviews are cited by the number they were assigned by the first author.

    Inductive thematic analysis was conducted on the qualitative data from interview transcripts and ethnography notes, documents, and articles. Braun and Clark (2006) establish a rigorous and theoretically flexible approach for qualitative thematic analysis. Informed by this, we chose to perform an inductive analysis to develop categories from the data itself (Fereday and Muir-Cochrane 2006). Bottom-up coding in this manner is never purely objective but rather related to the researcher’s prior knowledge, and as such we include a section below on positionality (Nowell et al. 2017). Five core categories were identified, reflecting common themes, patterns, and stories in the data. These categories were designed to retain some holistic sentiment and context behind each piece of data, so larger chunks of text were often added to a category first, before distillation. The core categories and their sub-categories are set out in Table 1.

    Once all relevant data had been attributed to a thematic category, each sub-category was reviewed and distilled to establish key findings. There was a large amount of data collected and analyzed, and in this paper we focus on only a portion of the data gathered on the contested nature of the problem between stakeholders (stakeholder perspectives and relationships) and the beliefs related to this (recurring stories and some data from valuing rivers). We also focus in this paper on the geographical differences across Yorkshire region, as we are writing a separate paper on the local dynamics of river activism in Knaresborough.

    Researchers’ positionality

    Carrying out an ethnography requires self-reflexivity and an awareness of one’s own position in relation to the interlocutors and the subject matter. This section demonstrates the authors’ reflection on their different relationships to this research.

    The three authors all live in Yorkshire, and as such have some degree of physical and social proximity to the research contexts and subject matter. The third author went to school in Knaresborough, grew up in a village close to the Nidd as it flows through the Vale of York, and has lived in the Aire Valley and swum in the Wharfe for the last twenty years. They bring a historical, situated perspective to the research. We recognize there is no one “community” or local relationship with these rivers; they are intertwined in multiple individual and collective dynamic relationships, which are continuously evolving.

    The first and second authors have moved to the city of Leeds in recent years from areas in the south of England because of their research positions at the University of Leeds. Being audibly southern adds a layer of social difference to interactions with some local people in the research contexts, a layer that has connotations of the “north-south” divide in England. There was often another sense of difference when talking with water industry representatives, deriving from the culture of the industry and created by the use of jargon and assumed prior knowledge. Once it became apparent that this knowledge was also known to the researcher, interlocutors settled more easily into a sense of familiarity.

    One dimension of our situated relationship to the research was a key entry point to the ethnography, through a member of the Knaresborough activist group, who also had links to the University of Leeds. Regarding their own positionality and place in this research, they wrote: “I went out of my way (a large amount of work and social capital) to make them (events and activities) happen. So, they didn’t just happen at grassroots level. At Ilkley too, half the residents are University of Leeds academics, so there is a huge resource behind the ‛grassroots’ campaign - unlikely to be a feature elsewhere” (I7).

    Overall, we reflect on multiple dimensions of positionality throughout the entire research process. The following section sets out our findings on different stakeholder views of the problem, what the causes are, and what the solutions could be.

    RESULTS: DISJOINTED PROGRESS TOWARD SANITARY REFORM

    The current sanitation problem in England is deeply contested, particularly between the most dominant stakeholders: activists, the water industry, and the environment sector. This creates uneven ground for progressing toward sanitary reform. Drawing from the problematization literature, we discuss how this problem is configured differently by stakeholder groups. We break down the broad problem of sanitation to focus on two key issues: sewer functionality and river health.

    Problematizing sewer functionality and river health

    In our study, most activists took the view that sewers were malfunctioning because of failures in sanitation infrastructure enabled by neglect, ignorance, over capacity, or deliberate action on the part of water companies. Additional blame was often attributed to failures of regulation, with one activist feeling that water companies are “a law unto themselves” because of a lack of river monitoring by the Environment Agency (EA), the environmental regulator for the water industry in England (I4). Another activist comment was aimed at Yorkshire Water and the economic regulator for the water industry, saying “[Y]ou’ve lied, and Ofwat let you get away with it” (I5).

    Activists’ problematization was commonly formulated around the passive failure of regulation and deliberate malice of water companies, who would rather pollute waterways than take a hit to shareholder profits. People in this stakeholder group arrive at this problematization from different water-related activities they enjoy participating in. For instance, wild swimmers value their physical connection to rivers, and in their activism they focus on human health impacts of polluted waters, often conflating this with wider river health. Anglers value their recreational time by the river, and are most concerned about fish stock and species. Although some activists do take a broader view than their predominant concern, many water industry and environment actors argue that holistic river health can only be measured by using multiple indicators.

    Environment sector representatives expressed concern over the focus on human health within activist problematization, as they felt this diverted attention away from holistic river health. Some even felt this focus exemplified modern anthropocentrism in approaches to river management. One interviewee from an environment non-governmental organization (NGO) commented that there needs to be improved “understanding (about) what human health requirements are, in terms of water quality (in rivers), versus what ecological requirements are... what people (think) are important, that’s what gets the attention. Sometimes it frustrates me because we should just care anyway” (I6).

    Other environmental actors faced opposition from activists when they shared knowledge regarding different aspects of river health, including agricultural runoff, off-grid sanitation, and industrial inputs. Many recounted being accused of “getting into bed with water companies” when sharing this in multi-stakeholder meetings (I6; I15; observations). Environment sector representatives also held a view of past and present societal influence on rivers, discussing how heavily humans have modified rivers throughout history, and how crucial it is to understand how we see them today. One interviewee asked, “Do you view rivers as wild ... or do you view (them) more as an almost continuation of a farmed managed landscape? You are trying to look after it in the one sense but you’re equally trying to use it as a resource, you know, and I think even in some legislation, there’s conflict” (I10). Another asserted that “an immense amount of social change” is required to improve river health, because “people perceive their rivers to be what they think they’re meant to be, [based on] how they’ve been brought up for generations” (I6).

    In terms of sewer functionality, environmental actors often problematized this through the lens of legislation and regulatory capacity. A recurring issue discussed was that water companies were allowed to “mark their own homework” regarding water quality testing at wastewater treatment plants, as well as a lack of spot-checking from the EA (I6; I16). Water industry actors also referred to regulation as problematic, although not from the perspective of holding them to account, but rather from the perspective of incentivizing (or not) changes to practice. The idea that, for water companies, ignorance is better than knowing the extent of sewer discharges is attributed to failure in regulation. One academic interviewee who had prior experience in the water industry argued, “[T]heir [water companies] job is to deliver on their regulatory obligations, and if the regulator doesn’t require them to know where that CSO is (then) that’s fair enough” (I3). Combined sewer overflows (CSOs) are components of sewer systems that allow the contents to spill out when the sewer is over full capacity. Important to note is that combined sewers funnel rainwater into sewage pipes, and are very common throughout England, as they derive from Victorian-era sewer design.

    The water industry broadly appeared to take issue with the activist narrative that sewers are malfunctioning, regularly asserting how CSOs are intentionally designed to spill during heavy rainfall to protect pipes backing-up in households, as well as attributing seemingly increasing discharges with new, climate-induced rainfall patterns (I14; I15; observations). Although these factors are a part of the story, other factors are not expressed by water industry representatives, such as real cases of overcapacity and underinvestment. Water industry representatives found generalized narratives like this frustrating because they hide the nuances and challenges they face, and yet they often followed the same approach, making generalizations about climate change or CSOs operating in an acceptable manner.

    One water industry interviewee emphasized how CSOs, when functioning properly, should not have any adverse environmental impact: “[I]f you’ve got an overflow and it discharges into the Humber Estuary and it’s a small volume, then the impact of that is gonna be absolutely negligible. And so you could have a huge overflow discharging into the estuary, but actually through modelling and through monitoring you can show that there is no harm” (I14). This argument was used to assert how the recent Storm Overflow Discharges Reduction Plan (DEFRA 2023) is unhelpful and ill-informed. The narrative has become part of water industry problematization about activist involvement, as many appear to feel that activists do not have adequate level of expertise to participate and do not recognize the work being done by the industry.

    Many in the water industry believe this reduction plan has been too heavily influenced by activists and is not conducive to fair and equitable change within the industry, particularly between companies:

    The other thing to remember as far as the companies is concerned is that that they are some of them in very different positions... United Utilities and Yorkshire (Water) have probably got nearly 2/3 of the entire CSOs in the sector... You have more separated systems in the South because you've had more new development. So you got more combined systems in the North because of, you know, old terraced housing. (I1)

    The plan was actively brought up in conversation by all interviewees from the water industry. The following sentiment was widely held: “[T]his latest episode is, in my experience, far and away the least well-informed response...that’s what politicians do, isn’t it? They respond (to) the narrative, rather than necessarily the technical evaluation” (I15).

    This discussion of different problematizations demonstrates some of the deep disagreements between stakeholders over what the problem really is. Activists focus on recent water industry practices, environmental sector representatives center river health from a holistic and historic perspective, and water industry representatives attribute the problem to inherited sewer designs and climate change. Relationships between many stakeholders are fraught, and the struggles between them restrict progress toward an integrated vision for sanitary reform.

    Competing geographies

    The concept that, since the sewage scandal, places in Yorkshire are now competing for attention and funding was a cross-cutting finding across different stakeholder problematizations. Seminal theory sets out the hidden reality of uneven infrastructures re-producing socioeconomic inequities, a reality hidden by the imaginary of modern infrastructure that is conceived as universal (Graham and Marvin 2001).

    A key argument from water industry representatives against activists taking a leading role in new regulations and political agendas is that it causes unequal distribution of funding within regions. This is because water companies in England are responsible for a given area of the country (a river basin area, closely related to geographical regions in England; for example, Yorkshire Water is broadly responsible for the Yorkshire region), and they finance infrastructure investments through billing customers in their area. The economic regulator, Ofwat, is mandated to ensure water companies provide efficient services at a fair price to customers. Ofwat permits a set rate of bills every five years and, as such, investments in a water and sanitation infrastructure are shared equally between all households in the area. Households are also unable to utilize standard consumer power by switching providers, so have very limited power to resist bill increases.

    We found that the origin of this competition argument derives from the success of Ilkley activists in receiving additional testing attention and sewer investment by applying to DEFRA (the central government’s Department for Environment, Food and Rural Affairs) to receive the first bathing water designation for an inland water body in England. This designation derives from European Union law and ensures additional water quality monitoring for places in which people are already bathing. An environment NGO representative called the Ilkley bathing water campaign an “absolute catalyst” for increasing attention on sewage from the environment and water sectors, emphasizing that “not everyone appreciates how much response and reaction the Environment Agency and Yorkshire Water had to do” after the campaign’s success (I6).

