Sdgs in The Americas and Caribbean Region

Implementing the
UN Sustainable Development Goals –

Regional Perspectives
Walter Leal Filho

Editor-in-Chief
Noé Aguilar-Rivera · Bruno Borsari ·
Paulo R. B. de Brito · Baltazar Andrade Guerra
Editors
SDGs in the
Americas and
Caribbean Region
Implementing the UN Sustainable
Development Goals – Regional
Perspectives
Series Editor
Walter Leal Filho, Fac. of Life Sci., Res. and Trans. Cen., Hamburg University of
Applied Sciences, Hamburg, Germany
The process leading to the implementation of the UN Sustainable Development
Goals (SDGs) has been negatively influenced by the COVID-19 pandemic. The
health crisis as a whole, and its substantial socio-economic impacts in particular,
have led to many setbacks. These vary from the emerging of competing priorities, to
restrictions in the availability of financial resources needed to implement the SDGs.
The extent of this problem may be better understood if it is considered that there are
at present doubts, as to whether the SDGs may be reached by 2030. This state of
affairs suggests that new - and innovative approaches - to support the implementa-
tion of the SDGs are needed. One of them is the support to regional implementation
efforts across the various geographical regions, and the documentation and promo-
tion of these experiences. It is also important to promote studies, research, projects
and good practice, which illustrate how the SDGs may be implemented in practice.
This series has a specific regional scope, tackling the SDGs in a way that it takes the
particularities of each region into account.
Notes on the quality assurance and peer review of this publication
Prior to publication, the quality of the works published in this series is double
blind reviewed by external referees appointed by the editor. The referees are not
aware of the author’s name when performing the review; the referees’ names are not
disclosed.
Walter Leal Filho
Editor-in-Chief
Noé Aguilar-Rivera • Bruno Borsari •

Paulo R. B. de Brito •
Baltazar Andrade Guerra
Editors
SDGs in the Americas and

Caribbean Region
With 190 Figures and 140 Tables

Editor-in-Chief
Walter Leal Filho
European School of Sustainability
Hamburg University of Applied Sciences
Hamburg, Hamburg, Germany
Editors
Noé Aguilar-Rivera Bruno Borsari
Veracruzana University Biology
Córdoba, Veracruz, Mexico Winona State University
Winona, MN, USA
Paulo R. B. de Brito Baltazar Andrade Guerra

College of Business Centre for Sustainable Development
Colorado State University Universidade do Sul de Santa Catarina
Fort Collins, CO, USA Florianopolis, Santa Catarina, Brazil
ISSN 2731-5576 ISSN 2731-5584 (electronic)

Implementing the UN Sustainable Development Goals – Regional Perspectives
ISBN 978-3-031-16016-5 ISBN 978-3-031-16017-2 (eBook)
https://doi.org/10.1007/978-3-031-16017-2
© Springer Nature Switzerland AG 2023
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Series Preface
Since the UN General Assembly endorsed the Agenda 2030 and the UN Sustainable
Goals in 2015, a new momentum was provided, following on the Millenium
Development Goals. The intention is that, by 2030, countries will have mechanisms
in place and have implemented a wide range of measures, associated with the
17 goals, to improve the quality of life and people’s living conditions and to protect
the planet.
But even though much progress has been seen since 2015, much still needs to be
done. The COVID-19 pandemic and, more recently, the Ukraine conflict have
significantly affected the implementation of the UN SDGs, by diverting not only
political attention but also financial resources. This state of affairs means that, in
order to achieve the UN SDGs by 2030, there is a perceived need to accelerate their
implementation.
Among the needs to be met, mention may be made to the need to document and
promote experiences related to the implementation of the UN SDGs, across the
various geographical regions. And this is where this book series, Implementing the
UN Sustainable Development Goals – Regional Perspectives, can make a contribu-
tion. It consists of four volumes, which describe current trends, initiatives, thinking,
and progresses related to the realization of the global goals across the Americas,
Europe, Africa and the Middle East, and the Asia-Pacific region. This is an unprec-
edented editorial effort, gathering in excess of 700 authors from across all geograph-
ical regions.
The four volumes present assessments and describe a wide range of initiatives
being implemented across the various geographical regions, to pursue sustainable
development as a whole and, inter alia, to implement the UN SDGs.
The contributions provided by the many authors also showcase some of the key
challenges, gaps, and opportunities that exist in the various regions and outline some
of the strategies, activities, and targets for achieving global goals at the regional
level.
In addition, the four volumes identify the financial, human, and technological
resources required to implement the UN SDGs. Finally, the four volumes showcase
what many regional institutions and organizations are doing, to effectively imple-
ment the SDGs.
v
vi Series Preface
I would like to thank all the authors for contributing to this book series and for
sharing their expertise and knowledge with a wide international audience.
This book series is meant to provide a concrete contribution to global efforts to
implement the UN SDGs and to catalyze more works in the various geographical
regions. The papers are also part of the “100 papers to accelerate the implementation
of the UN Sustainable Development Goals initiative”, showcasing the work of
authors from across all geographical regions.
We wish all readers a productive reading, and we hope that the works documented
in this book series will inspire more works in this key area.
Winter 2023–2024 Walter Leal Filho

Editor-in-Chief
Volume Preface
The Americas and Caribbean region, consisting of North, Central, and South
America, along with the islands of the Caribbean, face a range of development
issues. The SDGs serve as a guide for addressing these challenges. Sustainability
challenges in the Americas and the Caribbean are diverse and range from environ-
mental issues to social and economic concerns.
This volume documents and promotes some experiences from authors from
across the Americas and Caribbean Region on the implementation of the UN
SDGs. The body of experience from the authors illustrates the fact that countries
in the region face a wide range of challenges.
Firstly, the Americas and the Caribbean are particularly vulnerable to the impacts
of climate change, including rising sea levels, increased frequency and intensity of
hurricanes, and changing rainfall patterns. These changes pose risks to ecosystems,
coastal communities, and infrastructure. Secondly, forest loss is also a significant
sustainability challenge in the region, particularly in the Amazon rainforest, Central
America, and the Caribbean. Deforestation contributes to biodiversity loss, carbon
emissions, and the disruption of ecosystems, impacting both local and global
environments. Thirdly, many areas in the Americas and the Caribbean face water
scarcity, often exacerbated by population growth, urbanization, and inefficient water
management practices. This particular problem affects agriculture, human health,
and ecosystems, leading to conflicts over water resources.
Moreover, rapid urbanization and industrialization are contributing to the pollu-
tion of air, water, and soil in the region. Inadequate waste management systems lead
to improper disposal of waste, including plastic pollution, which affects marine and
terrestrial environments.
Finally, many countries in the Americas and the Caribbean face challenges related
to social inequality, including poverty, inadequate access to education, healthcare,
and basic services. Achieving sustainability in the region requires addressing social
disparities and promoting inclusive development.
As this book shows, addressing these sustainability challenges requires a multi-
faceted approach involving government policies, international cooperation, techno-
logical innovation, public awareness, and stakeholder engagement. Integrated efforts
are needed in respect of sustainable land and resource management, renewable
vii
viii Volume Preface
energy adoption, conservation initiatives, waste reduction and recycling, climate

change mitigation, and social equity.
We thank the many authors who have contributed to this volume, and who have
shared their expertise and their experience with their contributions. We hope that the
knowledge gathered in this volume may assist efforts to implement the SDGs in the
Americas and Caribbean region.
Hamburg, Germany Walter Leal Filho

Veracruz, Mexico Noé Aguilar-Rivera
Winona, USA Bruno Borsari
Fort Collins, USA Paulo R. B. de Brito
Florianopolis, Brazil Baltazar Andrade Guerra
Winter 2023–2024
Contents
Volume 1
Part I Research Perspectives ............................... 1
Alternative Systems for Water Security in the Brazilian Semiarid

Region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
José Irivaldo Alves Oliveira Silva, Pilar Carolina Villar, and Maria Luiza
Machado Granziera
Social Governance of the 2030 Agenda and the SDGs in Brazil . . . . . . 21

Thiago Gehre Galvão and Rodrigo Correa Ramiro
Perspectives for Resilience, Social Inclusion, and Sustainable

Tourism in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
María Concepción Martínez Rodríguez and Catherine Nieto Moreno
Analysis of Supply Chain Sustainability and Resilience . . . . . . . . . . . . 75

Giovanna Gonçalves de Misquita e Silva and Denise Stringhini
Amazon 4.0: Ways to Sustainable Development . . . . . . . . . . . . . . . . . . 105

G. A. Melo, S. B. Barbosa, M. G. M. Peixoto, M. C. A. Mendonça, and
José Baltazar Salgueirinho Osório de Andrade Guerra
Sustainability Approach at the Chilean Constituent Assembly . . . . . . . 123

Eduardo Ordonez-Ponce
Mining Industry and the Sustainable Development Goals in Brazil’s

Amazon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
James Thiago Leite Cruz
Reverse Logistics for Post-Consumer Waste in Brazil: SDGs 11 and

12 for 2030 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
Antonio Erlindo Braga Jr, Rayra Brandão, and Vitor William Batista
Martins
ix
x Contents
Impact of Land Use Cover Change (LUCC) on Floods: Acapulco de