    In our research, it quickly became apparent that Ilkley’s bathing water application was highly contentious in the water industry and among regulators. The following quote from a water industry representative summarizes this general sentiment: “[W]hat it’s done is it distorted Yorkshire Water’s spending priorities. I think it is £80 million they’re throwing at Ilkley. I can think of much, much better places to spend £80 million. Places that would have a much greater impact on water quality and on public perception” (I15). This first instance of activists utilizing bathing water regulations not only leverages institutional resources but also re-shapes social relations, as explored in Jensen and Morita (2017), based on the spaces of visible waste in their local environment. This sociotechnical shift in Ilkley has direct implications for the Yorkshire region and, because of the town’s economic privilege, it can be criticized by those institutions it has leveraged.

    Some interlocutors from the environment sector (both NGOs and regulators) suggested that rural activists in Ilkley and Knaresborough were unhappy with their place low down on the investment priority list: “[T]he way for them to jump up that list is to do what they’re doing (apply for bathing water designation)” (I6). However, this priority list was often discussed abstractly, used to underpin the competing geographies argument, but was not publicly available to view. Further, in Bradford (a place with all the characteristics of being a high investment priority) people had not seen evidence of proactive investment or monitoring by Yorkshire Water. A member of a local river restoration group explained that they had taken 2000 photos over a 12-month period before Yorkshire Water would come and fix 50 sewer misconnections. Additionally, they discussed a recent £1.6 million fine Yorkshire Water received from the EA (EA 2024) because of a malfunctioning CSO, which they said the company knew about but chose not to report: “[I]f we hadn’t happened to be there trying to take a sample for something, it would have gone on for another year or so” (I16).

    In response to the bathing water success of Ilkley and the progress in Knaresborough, an interlocutor from Bradford commented, “Well, all power to them... it was a really clever move by the group in Ilkley. I just, I wish I’d thought of it, but that didn’t apply” (I16). Although water and environment representatives commonly raised concern over how bathing waters are creating regional inequality, our research in Bradford suggests that activists there are more focused on their local rivers, celebrating them in community festivals (Bradford beck festival 2023) and uncovering sections where possible, seeking to open urban rivers up to the public. Although they do not have the same scale of influence as Ilkley in terms of setting investment agendas and influencing political action (Ilkley Clean River Group 2025), it seems this is not something they are striving for. They are, however, striving for Yorkshire Water and the EA to take better care of their urban rivers.

    CONCLUSIONS

    Overall, analyzing stakeholder tensions by asking how they problematize the issue of sewage discharges reveals many layers of contestation. First, the root problem is understood differently, with activists problematizing through notions of passive regulatory failure and active water company malice. Environment sector representatives similarly acknowledge poor regulation, but attribute this to cuts in state government funding and weak legislation. They consider sewage discharges to be part of a bigger problem, where the public does not acknowledge or understand their holistic impact on the natural environment. Most water industry representatives see the problem of sewage discharges as resulting from climate change rainfall patterns and inherited combined sewer design they do not have the capacity or mobilizable funding to substantively rebuild. They are also very reactive to the problematization of activists, which has gained substantial media traction, and they feel portrays them unfairly.

    The root problem being so highly contested lays an unstable foundation for progressing toward sanitary reform. The solutions presented by stakeholders are themselves divergent, with environment representatives wanting to move toward holistic river health and nature-based solutions, water sector representatives desiring greater public trust to allow them to work through their expert priority investment list, and activists seeking to influence strong regulations to restrict the ability of water companies to neglect sanitation infrastructures.

    We suggest that underpinning these layers of contestation are fractured sanitation imaginaries, which have splintered off from the modern ideal. While scholars write on modern imaginaries, they do not prescribe their explicit characteristics, as these become materialized uniquely in particular contexts (Lawhon et al. 2022). One of the first steps in envisioning the future of sanitation in England is answering the question: what exactly has modern sanitation promised in this context, and in what ways has it failed to materialize?

    Stakeholders’ disappointment over this failure has led to a splintering of future ideals for sanitation, which are currently in competition. The environment sector envisions a future where people care about rivers as entities or beings in their own right and appreciate the interconnections between human life and river health. This may mean giving up some human desires to use the rivers as we please. Activists express a strong goal for a future where sewage is rarely, if ever, discharged into the natural environment, expressing the immorality of this practice and the ultimate responsibility of water companies as bill (or rent) collectors. The water industry is disappointed by the unrealistic expectations of activists and the wider public, but appear stuck in the challenges they face, lacking a clear vision of an achievable future.

    The Great Stink of 1858 showed that a sanitary revolution requires full political support and consensus vision for the future of sanitation. Although we focus on the aspect of vision, the role of the state is another crucial gap in this new iteration of the Great Stink. The high degree of sectorization and privatization in England has enabled the state to be complacent on this issue. Nonetheless, it retains ultimate responsibility for sustainable and equitable sanitation provision across the country as an essential service and a human right. In order to progress toward sanitary reform, we emphasize that both clear state support and a consensus stakeholder vision for the future are essential. The Great Stink in the 21st century has disintegrated the modern sanitation ideal in England, making the process of envisioning an incredible challenge, but one with revolutionary potential.

    RESPONSES TO THIS ARTICLE

    Responses to this article are invited. If accepted for publication, your response will be hyperlinked to the article. To submit a response, follow this link. To read responses already accepted, follow this link.

    ACKNOWLEDGMENTS

    The authors gratefully acknowledge the contribution of all interviewees and participants in the study, as well as the valuable inputs of the anonymous peer reviewers, and the editors for their hard work in producing this special issue. This work was supported by the Engineering & Physical Sciences Research Council [Grant Number EP/S022066/1].

    Use of Artificial Intelligence (AI) and AI-assisted Tools

    N/A

    DATA AVAILABILITY

    Anonymized interview transcripts will be made available in the open access White Rose research repository, as agreed with the University of Leeds’ ethics and data management committees. Raw ethnographic data (field notes, observations, informal conversations) cannot be made publicly available given the sensitive nature the research and the risk of identifiability of interlocutors.

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    Corresponding author:
    Ruth Sylvester
    r.sylvester@leeds.ac.uk
    Fig. 1
    Fig. 1. The Yorkshire Region situated in a map of England (source: Google Maps).

    Fig. 1. The Yorkshire Region situated in a map of England (source: Google Maps).

    Fig. 1
    Fig. 2
    Fig. 2. The Yorkshire region in detail, showing major cities. The research locations are shown in orange (Knaresborough), pink (Ilkley), and blue (Bradford). (Source: Google Maps.)

    Fig. 2. The Yorkshire region in detail, showing major cities. The research locations are shown in orange (Knaresborough), pink (Ilkley), and blue (Bradford). (Source: Google Maps.)

    Fig. 2
    Table 1
    Table 1. Thematic categories used to analyze interview and ethnographic data.

    Table 1. Thematic categories used to analyze interview and ethnographic data.

    Core categories Description
    Bathing water sites Data added to this category pertained directly to the specific issue of bathing water sites, a legal status granted by central government that officially designates a water body as one in which people bathe. This comes with certain benefits, such as increased attention and water quality testing. It is the crux of many new activist strategies in England.
    Five sub-categories were attributed: application process; Ilkley group; national picture; regional equity; role of citizen science.
    Recurring stories Data added to this category expressed similarities between interlocutors’ understanding of the problem of sewage discharges, and their beliefs about why it is happening.
    Two sub-categories were attributed: national stories; place-based stories.
    Stakeholder perspectives This category was for grouping common points of view on the problem of sewage discharges, found among certain stakeholders.
    Eleven sub-categories were included for all different stakeholders represented: academics; activists; agriculture; communities; government; media; politicians; regulators; rivers trusts; universities; water companies.
    Stakeholder relationships (with one another) This category was for grouping how different interlocutors reported feeling about other stakeholders, as many relationships were regularly discussed in interviews and ethnographic data.
    Four sub-categories were created for the ways in which these relationships were enacted and felt: beliefs about others’ motivations; blame; direct interactions; expectations of others.
    Valuing rivers Data added to this category captured what is it interlocutors valued, appreciated, felt and noticed about rivers.
    Five sub-categories were attributed to distinguish the specific ways in which people valued rivers and why this was an emotive subject: collective experiences with rivers; how “should” things be; individual experiences with rivers; visibility of pollution; what is “wrong.”
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    Home > VOLUME 30 > ISSUE 3 > Article 30 Research

    Perceptions of governance and access in artisanal marine fisheries in northern Brazil

    Dahlet, L., R. S. L. Barboza, I. E. van Putten, A. Akpan, R. Siriwardane-de Zoysa, and M. Glaser. 2025. Perceptions of governance and access in artisanal marine fisheries in northern Brazil. Ecology and Society 30(3):30. https://doi.org/10.5751/ES-16389-300330
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    • Lol DahletORCIDcontact author, Lol Dahlet
      Leibniz Centre for Tropical Marine Research (ZMT), Bremen, Germany; Institute of Geography, University of Bremen, Bremen, Germany; Grupo de Estudos Socioambientais Costeiros (ESAC), Universidade Federal do Pará (UFPA), Bragança, Brazil
    • Roberta Sá Leitão BarbozaORCID, Roberta Sá Leitão Barboza
      Grupo de Estudos Socioambientais Costeiros (ESAC), Universidade Federal do Pará (UFPA), Bragança, Brazil; Bolsista Produtividade CNPq; Fundação Joaquim Nabuco (DIPES-FUNDAJ), Recife, Brazil
    • Ingrid E. van PuttenORCID, Ingrid E. van Putten
      Wageningen University, Wageningen, The Netherlands
    • Aniekan Akpan, Aniekan Akpan
      Leibniz Centre for Tropical Marine Research (ZMT), Bremen, Germany; Institute of Geography, University of Bremen, Bremen, Germany
    • Rapti Siriwardane-de ZoysaORCID, Rapti Siriwardane-de Zoysa
      Bonn Center for Dependency and Slavery Studies (BCDSS), University of Bonn, Bonn, Germany; German Institute of Development and Sustainability (IDOS), Bonn, Germany
    • Marion GlaserORCIDMarion Glaser
      Leibniz Centre for Tropical Marine Research (ZMT), Bremen, Germany; Institute of Geography, University of Bremen, Bremen, Germany

    The following is the established format for referencing this article:

    Dahlet, L., R. S. L. Barboza, I. E. van Putten, A. Akpan, R. Siriwardane-de Zoysa, and M. Glaser. 2025. Perceptions of governance and access in artisanal marine fisheries in northern Brazil. Ecology and Society 30(3):30.

    https://doi.org/10.5751/ES-16389-300330

  • Introduction
  • Methods
  • Results
  • Discussion
  • Conclusion
  • Author Contributions
  • Acknowledgments
  • Data Availability
  • Literature Cited
  • Brazilian Amazon; fisheries governance; participatory network mapping; theory of access
    Perceptions of governance and access in artisanal marine fisheries in northern Brazil
    Copyright © by the author(s). Published here under license by The Resilience Alliance. This article is under a Creative Commons Attribution 4.0 International License. You may share and adapt the work provided the original author and source are credited, you indicate whether any changes were made, and you include a link to the license. ES-2025-16389.pdf
    Research

    ABSTRACT

    Artisanal fisheries form the basis of the livelihoods of millions of people in the Brazilian Amazon. Few empirical studies have characterized, however, how the governance of marine small-scale artisanal fisheries (SSF) in the Amazon, under the decentralized governance system in place, is perceived by those most affected. Drawing on Ribot and Peluso’s (2003) Theory of Access eight net-map interviews were conducted with key informants (small-scale and large-scale artisanal fishers, representative of civil society organization and public authority) to investigate how the local fisheries governance system is perceived to affect SSF access to fish and fisheries in Bragança (E of Pará, northern Brazil) between November 2022 and March 2023. Interactions are predominantly seen to occur between SSF as part of daily access negotiation processes. These processes take shape through interactions relating to knowledge of the biogeophysical environment and fishing, and conflict situations when customary fishing rules are not respected. Public authorities were seen to primarily control fishers’ legal access through inspections. Civil society organizations were perceived to be ineffective in facilitating access to benefits from public policies. Public authorities and civil society organizations were seen to leave a governance gap in terms of access for fishers. Vessel owners and post-harvest actors were seen by fishers as key regulators of SSF access to capital and markets. They control credits, set ex-vessel prices, and provide material resourcing that sustain power asymmetry. This study highlights key stakeholders’ perceptions of the range of relationships through which access to fish and fisheries is negotiated and contested. Our findings suggest that coastal fisheries governance in the Brazilian Amazon needs to address a number of factors influencing SSF, and more broadly, artisanal fishers’ access. This should occur alongside resolving immediate conflicts, with a consistent focus on equity and justice as systemic preconditions for sustainable human-nature relations in fisheries.

    INTRODUCTION

    Coastal and marine fisheries play a significant role in the livelihoods of Amazonian riverine and coastal communities. Fish and fishing are locally important for a protein-rich diet (da Silva and Begossi 2009, Isaac and de Almeida 2011), culture (Cordeiro 2010), and social dynamics (Mertens et al. 2015), and are often the sole source of income for local populations in coastal communities (Krause and Glaser 2003). In 2019, total marine catches along the Brazilian Amazon coast were estimated at 272,155.422 tonnes representing approximately 37% of the estimated national production (Page et al. 2020). Brazil has not collected national-level fishing statistics since 2011. Page et al. (2020) reconstructed fisheries landings using unpublished data from Freire et al. and data from the Food and Agriculture Organization of the United Nations (FAO) up to 2017. See Santos et al. (2023) for further discussion on the causes and implications of the lack of systematic national fisheries data collection.

    Marine fisheries in the Brazilian Amazon also contribute to national and international markets, with red snapper (Lutjanus purpureus) as an emblematic, although unsustainable, industrial, and large-scale artisanal export-oriented fishery (Isaac et al. 2009, Mescouto et al. 2024). Pará is the Brazilian state with the second highest number of fishers, of which around half are women (MPA 2023).

    Brazilian marine fisheries have undergone significant transformations in recent decades. In Pará, for instance, the once-prominent industrial fishing fleet has declined, and a large-scale, capitalized artisanal fleet has emerged (Isaac-Nahum 2006). This shift has altered local fishing relations by facilitating the entry of new actors, accelerating processes of elite capture, and deepening inequities in access to fish and fisheries (Maneschy 1990, McGrath et al. 2015). The 1988 Brazilian Constitution aimed to decentralize fisheries governance in Brazil with the ultimate goal of improving aspects of governance such as civil society participation, greater consideration of local realities, and local accessibility of public authorities (Wever et al. 2012). However, the governance of marine fisheries in the Amazon continues to be described as partially centralized (Oviedo and Bursztyn 2017), ineffective and weak due to institutional fragmentation, rule breaking and weak enforcement (Isaac and Ferrari 2017, Alencar et al. 2022), although with little empirical evidence so far. There are also assumptions, yet to be substantiated, that fisheries conflicts are relatively low in small-scale fisheries (SSF) because informal rules would help prevent them (Isaac et al. 2009). However, conflicts in the region have been found to arise from negative perceptions of protected area management (Prado and Seixas 2018, Borges et al. 2021), coercive behavior of fisheries surveillance agents, overlapping fishing grounds (Jimenez et al. 2019), and land distribution issues (Santos et al. 2020), among others. A common denominator of these conflicts is unequal access to fish and fisheries as a fundamental driver (Ribot and Peluso 2003, Saunders et al. 2024).

    In this study, we understand small-scale fisheries (SSF) as involving fishers fishing “autonomously or in a family economy, with their own means of production or through a partnership contract, ashore, or with the use of small boats” (translation of the definition of artisanal fishing in article 9, of the Brazilian National Policy for the Sustainable Development of Aquaculture and Fisheries Law No. 11.959, of June 29, 2009). Small-scale fisheries can have subsistence and/or commercial purposes. In large-scale artisanal fisheries, fishing trips last longer than 10 days, vessels are longer than 12 meters, and the hull is mostly made of wood (but can also be made of iron; Isaac et al. 2009). Importantly, we acknowledge that the legal definition of artisanal fishing varies across Brazil’s regulatory frameworks. For example, Law No. 11.959/2009 increased the vessel size limit from 10.2 to 20.3 metric tonnes. However, some regulations, notably those concerning social security, continue to use the previous 10.2 metric tonnes threshold, which leads to inconsistent classifications that affect fishers’ access to public policy benefits.

    Understanding how access is negotiated, achieved, or lost, is essential for socioeconomic outcomes and for the anticipation and more nuanced assessment of fisheries-related conflicts. In addition, a more precise understanding of the role of different groups and institutions in the structure and dynamics of fisheries governance, from the perspective of those whose lives are intimately affected by it, is essential for the formulation of strategies aimed at more equitable governance and governance outcomes.

    The present research investigates local and regional stakeholder perceptions of the governance structures and processes for coastal and marine fisheries in the Brazilian Amazon. The main objective is to understand how governance structures are perceived to influence SSF access to fish and fisheries in the coastal state of Pará, North Brazil. Specifically, the aim is to understand (1) who the main actors are in the perceived interaction networks; (2) what are the interactions that connect them; and, (3) how is access to fish resources and fisheries negotiated.

    Our analysis unfolds in two steps. First, we examined the composition of perceived networks in terms of actors and links. We then built on a thematic analysis of the conducted interviews to understand how different interactions relate to issues of access in SSF. We discussed the main implications for fishers’ access to fish and fisheries considering the Theory of Access (Ribot and Peluso 2003, Peluso and Ribot 2020). We looked at the Amazonian coast of Brazil as a case in point, in which the artisanal fishing sector has historically developed in the absence of supportive public policies and with unregulated market for fish (McGrath et al. 2015, Doria et al. 2021).

    Concepts and theoretical framework

    Governance and network mapping approaches

    We adopted Mark Bevir’s (2012:3) definition of governance as “all processes of social organization and social coordination.” Bevir (2012) pointed out that the rise of this concept is indicative of a certain discrediting of traditional political institutions. Framing these social organizational processes through the lens of governance shifts the focus away from traditional hierarchies and state structures, emphasizing instead the influence of markets and diverse network structures. In fact, “markets and networks might provide governance in the absence of any significant government” (Bevir 2012:3, but see also Young 1992), beyond the reading of governance as equivalent to government. This paradigmatic shift is also illustrated by the sharp increase in studies on environmental governance using social network analysis (Schwenke and Holzkämper 2020).

    Various approaches within the social sciences have highlighted the dynamics of networked governance. The social capital literature emphasizes how diverse actors are connected through a set of relationships, or ties, such as the exchange of lease quotas in the Tasmanian lobster fishery (van Putten et al. 2011), cooperation and information sharing among small-scale fishers in Lobitos, Peru (Maya-Jariego et al. 2017) in which varying network structures are acknowledged to influence actors’ access to different types of resources. This resonates with Ostrom’s theory of the commons (Ostrom 2010) and related work on collective action, which highlight how resource users, such as small-scale fishing communities, develop local governance arrangements to manage shared resources, sometimes in coordination with, or in the absence of, effective state involvement. Relational approaches (Emirbayer 1997) have recently gained traction; these adopt a process-relational understanding of sustainability-oriented themes. This implies transcending rigidly separate categorizations of human and non-human actors or actants all of which are perceived as having strong influence on how environmental governance unfolds (West et al. 2020).

    A number of studies have employed participatory network mapping or related approaches in the context of marine and coastal governance in Brazil. Glaser et al. (2018) adapted the Net-Map method (Schiffer and Hauck 2010) in a comparative analysis of fisher and tourism operator perceptions of environmental governance of a coral reef system in Northeast Brazil. Findings indicate that rules are more readily implemented if perceived as equitable and legitimate by those expected to comply. Gerhardinger et al. (2022) showed how the same methodological approach conducted with high-level institutional innovators of the Brazilian government can help to develop pathways for more transformative ocean governance.

    Access

    One objective of the study of environmental governance is to understand how access to natural resources and derived benefits are negotiated, contested, and distributed. Access is defined as “all possible means by which a person is able to benefit from things” (Ribot and Peluso 2003:156). In this study, we define “things” as fish and fisheries, where fisheries refer to the range of activities that can lead to the capture of specific fish resources and that can be defined by a variety of social, technological, economic, environmental, and governance conditions (Johnson 2006, Damasio et al. 2016, Smith and Basurto 2019). Similar to Silver and Stoll (2019), our analytical focus underscores that the benefits of fishing extend beyond mere production and income, highlighting its tangible contributions to sustainable livelihoods.

    Analyzing access relationships, i.e., who is seeking access, who is maintaining access, and who is controlling others’ access, provides a relational perspective on patterns of distribution and drivers of resource conflict. The Theory of Access (Ribot and Peluso 2003, Peluso and Ribot 2020) posits that beyond property rights, de facto gaining, maintaining, or controlling access to resources is regulated by a range of interacting mechanisms that fall under the following categories: technology, capital, markets, labor and labor opportunities, knowledge, authority, social identity, negotiation of other social relations, and legal- and illegal-based mechanisms. A short description of each mechanism is provided in Table 1. All operate through social relations in a dynamic way, and their workings are contingent on the power relations prevailing among involved entities.

    Peluso and Ribot (2020:300) argued that “[...] all efforts to gain, maintain, or control access are, at base, struggles in the domain of social relations [...]”, thus suggesting that negotiations of access are central to fishery-related conflicts. A growing number of studies point at lack of equity as a key underlying driver of marine conflicts (Glaser et al. 2018, Saunders et al. 2024). By illuminating the ways in which different groups of people do or do not benefit from a particular natural resource, and by detailing the benefits derived or pursued, the Theory of Access offers a framework to analyze the origin of environmental conflicts. Although mostly applied to terrestrial cases (Myers and Hansen 2019), this theory has also been useful to analyze issues of marine governance (Hicks and Cinner 2014, Calderön-Contreras and White 2019, Andriamahefazafy and Kull 2019). We suggest that these studies may not fully capture the relational component central to the Theory of Access. We propose and use a participatory network mapping methodological approach to assess how access is produced, negotiated, and contested through social interactions (Peluso and Ribot 2020).

    METHODS

    Study area

    This fisheries study focuses on the municipality of Bragança (Fig. 1), located on the coast of the state of Pará, in northern Brazil. Pará is Brazil’s second largest state and belongs to what is called the Legal Amazon. The Legal Amazon was initially established by Law No. 1.806 of 6 January 1953, which created the Amazon Economic Valorization Plan and designated the area as a region under the jurisdiction of the Superintendence of Amazon Development (SUDAM). Currently, the Legal Amazon encompasses approximately 58.9% of the Brazilian territory (https://www.ibge.gov.br/geociencias/informacoes-ambientais/geologia/15819-amazonia-legal.html?=&t=o-que-e). Both Pará and the municipality of Bragança have a medium-level human development index (HDI), which translates to poor levels of education, health, and revenue (https://cidades.ibge.gov.br/brasil/pa/braganca/panorama). Of the 393,512 fishers formally registered in Pará (MPA 2023), 194,184 are women and only 236 of them are classified as industrial fishers. In 2022, 49.8% of the 123,082 inhabitants in Bragança earned less than half the legal minimum monthly salary (https://cidades.ibge.gov.br/brasil/pa/braganca/panorama). The city and region lack adequate sanitation and drinking water systems, public recreational areas, health centers, and other infrastructure (Gomes et al. 2009, Gorayeb et al. 2009). This setting of poverty for the majority contrasts with the abundance of nature as local people often acknowledge (Isaac et al. 2010). In fact, this perception of natural abundance influenced the migration of people who fled the semi-arid climate of Northeast Brazil, especially the state of Ceará to come to this region since the late 1890s and early 1900s (Lacerda 2006). Among them, two early families founded what is now known as Vila dos Pescadores and Vila do Bonifácio. In 2010, the total population of Vila do Bonifácio (Fig. 1) was estimated at 1050 people (IBGE 2010, as cited in dos Santos Cavalcante et al. 2022), with 81% of families engaged in commercial artisanal fishing. In these and other fishing communities, kinship plays a crucial role in shaping access (Alencar et al. 2014).

    The study area embraces two Brazilian Ramsar sites, namely the Amazon Estuary and its mangroves and the Cabo Orange National Park. Highly diverse marine life sustains a range of fishing operations, from small- and large-scale artisanal to industrial fisheries (Isaac et al. 2009).

    Ethical considerations

    Our research follows the Resolution nº 466, of 12 December 2012 by the Brazilian National Health Council Plenary, which provides guidelines and norms regulating research involving human beings, and the European Commission’s directives on ethics in Social Science and Humanities (European Commission 2021).

    Fisheries landings in Bragança and challenges to governance

    As per the most recent available official national statistics on marine capture fisheries in Brazil, the state of Pará ranks second in the country in terms of fisheries production with 153,332.3 tonnes landed in 2011 (MPA 2011). Marine fisheries in North Brazil are highly diverse, multispecies and multi-gear. Isaac et al. (2009) identified 20 fishery production systems within 3 fishery types: small-scale artisanal fisheries, large-scale artisanal or semi-industrial, and industrial fisheries. Small-scale fisheries use small wooden boats of less than 12 meters in length and have a relatively low environmental impact (in terms of, e.g., exploitation status of targeted stock, level of discards) while mostly contributing to local diets and livelihoods. Large-scale fisheries operate wooden vessels between 12 and 15 meters, while industrial fisheries use steel boats and have a higher environmental impact (Isaac et al. 2009).

    Figure 2 shows some of the main organizations in charge of developing and implementing fisheries regulations at different governance levels in our study region, the coastal municipality of Bragança, Pará. Fisheries governance in Brazil is de jure decentralized, i.e., regional and local institutions are delegated power and management by the central governments (Glaser and Gorris 2023). Key legal frameworks have been developed since re-democratization in Brazil (for a federal-level analysis of key legal frameworks for fisheries governance see Nakamura and Hazin 2020; for the Pará state-level, see Alencar et al. 2022). The National Policy for the Sustainable Development of Traditional Peoples and Communities (Decree no. 6040/2007) recognizes the social and political rights of traditional populations, including access to terrestrial and aquatic territories. The National Policy for the Sustainable Development of Aquaculture and Fisheries (Law no. 11,959/2009) replaced the Fisheries Code (Decree-Law no. 221/1967) and shifted the focus from industrialization to environmental, economic, and social sustainability. These policies highlight the significance of inclusive participation, capacity building, and sustainable livelihoods in fisheries, establishing themselves as essential legal tools that influence access to fish and fisheries in Brazil.

    In the context of participation in formal governance processes, extractive reserves (RESEX; reservas extrativistas) are key institutional arrangements (Seixas and Kalikoski 2009). Extractive reserves are protected areas that aim to both secure local livelihoods and the traditional use of natural resources while integrating local populations into national development (Glaser and Da Silva Oliveira 2004). Extractive reserves are managed by a deliberative council, a multi-stakeholder body chaired by the Instituto Chico Mendes de Conservação da Biodiversidade (ICMBio). Our study area includes the Caeté-Taperaçú marine RESEX (Fig. 1), established in 2005. As per the last available statistics, the Caeté-Taperaçú marine RESEX supports approximately 8000 families who rely on its natural resources for sustenance (ICMBio 2011, https://www.gov.br/icmbio/pt-br/assuntos/noticias/ultimas-noticias/resex-marinha-de-caete-taperacu-fortalece-as-instancias-participativas) with crab (Ucides cordatus) fisheries representing the most significant economic sector (Partelow et al. 2018). Its deliberative council includes ICMBio in the lead and, among others, representatives of the users’ association Associação dos Usuários da Reserva Extrativista Marinha Caeté-Taperaçú (ASSUREMACATA, hereafter users’ association), the Z-17 Fishers’ Guild (Colônia de Pescadores de Bragança Z-17, hereafter the fishers’ guild), and the Artisanal Fishers’ Union of Bragança (Sindicato dos Pescadores Artesanais de Bragança, hereafter the fishers’ union; federal ordinance no. 17, of 24 September 2007). Although the RESEX are designed to enhance participatory governance, limited engagement with its political processes has been noted (Partelow et al. 2018). This is often linked to perceptions of procedural burdens, the marginalization of local voices, including those of younger generations in decision making, and ongoing internal power disputes (Partelow et al. 2018).

    Further institutional arrangements that promote participation at the state and local levels are the fishing agreements and the standing management committees (Comitês Permanentes de Gestão). Fishing agreements are established by local communities that formulate rules for fishing in a particular body of water, such as gear restrictions or seasonal fishing schedules. Relevant to the study area is the Caeté River Fisheries Agreement (but focused on freshwater fisheries; established through State-level SEMAS Ordinance n°1.358 of 07/2023). Standing management committees, such as the Standing Committee on Fisheries Management and the Sustainable Use of Demersal Fisheries Resources in the northern and northeast regions (established through Interministerial Ordinance n°8 of 09/2015) are consultative advisory multi-stakeholder bodies that inform decisions taken by the relevant federal authorities on given fisheries, including large-scale, artisanal, and industrial fisheries.

    Despite these arrangements, fisheries regulations still often originate at the federal level, limiting the autonomy of regional and local institutions. Power imbalances at multiple levels hinder equitable actor participation and the integration of different types of knowledge. Lack of financial and human resources, as well as data, result in less accountable local organizations (Moura et al. 2009, Wever et al. 2012, Oviedo and Bursztyn 2017). In Bragança, sustainable fisheries with a balanced and effective participation in decision making are not yet a reality (Isaac et al. 2009, Partelow et al. 2018, Borges et al. 2021). Lack of communication among stakeholders, power imbalances, and political misrepresentation are among the factors that hinder participatory engagement in fisheries management (Isaac et al. 2010, Seixas et al. 2019).

    Data collection

    This research aligns with the premises of qualitative research (Maxwell 2008). We build on a social constructivist and critical approach to acknowledge that realities are socially constructed and mediated by subjective experiences shaped by the broader context and environment; and to acknowledge the mediation of the researcher’s own subjectivity(ies) in building an understanding of the problem being explored (Schwandt 1994). More specifically, this study builds on an analysis of perceptions as socially and historically situated interpretations, understandings, and evaluations of environmental change and governance (Bennett 2016). As forms of situated knowledge, perceptions are shaped by political and economic structures, institutional contexts, prevailing power relations, and everyday lived experiences.

    Data were collected using a participatory network mapping method called Net-Map pioneered by and adapted from Schiffer and Hauck (2010). Net-Map allows the study and understanding of perceptions of complex governance problems (e.g., fisheries governance-related issues). A total of eight net-map interviews (Table 2) were carried out with key-informants between November 2022–March 2023 in the state of Pará, North Brazil. Net-maps #1-4 were conducted in the fishing communities of Vila do Bonifácio and Inferninho. The remaining net-maps were conducted in Bragança. Interviewees were: artisanal fishers, individuals (n = 3) or in groups (n = 2 groups of 3 fishers), and representatives of local municipal-level institutions linked to artisanal fisheries’ interests and management, namely two civil society organizations: the users’ association (n = 1) and the artisanal fishers’ union (n = 1); and one public authority, ICMBio (n = 1). Participants were selected through purposive sampling (Patton 2002) to capture a range of perspectives relating to fisheries that formally classify as artisanal, in the region of Bragança. This net-mapping approach reflects our goal of undertaking a deep qualitative exploration of the interviewees’ subjective experiences, with particular attention to their varied backgrounds and involvement in fisheries management. This allowed us to capture the complex nuances of relational power dynamics influencing access within this sector. Research fatigue observed in the region was also considered. Subsequently snowball sampling (Braun and Clarke 2013) was also used in the absence of a gatekeeper and as the lead author built a local network. In meaningfully selecting our interviewees, we aimed to explore if and how diverse targeted fish species, gear type, and thus engagement in different temporal and spatial relations within their fishing activities, influenced fishers’ perceptions. Selection criteria additionally included fishing experience for fishers’ interviewees (net-maps #1–5) and considerations of leadership within the community or relevant institutions for other participants (net-map 1; net-maps #6–8). The Z-17 fisher’s guild in Bragança is another key institution, however, requests for a net-map interview were unsuccessful. We acknowledge this limitation and recognize its impact on the scope and depth of our analysis of governance and local power dynamics.

    A first set of net-maps was conducted with individual participants (net-maps #1–3). For net-maps #4–5, a focus group approach was adopted to gather perspectives from otherwise geographically dispersed participants to encourage dynamism and reduce potential research fatigue from a time-consuming activity, and to provide insights into the ways in which accounts of governance processes are negotiated among participants (Braun and Clarke 2013). When fishers shared similarities in terms of fishery operation and community affiliation, as in net-map #4, participation was balanced. The participants in net-map #5 were involved in the municipal education system for fishers in the town of Bragança. However, they worked in different fisheries and did not share community membership. In this case, one of the participants with closer ties to formal fisheries management organizations had a more prominent voice, and care was taken to avoid over-representation. Our subsequent analysis was also informed by observations of these group power dynamics (Farnsworth and Boon 2010). The overall number of interviews is consistent with our aim of exploring a range of stakeholder-specific perceptions in depth, in accordance with the principles of qualitative research. Other studies using the Net-Map method have conducted similar numbers of interviews (e.g., N = 6 in Glaser et al. 2018).

    Before the network mapping exercises, all participants were informed of ethical considerations of the study and gave consent for the recording of their interviews. The net-map activity consisted of three steps (adapted from Schiffer and Hauck 2010):

    1. To kick-off the activity, participants were asked “Who affects and who is affected by what happens with fisheries landing in Bragança?” (based on Glaser et al. 2018). Participants mentioned different groups of people or institutions. The interviewee wrote the names on color-coded post-it notes (Table 3). Fisheries sectors were attributed different colors, depending on how participants distinguished or named them. The post-it notes were placed on a large piece of white paper. We acknowledge the epistemological and ethical implications of framing this question in a way that polarizes groups of actors into those with power and those without. Drawing on theories of power dynamics and in particular Ribot and Peluso (2003) and Peluso and Ribot (2020), we understand power as a relational force mediated by structures in which fluid hierarchies as well as everyday acts of resistance challenge static notions of power.
    2. When it was agreed that all relevant actors had been identified, participants were asked how the entities interact with each other, i.e., what types of links connect different entities. Five types of links were previously established based on Schiffer and Hauck (2010) and Glaser et al. (2018): (1) communication, (2) support/capacity building, (3) money flow, (4) control, and (5) complaint (Table 4). These links were to be represented by drawing uni- or bi-directional arrows of different colors for each type of link.
    3. As the activity proceeded, the interviewer summarized what they were seeing in terms of net-map actors and links to ensure a correct understanding of the overall picture and to prompt further explanations when needed by participants.

    Presidential elections were held in Brazil in October 2022, and a new government took office in January 2023. All net-maps produced before March 2023 are representative of the governance situation under the previous government because the configuration of ministries and secretariats under the new administration was uncertain during that time.

    Data analysis

    For this research, we used an inductive methodological approach. The net-map interviews yielded two types of outputs: (1) a visual representation of the perceived network; and (2) the interview recording. We first analyzed the net-maps produced in terms of their composition of actors and links. We then undertook a qualitative analysis of the interviews to understand how the interactions between different actors relate to access for fishing.

    Analysis of perceived networks

    Visual and basic quantitative analysis of the net-maps provided information on the network composition, i.e., on which actors were perceived by respondents, through which interactions they were related, and the respective frequencies of occurrence (based on Gerhardinger et al. 2022).

    First, the perceived networks were visually represented using the open-source software Gephi (product version 0.10.1) for network visualization. Labels were established for each actor group mentioned by the interviewee that best reflected the names originally assigned. The parameters by which participants grouped certain fisheries were discussed to assign a fishery category. The names of target fish species mentioned in common Portuguese language during the interviews were associated with scientific names based on Isaac et al. (2008) for artisanal fisheries and Frédou et al. (2008) for industrial fisheries.

    The numbers of actors and links were counted for each net-map to align with the previously established typologies. A Sankey diagram was plotted using the open-source data visualization platform RAWGraphs (Mauri et al. 2017) to represent the interactions between actors as senders and receivers, respectively, for all eight net-maps combined. To understand stakeholder specific differences of perceptions, the networks were also compared in terms of network composition.

    Qualitative analysis of interviews

    A qualitative analysis of the net-map interviews was carried out to elucidate the perceived interactions related to access to fish and fisheries. The transcripts of the interviews were initially generated using the online transcription software Sonix Inc. and were subsequently manually corrected and edited. We then conducted a thematic analysis (TA) using a deductive-inductive codebook approach based on Miles and Huberman (1994). Coding was done in the original language of the interviews, Brazilian Portuguese, using the software MaxQDA Plus version 2020. The coding process is detailed in Appendix 1. Different access issues were identified for each category of actors concerned (based on Ribot and Peluso 2003). The coding process was performed by the lead author (LD) and subsequently discussed and checked with co-authors MG and RS. The influence of the author’s subjectivity in the coding process is acknowledged.

    The results of the qualitative analysis are presented in the form of tables, which include the three most cited mechanisms of access to fish resources and fisheries for the most cited SSF, public authorities, vessel owners and post-harvest, and civil society organizations, along with the corresponding themes. The frequencies are shown per aggregate of fishers’ net-maps (net-maps #1–4), civil society organizations’ net-map #6 and net-map #7, and public authorities’ net-map #8 to better capture differences in participant groups’ perceptions.

    RESULTS

    Network map analysis: general overview

    The eight net-maps are pictured in Appendix 2. A total of 174 actors and 402 links were mentioned by participants. Small-scale fisheries (SSF) actors were the most cited actor group (n = 42), followed by public authorities (n = 36), and civil society organizations and large-scale fisheries, which were each cited 24 times (Table 5). The group of vessel owners and post-harvest actors included intermediaries, vessel owners, and the fishing and processing industries, as well as the national and international export markets.

    In fishers’ net-maps #1–5, the most frequently mentioned link type through which access is negotiated was “money flow” (n = 59), followed by “complaints” (n = 48), and “support” (n = 48; Table 5). However, in the summary net-map, SSF access through “communication” was mainly within SSF’s own group (Fig. 3). “Complaint” was the next largest link through which access to fish and fisheries was negotiated mainly among SSF. Few links were perceived coming from groups of fishers to government agencies, civil society organizations, and vessel owners and post-harvest actors. For net-map #5, whose participants work in what they classified as industrial fisheries, access was negotiated through complaint links that come from all industrial fisheries explicitly to vessel owners.

    Civil society organizations were perceived to influence SSF access mostly through support links, as in net-map #2 (Table 5). In the other fishers’ net-maps, the fishers’ guild and the artisanal fishers’ union were either absent (e.g., net-map #4) or connected through money flow to fishing actors (as a mandatory contribution for membership) as in net-map #3. The fishers’ guild and the artisanal fishers’ union were poorly connected to each other and to SSF from the fishers’ perspective. In both civil society organizations’ net-maps (net-map #7–8), the RESEX users’ association facilitated access of fishing actors through “control,” “communication,” and “support.” The artisanal fishers’ union, on the other hand, appeared only in its own net-map, with no link to fishing actors, and appeared to play a minor role in facilitating fishers’ access. Contrary to fishers’ perceptions, civil society organizations’ respondents saw SSF actors with limited links to each other.

    In contrast to the low mentions of interactions emanating from SSF to public authorities, SSF received around half (n = 38) of the total links coming from public authorities (n = 74), which translated a strong overall perception of influence of the latter over SSF. Public authorities mostly regulated access of SSF through control (net-map #3–6, Table 5). The government representative interviewed was the only respondent to depict a systematic bi-directional communication network between the government agency represented (ICMBio) and all fisheries actors. No direct connection between ICMBio and the RESEX users’ association was mentioned by the public authority respondent. No complaints were perceived among or between formal organizations, but all fisheries were mentioned to have complaints among themselves. Despite receiving very few links coming from other actors, vessel owners and post-harvest actors largely controlled SSF and large-scale artisanal fisheries’ access through money flow.

    Qualitative analysis of interviews

    Knowledge, technology, and legal-based mechanisms were particularly relevant for SSF access. Figure 4 shows the average number of mentions per interview aggregate (net-maps #1–4; net-map #6; and net-maps #7–8) relating to different mechanisms of access. Small-scale fisheries’ access to fish was mostly linked to knowledge of the biogeophysical environment and in particular to the characteristics of the target species, as illustrated by the following quote:

    This is the time for net fishing when the moon is full. That’s the time to net the pescada-amarela [Cynoscion acoupa], which is the best. (net-map#2)

    The second most cited dimension of access was technology. Small-scale fisheries’ reliance on technology to adapt to changes in fish behavior and environmental conditions becomes particularly evident when access to this technology is restricted:

    [...] if we had another type of material net, then we’d go somewhere else, right? Antônio [...] has 400 meters of fishing nets. Then his fishing won’t stop, because he’s already got the pescada [Cynoscion acoupa], he’s got the corvina [Cynoscion virescens], he’s got the uritinga [Sciades proops], he can fish and keep his pattern up all the time, right? (net-map #4)

    Technology was also a topic in many of the complaint links among SSF that related to gear conflicts and aspects of everyday negotiations for access to fish and fisheries. Legal-based mechanisms represented challenges to SSF access. Small-scale fisheries struggle to obtain official documentation confirming their formal status as fishers, which impedes their ability to advocate for their rights and engage in disputes with industrial fishers.

    Technology and markets were important for both large-scale artisanal- and industrial fisheries. Public authorities were perceived to control SSF access through legal mechanisms, knowledge, and illegal mechanisms. In terms of access through legal mechanisms, public authorities were mostly perceived to fail to facilitate fishers’ access (access obstruction) or to exercise unfairly differentiated legally based authority over SSF:

    Why don’t they go to the industrial boats, which damage a lot more? They don’t control them. Because they want to control us, because it’s easy to control the small ones, it's very easy. (net-map #2)

    Civil society organizations were importantly related to the exercise of control through legal mechanisms, social identity, and knowledge. Civil society organizations were perceived as often obstructing access through legal-based mechanisms, as highlighted by this interviewee:

    We paid the colony [fishers’ guild] with all our heart. I’m fishing. I can't work [because of health issues] for two, five months, a year. It should pay an aid to the person, you know? And it never did that. (net-map #1)

    Obstructed access often translated into complaint links in the net-maps. Vessel owners and post-harvest actors were frequently considered as mediating access to markets and capital. Appendix 3 provides quotes to illustrate further access mechanisms that are at the root of the more frequently occurring codes for SSF, public authorities, vessel owners and post-harvest actors, and civil society organizations.

    DISCUSSION

    Navigating access: social organization among fishers

    Communication links between SSF mostly convey information about everyday fishing praxis and knowledge. Knowledge was the most frequently mentioned access mechanism for SSF, in line with Andriamahefazafy and Kull’s (2019) findings. Local fishing knowledge (LFK) refers to the understanding, meanings, and constructs associated with the environment and human-nature feedback, importantly allowing for the adaptation of fishing strategies and improved access to fishing resources. Our coding reveals that LFK contains elaborate details on the dynamics of fish migration, feeding and reproduction habits, and on how these habits are influenced by environmental factors. Our findings are in line with Barboza and Pezzutti (2011) who highlighted the richness of LFK and terminologies used by fishers from one of our study sites, Vila do Bonifácio. The terminologies and beliefs relating to the workings of nature (e.g., as the work of God and/or as a twist of fate) revealed by our interviews testify to the continuous (re)construction of imaginaries of coastal entanglement and thus influence how access is permanently (re)negotiated at the individual subjective and collective levels. Despite the absence of formal institutions to support and regulate artisanal fisheries perceived by our interviewees and reported in other Amazonian fishery contexts (Maneschy 1990, Doria et al. 2021, Alencar et al. 2022), the abundance of ties among SSF is thus evidence of informal social networks in artisanal fisheries and merits investigation into the implications for social organization in fisheries. The fact that conflicts internal to SSF were frequently cited by non-fisher interviewees may be due to an apparent propensity to mention conflicts elsewhere but not those respondents themselves were involved in. For instance, civil society organizations’ representatives and public authorities involved in fisheries management may tend to highlight the existence of fisheries conflicts to legitimize their authority to control access (Peluso and Ribot 2020). Government agencies at multiple levels play a pivotal role in the management of fisheries conflicts and have the capacity to promote positive social transformation (SSF guidelines, FAO 2015, Dahlet et al. 2021). However, in contexts such as Bragança, where government infrastructure for artisanal fisheries is weak, local communities may be compelled to foster their own institutions for conflict resolution, as observed in other parts of Brazil (Prado et al. 2021) and in tropical fisheries more broadly (Dahlet et al. 2021).

    Public authorities: controlling, unreachable, or missing

    The relatively few links that come from SSF and go to public authorities (n = 6) suggest limited power or influence of the former over the latter, and a shared perception that public authorities are not accessible. In essence, control links are understood as activities of inspection (fiscalização), which is perceived as the pinnacle of government authority. This control enforces formal regulations for particular fisheries, restricting short-term access to fish with the promise of protecting fish stocks, ultimately securing long-term access for fishers. This generated livelihood and equity issues. We concur with Fabinyi et al. (2015) that, beyond concerns over the ecological health of fish stocks, equity impacts of control activities are central for SSF. In the Bragança region, the lack of inspection activities was on the one hand seen to illustrate the government’s absence and neglect of artisanal fisheries. On the other hand, the regulatory authorities responsible for inspection (e.g., IBAMA) were criticized for conducting excessive inspections of small-scale fishers, who are more deprived of capital and material resources, while failing to monitor the most powerful groups of fishers, such as industrial trawlers, despite their involvement in the most destructive fishing practices. A similar “command-and-control” approach adopted by ICMBio and IBAMA is perceived by coastal users in the Tamandaré region in Northeast Brazil (Glaser et al. 2018). Our results reveal that inspection is seen to have an ambivalent role. Subject to inspection by state authorities, the “inspected” become a political subject. But when inspection is disproportionately focused on the most vulnerable groups, it becomes a matter of discrimination underpinned by important power imbalances. The Brazilian Navy seems to have greater legitimacy among SSF because it provides capacity-building activities that are mandatory for the acquisition of a fishing license. Although not formally responsible for fisheries management, the Brazilian Navy appears to play a gatekeeping role in the bureaucratic process of fisher formalization. This process directly affects SSF access to licenses, and by extension, to fishing rights.

    Our findings also indicate perceptions of further forms of marginalization under the code of “access denied/obstructed,” echoing Hall et. al.’s (2011) notion of powers of exclusion, cited in Myers and Hansen (2019). For instance, unlike industrial fishers, who typically have better administrative support and formalized documentation, artisanal fishers often struggle to obtain the General Register of Fishing Activity (Registro Geral da Atividade Pesqueira, RGP), the official document issued by the Ministry of Fisheries and Aquaculture that certifies their profession. The RGP is essential not only for legal recognition but also for accessing social protection and other public policies in support of artisanal fisheries. Getting the official documents is challenging for several reasons, including difficult access to public authorities and corruption or inaction by civil society organizations. Efforts to remedy this situation at the federal level include the creation of the National Secretariat for Registration, Monitoring and Research within the Ministry of Fisheries and Aquaculture, and at the Bragança level within the Municipal Secretariat for Fisheries and Aquaculture. In this context, our findings suggest that civil society organizations such as the fishers’ guild and the artisanal fishers’ union are held responsible for supporting and providing their members with access to legal mechanisms.

    Civil society organizations and challenges to fishers’ representation

    The fishers’ guild and artisanal fishers’ union are perceived to be institutions for safeguarding fishers’ rights, including access to social security benefits like pensions and benefits in times of unemployment and ill-health. Fishing is a highly risky and physically demanding activity (Sales et al. 2022) and access to health benefits is essential. The lack of trust and perceived inefficacy of artisanal fishers toward these organizations, and in particular the fishers’ guild, may explain the low membership rate of 48% of registered fishers in Pará (Lourenço et al. 2006). Fishers’ guilds in Brazil were first established by the Brazilian Navy in the 1920s, undermining the autonomy of fishing communities (Ramalho 2014). In other parts of the world where fishers’ guilds have emerged in a bottom-up fashion, they are now actively involved in local environmental management (e.g., in Spain, see Herrera-Racionero et al. 2022). In this sense, future research appears needed to examine and situate the role of fishers’ guilds and unions as pivotal actors within the Brazilian decentralized governance system, as well as their potential and actual influence on context-specific collective action.

    In contrast, the RESEX Caeté-Taperaçú emerged from grassroots efforts supported by public authorities, social movements, and academia (do Nascimento 2021). The users’ association’s representative speaks of the organization as belonging to the people and claims to represent SSF against abuses by banks, intermediaries, and the fishing industry, among others. This is reflected in the number of mentions that related civil society organizations to social identity in the qualitative analysis of net-map #8. Because the RESEX Caeté-Taperaçú is not mentioned at all in three of the five fishers’ maps, perceptions of its influence on fisheries governance are diverse. Social identity is key for improved SSF access (e.g., Bennett et al. 2021). In Bragança and other locations where large-scale fisheries and/or tourism are absorbing the labor of small-scale fishers, ecosystems are becoming increasingly degraded, and fishing livelihoods and related social identities are undermined. This, in turn, may affect the capacities for collective action by fishers and increase their dependence on government intervention (Ramalho 2014, Pinkerton 2019).

    Partelow et al. (2018) found that the RESEX Caeté-Taperaçú has been increasingly seen as a government social aid program facilitating access to housing and material goods rather than an institution actively embodying the collective management of natural resources. Our interviews confirmed this. The users’ association is linked to the National Program for Agrarian Reform and gives access to its members to programs and public policies such as the Bolsa Verde (green allowance) or agrarian reform credits, which are key among the few forms of public support available to the poor, remote communities within the RESEX (Prado and Seixas 2018).

    Improving the formalization of SSF is a key FAO recommendation to nation states as a means of securing access to those working within these fisheries (FAO 2022). This could be achieved through the development of a legal framework for community-based resource management (Mertens et al. 2015, Blythe et al. 2017), in which artisanal fishers have formalized rights to manage their fisheries, and this extends beyond Caeté-Taperaçú marine RESEX boundaries (Borges et al. 2021). Articulating such a framework with the institutions linked to the RESEX may be challenging. Environmental NGOs active in the region have played an important role in supporting community organization and co-management efforts (Rare Brasil 2021). Social movements emerge as relevant enablers for scaling up SSF struggles to other levels of governance and improving local leadership capacity and conservation outcomes (Potiguar Júnior 2007, Pinkerton 2017). That no such NGOs and movements were mentioned by fisher respondents indicates a need for local outreach and mobilization.

    Vessel owners and post-harvest actors filling the governance gap through capital and market

    The predominance of money flow links from vessel owners and post-harvest actors to SSFs suggests a one-way influence in which the former control artisanal fishers’ access to markets and capital. On the Pará coast, artisanal fisheries typically rely on the marreteiro (middleman) to handle smaller quantities of fish and local markets and villages, while the intermediário (intermediary) handles larger production volumes and may resell to the national and international market. Both types of traders may also act as vessel owner, fishing gear financier, and/or moneylender including when catches are low, when illness prevents fishing, or when fishers suffer financial distress. Most of these transactions take place informally. Small-scale fisheries reliance on the marreteiro and intermediário will thus likely increase as public authorities and civil society organizations, such as the fishers’ guild, fail to provide effective legal support. Research by Poissant et al. (2023) in the rural Peruvian Amazon suggested that geographic isolation increases dependency of SSF on powerful intermediary actors. Similarly, Basurto et al. (2013) linked isolation to less cooperative behaviors and greater reliance on intermediaries. In our study area, the road construction in the 1970s cutting through the mangroves swamp provided a faster access route linking the coastal communities of Vila do Bonifácio and Vila dos Pescadores to the urban center of Bragança. This provoked a surge in intermediários (Oliveira and Henrique 2018). Coupled with limited traditions of collective action, the prevalence of informality in the SSF value chain, also appears to intensify the dependency of SSF on intermediários, which may potentially lead to increased exploitation of fishers, increased fishing pressure and a reduction in fish availability (Miñarro et al. 2016, Poissant et al. 2023).

    Access to technology and capital remains a major barrier to SSF access in Bragança, a challenge also identified in other regions of Brazil (Haque et al. 2015). In an effort to improve access to credit, the Brazilian government introduced the Plano Safra da Agricultura Familiar in June 2023, which provides loans for SSF. Access to these loans is prevented, however, by difficult bureaucracy, poor repayment terms and rates, and fear of losing assets (Haque et al. 2015). As a result, fishers in Bragança often turn to their informal social networks, which include their intermediaries, for support. Another layer of complexity is added when the marreteiro or intermediário is the respective fisher’s relative such as in the case of the interviewee in net-map #2 whose uncle is the vessel owner and whose cousin is the marreteiro. Kinship networks play a central role in controlling and maintaining access to resources in Amazonia (Alencar et al. 2014), including in the context of erosion and resource depletion, as seen in Inferninho and Vila do Bonifácio. Characteristics of patron-client relationships were mentioned by our interviewees, but few complaint links came from SSF to intermediaries. This may indicate the ambiguity inherent in such relationships. Only net-map #5 discloses systematic complaint links flowing from all industrial fisheries to boat owners who are also fish traders indicating that the importance of informal and kinship links is a special feature of SSF in our research region.

    CONCLUSION

    This study explores how coastal and marine fisheries governance networks are seen to affect artisanal fishers’ access in Bragança, on the northeast Amazonian coast of Brazil, from the perspectives of a number of different relevant actors.

    Fishers in both small-scale artisanal and large-scale artisanal fisheries are perceived to negotiate access to fish and fisheries among themselves, mostly on a daily basis, through communication and complaint links. These interactions are related to knowledge (e.g., communicating knowledge of the biogeophysical environment) and technology (e.g., gear conflicts). Public authorities and civil society organizations are seen to control fishers’ access through legally based mechanisms. However, these actors are portrayed as absent (e.g., obstructing access), unreachable, or lacking in reliability and fairness. When connected to SSF, public authorities are mostly reported to exert restrictive control of SSF through diverse means. Artisanal fishers lack a robust representation. Respondents perceived respective institutions, i.e., the fishers’ guild and the artisanal fishers’ union as failing to fulfil their main function: facilitating access to vital benefits of public policies (e.g., access through legally based mechanisms). Similarly, and despite a contrasting early history (Glaser et al. 2010), the influence of the association of the Caeté-Taperaçú extractive reserve appears to be limited now. In the absence of support from public authorities and civil society organizations, actors linked to vessel owners and the post-harvest sector are asserting their influence by controlling fishers’ access to markets and capital. In these relationships, SSF frequently find themselves depending on intermediaries for loans, or even narcotics, which must then be repaid with lower prices received for their catches.

    Fisheries governance in Bragança is based more on market mechanisms and unequal forms of dependency (Johnson 2010) than on supportive laws drawn up by the public authorities. The results of our research draw attention to the need to: (1) enhance accessibility to public policies and government programs to strengthen the formalization of artisanal fisheries, taking into account its local characteristics and particularities, including the social organization already in place among artisanal fishers; (2) mobilize financial and human resources for local public authorities geared to improving access and equitable participation of artisanal fishers in decision-making forums; (3) facilitate access to the market and capital for artisanal fishers, for example, by incentivizing the establishment of a cooperative or other forms of innovation; (4) promote and encourage artisanal fishers’ organization and representation, for instance, by facilitating funding for capacity development in local leadership. These measures can only be fully effective if the need for basic education and health service structures is also addressed. The work presented here shows that promoting more equitable access for, and encouraging dialogue with, artisanal fishers are essential and missing prerequisites for sustainable development in the Amazon.

    The integration of net mapping and access analysis provides valuable insights for the development of more inclusive marine conservation policies. Future research could examine how perceived governance networks evolve in response to significant institutional and environmental shifts, such as the proposed designation of a protected area vis-à-vis competing plans for oil exploitation in the Brazilian Amazon Shelf (Araujo et al. 2021). Longitudinal and multi-scalar analyses could shed light on how climate change compounds access challenges for artisanal fishers and how governance dynamics vary across levels. Additionally, further attention to the influence of non-state actors and the role of gender and intersecting power relations in shaping network influence remains crucial.

    This becomes even more critical as aquaculture and oil exploration interests grow in the Amazon estuary, and in view of the upcoming 30th Conference of the Parties to the United Nations Framework Convention on Climate Change (UNFCCC COP 30) to be held in Belém in November 2025.

    RESPONSES TO THIS ARTICLE

    Responses to this article are invited. If accepted for publication, your response will be hyperlinked to the article. To submit a response, follow this link. To read responses already accepted, follow this link.

    AUTHOR CONTRIBUTIONS

    Lol Dahlet: conceptualization, methodology, investigation, formal analysis, data curation, validation, writing – original draft, writing – review & editing, visualization, funding acquisition. Roberta S. L. Barboza: supervision, conceptualization, validation, writing – review & editing. Ingrid van Putten: validation, writing - review & editing. Aniekan Akpan: data curation. Rapti S. de-Zoysa: writing - review & editing. Marion Glaser: supervision, conceptualization, methodology, investigation, validation, funding acquisition, writing – review & editing.

    ACKNOWLEDGMENTS

    We express our sincere gratitude to all those who made this research possible, in particular the interviewees in Bragança who generously gave their time and shared their knowledge and experience. Special thanks are due to Victoria Isaac and Bianca Bentes for insightful discussions at an early stage of this research. We also thank Sr. Antônio Melo, Sr. Danilo Gardunho, and Sr. João Farias for their generous support and guidance throughout the research process. We are grateful to the three anonymous reviewers for their constructive comments and suggestions, which greatly helped to improve this manuscript. LD is grateful to CAPES/DAAD for the full PhD fellowship awarded. We also acknowledge the NoCRISES project, which is funded by the Federal Ministry of Education and Research (BMBF, 03F0845A), the Leibniz Centre for Tropical Marine Research (ZMT), the BremenIDEA funding line of the University of Bremen, and the Laboratório de Ensino, Pesquisa e Extensão Pesqueira junto a Comunidades Amazônicas (LABPEXCA) of the Universidade Federal do Pará (UFPA, Bragança campus). These organizations provided the essential resources and framework that enabled this research. The present research received the ethical approval of the Brazilian National Research Ethics Committee (CONEP; Plataforma Brasil, CAAE: 65040122.3.0000.0018) and the ICMBio SISBIO authorization to conduct research within Federal Conservation Units (SISBIO license no. 82744-1).

    Use of Artificial Intelligence (AI) and AI-assisted Tools

    We acknowledge the use of DeepL Translate [DeepL.com] to generate translations from Brazilian Portuguese into English in the process of writing this article.

    DATA AVAILABILITY

    The data and code that support the findings of this study are available on request from the corresponding author, LD, and subject to privacy/ethical restrictions. None of the data and code are publicly available because they contain information that could compromise the privacy of research participants. Ethical approval for this research was granted by the Brazilian National Research Ethics Committee (CONEP) (Plataforma Brasil, CAAE: 65040122.3.0000.0018) and through the ICMBio SISBIO authorization to conduct research within Federal Conservation Units (SISBIO license no. 82744-1).

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    Corresponding author:
    Lol Dahlet
    lol.dahlet@leibniz-zmt.de
    Appendix 1
    Appendix 2
    Appendix 3
    Fig. 1
    Fig. 1. Map of the study area. <sup>†</sup> Two marine extractive reserves (RESEX) lie within the municipality of Bragança: the Tracuateua marine RESEX to the west and the Caeté-Taperaçú marine RESEX to the east. The latter is central to this study because it is where data were collected. The boundaries corresponding to the RESEX of Cuinarana and Filhos do Mangue are not included in the map. The corresponding data were last updated in 2022, before both RESEX were officially decreed in March 2024.

    Fig. 1. Map of the study area. † Two marine extractive reserves (RESEX) lie within the municipality of Bragança: the Tracuateua marine RESEX to the west and the Caeté-Taperaçú marine RESEX to the east. The latter is central to this study because it is where data were collected. The boundaries corresponding to the RESEX of Cuinarana and Filhos do Mangue are not included in the map. The corresponding data were last updated in 2022, before both RESEX were officially decreed in March 2024.

    Fig. 1
    Fig. 2
    Fig. 2. Selected relevant organizations involved in fisheries governance in Bragança, Pará, Brazil, as identified during the research process (non-exhaustive).

    Fig. 2. Selected relevant organizations involved in fisheries governance in Bragança, Pará, Brazil, as identified during the research process (non-exhaustive).

    Fig. 2
    Fig. 3
    Fig. 3. Absolute frequency and directionality of links and link types by actor group (N = 402 links). The height of each rectangle reflects how often a given link type was identified. The colors of the flows on the left represent different actor groups (sources of the links), and the colors on the right represent different interaction types (link types).

    Fig. 3. Absolute frequency and directionality of links and link types by actor group (N = 402 links). The height of each rectangle reflects how often a given link type was identified. The colors of the flows on the left represent different actor groups (sources of the links), and the colors on the right represent different interaction types (link types).

    Fig. 3
    Fig. 4
    Fig. 4. Heatmaps showing the mean frequency of text units coded relating to different mechanisms of access (x-axis) and groups of actors (y-axis) by net-maps aggregates: (A) artisanal fishers’ net-maps taken together (n = 4); (B) the public authority representatives (n = 1); and (C) civil society representatives’ net-maps taken together (n = 2). SSF = small-scale fisheries; LSF = large-scale fisheries; IF = industrial fisheries; VOPH = vessel owners and post-harvest; PA = public authorities; CSO = civil society organizations; REO = research and education organizations; BUS = other businesses; MSB = multi-stakeholder bodies.

    Fig. 4. Heatmaps showing the mean frequency of text units coded relating to different mechanisms of access (x-axis) and groups of actors (y-axis) by net-maps aggregates: (A) artisanal fishers’ net-maps taken together (n = 4); (B) the public authority representatives (n = 1); and (C) civil society representatives’ net-maps taken together (n = 2). SSF = small-scale fisheries; LSF = large-scale fisheries; IF = industrial fisheries; VOPH = vessel owners and post-harvest; PA = public authorities; CSO = civil society organizations; REO = research and education organizations; BUS = other businesses; MSB = multi-stakeholder bodies.

    Fig. 4
    Table 1
    Table 1. Description of the different mechanisms of access after Ribot and Peluso (2003).

    Table 1. Description of the different mechanisms of access after Ribot and Peluso (2003).

    Access mechanism Explanation
    Structural and relational mechanisms
     Technology Refers to the need for fishing gear (including vessels) and other equipment that may favor access to particular fish species and fisheries.
     Capital In terms of wealth, access to capital allows, for example, the acquisition of fishing gear and other technological equipment, as well as the mobilization of labor.
     Markets Access to markets refers to the ability to benefit commercially from fish and fisheries. Markets can be defined at local, national, and/or international levels, and the struggle for access to certain markets (e.g., setting prices) can be linked to exclusionary practices.
     Labor and labor opportunities Labor and labor opportunities are key elements of access to different fish and fisheries. They also define the distribution of benefits because those who control labor opportunities can define the conditions of work relations (including in terms of contract formalization and remuneration scheme).
     Knowledge Knowledge affects who has access and how. For example, access to a particular fishery requires knowledge of the biogeophysical environment as well as the technology required. Knowledge systems also include beliefs and discursive practices that shape meaning making. The ability to access and control information and what knowledge counts in decision making is often linked to issues of power.
     Authority Authority is generally associated with a concentration of power over and control of access. For example, formal and informal organizations need authority to develop and enforce legitimate access rules. Less authoritative groups may be more subject to coercion and thus restrictive control over their activities.
     Social identity Social identity influences access on several levels and is relevant to all other dimensions of access. At the local level, it may influence the sharing of knowledge, aspects such as authority or prejudice and exclusion, as well as allocation of benefits from public policies.
     Negotiation of other social relations Although all other dimensions of access are also forms of social relations, this particular type of mechanism refers to the array of relationships such as trust, friendship, conflict, and dependency as means of negotiating access. Structural, political, and economic changes can alter context-specific social networks of access.
    Rights-based mechanisms
     Legal-based Legal access is mediated by formal and informal laws, regulations, and conventions. In fisheries, fishers often need a fishing licence from the relevant government agency to be formally allowed to fish and to benefit from government programs that support fishing-dependent livelihoods.
     Illegal-based Illegal access occurs when formal and informal access rules are violated. Typically, in fisheries, this occurs when prohibited fishing practices and gear are used to catch fish. It also includes corruption and theft combined with the use of coercive force.
    Table 2
    Table 2. Overview of Net-Map interviews between November 2022 and March 2023 in Bragança, State of Pará, Brazil.

    Table 2. Overview of Net-Map interviews between November 2022 and March 2023 in Bragança, State of Pará, Brazil.

    net-map #ID Groups of fishers and formal institutions interviewed, and fishing ground/place of work Of what sector Single-participant or focus group Age group Basic participant fishing-related information Interview duration (in minutes)
    1 Diverse fishes (net, river, and estuary) SSF Key informant 40–49 Participant only worked in small-scale artisanal fisheries, owns his own boat and gear, and goes fishing with another person, usually a relative; is familiar with the Municipal Secretariat for Fishing through a relative working there. 155
    2 Cynoscion acoupa fishery (net and longline, estuary, and coastal) SSF Key informant 20–29 Participant only worked in small-scale fisheries, owns his own boat and gear, and goes fishing with another person, usually a relative. Descends from the founders of the fishing village Vila do Bonifácio in 1913. 81
    3 Acoupa weakfish fishery (net and longline, estuary, and coastal) SSF Key informant 50–59 Participant owns his own boat and gear and goes fishing with another person, usually a relative. Has already worked in large-scale artisanal fisheries close to the international border with French Guiana. Descends from the founders of the fishing village Vila do Bonifácio in 1913. 120
    4 Diverse fishes (fixed trap (curral), estuary) SSF Focus group
    (3 participants)
    50–69 Participants live in the community of Inferninho and have close personal ties. They have always operated mainly in curral fisheries; they own their own curral, go fishing with another person, usually a relative; are leading members of the Curral Fishing Association, which is supported by the Municipal Secretariat for Fishing and are recognized as local fishing community leaders. 99
    5 Mixed fisheries (coastal shrimp, Gillbacker sea catfish, Acoupa weakfish; net and longline, coastal, and Northwards up to the international border with French Guiana) SSF and LSF Focus group
    (4 participants)
    40–59 Participants worked in both small-scale and large-scale artisanal fisheries; they may or may not own a boat and gear; go fishing with relatives and with crew in larger fishing boats; one participant working as volunteer with ICMBio. 120†
    6 ICMBio, Bragança region Public authority Key informant 40–49 At the time of the interview, the participant had been in charge of social-environmental management at ICMBio for two years and was not a fisher. 79
    7 Artisanal fishers’ union, Bragança region Civil society organization representing artisanal fishers Key informant 50–59 Participant originally came from a fishing community and is a small-scale artisanal fisherwoman. She holds a leading position in the artisanal fisher’s union in Bragança and in her community, and was exclusively dedicated to this position at the time of the interview. 124
    8 Assuremacata (Caeté-Taperaçú marine RESEX users’ association), Bragança region Civil society organization representing mostly small-scale fishers Key informant 50–59 Participant is a small-scale artisanal fisher and has a political and activist career in favor of small-scale artisanal fishing in the region. At the moment of the interview, he was exclusively dedicated to his position at the RESEX users’ association. 195
    SSF =Small-scale artisanal fisheries.
    † The recording of the interview for net-map #5 was unsuccessful and thus was not included in the qualitative data analysis of this research.
    Table 3
    Table 3. Net-Map actors’ classification and their corresponding post-it note color.

    Table 3. Net-Map actors’ classification and their corresponding post-it note color.

    Classification of actors Corresponding color
    Small-scale artisanal fisheries (SSF) Yellow
    Large-scale artisanal fisheries (LSF) Green
    Industrial fisheries (IF) Blue
    Vessel owners and post-harvest (VOPH) Orange
    Other onshore and offshore businesses (BUS) Purple
    Public authorities (PA) Pink
    Research and education organizations (REO) Gray
    Civil society and civil society organizations (CSO) White
    Table 4
    Table 4. Definition of the types of interactions used in the net-maps and the corresponding arrow color used for the graphical representation. All definitions of types of interactions were sourced and adapted from the Cambridge dictionary online.

    Table 4. Definition of the types of interactions used in the net-maps and the corresponding arrow color used for the graphical representation. All definitions of types of interactions were sourced and adapted from the Cambridge dictionary online.

    Types of links Definition Access implications Corresponding link color
    Communication Process by which a message or information is sent from one place or person to another, or the message itself Communication links are conceptualized as knowledge exchange. The exchange of information about fisheries between fishers on land or at sea improves access to fish and fisheries (e.g., Crona 2006), as does the existence of conflict resolution mechanisms when access is obstructed or contested. Blue
    Support/
    cooperation
    To encourage someone or something because you want them, or it, to succeed; the act of working together with someone Support links are conceptualized as asset sharing, capacity building, funding, and sharing of other forms of material resourcing (e.g., Partelow et al. 2018). Support is positively related to improved access. Green
    Money flow The process by which money is moved from one place or by one person to another Money flow is conceptualized as the existence of formal or informal labor contracts, selling contracts, credits, or loans. An increased access to markets, financial capital, and labor for fishers is associated with greater fish catches and access to fishing gears (Poissant et al. 2023). Yellow
    Control To order, limit, or rule something or someone’s actions or behavior Control links are conceptualized as indicative of enforcement of (formal or customary) fishing regulations. Although these may be designed to sustain fisheries in the long term, in the short term, they are likely to restrict fishers’ access to fish and fisheries. If fishers perceive that control is unevenly enforced (i.e., one group benefits from greater access) or that regulations are not legitimate (e.g., unfair restriction of access), this may result in complaints to the controlling body (see Fabinyi et al. 2015). Brown
    Complaint A statement that something is wrong or not satisfactory Complaint links are conceptualized as contestations of perceived unequitable access to fish and fisheries (Glaser et al, 2018, Saunders et al. 2024). Complaints may reflect a spectrum of conflict situations, ranging from latent to more evident. Red
    Table 5
    Table 5. Number of mentions of actor and link types for each Net-Map, following the classification approach by Schiffer and Hauck (2010) and Glaser et al. (2018). A higher number of mentions indicates that the actors or connections are perceived as the most prominent across the maps.

    Table 5. Number of mentions of actor and link types for each Net-Map, following the classification approach by Schiffer and Hauck (2010) and Glaser et al. (2018). A higher number of mentions indicates that the actors or connections are perceived as the most prominent across the maps.

    net-map #ID Number of actors mentioned Total actors Number of link types mentioned Total links
    SSF LSF IF VOPH PA CSO REO BUS MSB comm supp mon cont compl
    1 1 2 2 4 5 1 1 0 0 16 8 2 8 0 8 26
    2 5 9 3 2 4 2 0 1 0 25 12 30 17 2 18 79
    3 4 4 3 2 3 2 0 0 0 18 12 3 18 10 9 52
    4 5 2 2 2 5 2 0 0 0 18 2 9 3 5 8 27
    5 7 0 4 4 6 4 2 0 0 27 8 4 13 5 6 36
    6 5 2 2 1 6 2 1 0 1 20 38 7 4 14 17 80
    7 10 4 2 4 3 6 1 0 0 30 21 3 13 3 9 49
    8 5 1 1 3 4 3 2 1 0 20 19 9 11 4 10 53
    Total 42 24 19 22 36 22 7 2 1 174 120 67 87 43 85 402
    SSF = small-scale artisanal fisheries; LSF = large-scale artisanal fisheries; IF = industrial fisheries; VOPH = vessel owners and post-harvest; PA = public authorities; CSO = civil society organizations; REO = research and education organizations; BUS = other businesses; MSB = multi-stakeholder bodies; comm = communication; supp = cooperation/support; mon = money flow; cont = control; compl = complaint.
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