Juárez Bay, Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
Emmanuel Zúñiga and Víctor Magaña
Implementing the SDGs Through Community Rural Tourism in
Central Mexico: COVID-19 Pandemic . . . . . . . . . . . . . . . . . . . . . . . . . . 211
Humberto Thomé-Ortiz
Environmental Impact and Food Security: Socio-Ecological
Sustainability of Soya from Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237
Nadeem Khan, Nada Korac-Kakabadse, Antonis Skouloudis, and
Fabio Oliveira
Efforts Towards Ending Child Labor: Case of Brazil . . . . . . . . . . . . . . 257
André Borchardt Deggau, Beatriz Vieira, Paula Alencar Camargo,
Danielle Grecco de Souza Silveira, and
Pathways to a Sustainable Blue Economy in Latin America and the
Caribbean . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279
Andrés Palacio, Cristina Chaminade, and Gianna Angermayr
SDGs and Latin American University: Impact of Scientific
Knowledge Production in Policy Documents . . . . . . . . . . . . . . . . . . . . . 307
Thais Aparecida Dibbern, Evandro Coggo Cristofoletti,
Milena Pavan Serafim, and Denis dos Santos Alves
COVID-19 and Its Influence on Sustainable Development Goal 4:
Latin America and Caribbean Region . . . . . . . . . . . . . . . . . . . . . . . . . . 337
Nora Munguia
Community Interactive Social Projects to Achieving Sustainable
Development Goals: Yucatan’s Rural Areas, Mexico . . . . . . . . . . . . . . . 355
Francisco Iván Hernández-Cuevas, Javier Becerril García, Diana Estefanía
Castillo-Loeza, and Edith Pereyra de la Rosa
Gender Equity for Sustainable Development: Barriers and Telehealth
Opportunities During the Pandemic . . . . . . . . . . . . . . . . . . . . . . . . . . . 381
Evan Nathaniel Shenkin
Agroecology as Catalyst for Smallholder Farming Mitigation and
Adaptation to Climate Change: Caribbean Region . . . . . . . . . . . . . . . . 405
Ramgopaul Roop, Miles Weaver, Ana Paula Fonseca, and Mohammed
Matouq
Urban Mobility and Increase in Greenhouse Gas Emissions in
Mexican Cities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429
Gabriela Narcizo de Lima, Roberto Ariel Abeldaño Zuñiga, and
Fernando Ariel Manzano
Contents xi
Well-Being at Work and Sustainability in Public Services: Brazilian

University Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
Rives Rocha Borges, Maria Alzira Pimenta Dinis, and Nelson Barros
Sustainability and Development at Northwestern Municipalities in

Mexico: Chihuahua Region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 467
María del Carmen Gutiérrez-Diez and José Gerardo Reyes López
State Development Plans in Mexico and Their Contribution to the

SDGs: No Poverty, in the 2030 Agenda . . . . . . . . . . . . . . . . . . . . . . . . . 495
Antonio Huerta-Estévez
Environmental Challenges to Gray Cities Becoming Green Cities . . . . 521

Felipe Teixeira Dias, Deborah Marques Pereira, Carlos Magno Santos
Clemente, Gabriel Oscar Cremona Parma, Valeria Isabela Beattie, and
Obesity and 2030 Agenda in Latin America: Prevention and Control

Policies in Brazil and Chile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 545
Maura Dinorah da Silva Motta and Helena Ribeiro
Part II Educational and Communication Perspectives . . . . . . . . . . 571
Climate Change Communication Efforts and Results in Latin America

and the Caribbean . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 573
Brenda Lía Chávez Cosamalón, Diego Posada, and Aaron Benavot
Climate Change Education at First Sustainable Public School:

Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 595
Diego Posada
SDG6 Progress in Latin America and the Caribbean: COVID

Pandemic and New Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 623
Fabiola S. Sosa-Rodriguez
Protecting Our Oceans with Citizen Science: El Astillero,

Nicaragua . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 645
Carol Maione, Gabriela Fernandez, Domenico Vito, Luca Marsaglia,
Manuel Cortez, and Christan Buurstee
Perceptions of Sustainability in Chilean Higher Education

Communities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 665
Claudia Mac-lean, Isabella Villanueva, Sergio Celis, Rodolfo Sapiains, and
Paula Araneda
xii Contents
Environmental Science and SDGs: Brazilian and International

Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 691
Patricia Bilotta, Amanda Silveira Carbone, Sandra Dalila Corbari, Wânia
Duleba, Joselisa Maria Chaves, Cláudia Kniess, Isabel Jurema Grimm, and
Leonardo Antonio Pregnolato
Universities’ Role in Promotion of Education for Sustainable
Development: Latin-America Institutions . . . . . . . . . . . . . . . . . . . . . . . 715
Mauricio Andrade De Lima, Elliott Mokski, Felipe Teixeira Dias,
Ana Regina Aguiar Dutra, Luis Armando Martínez, and José Baltazar
Salgueirinho Osório de Andrade Guerra
Innovations in Online Teacher Professional Development in Latin
America . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 735
Nascira Ramia, Karla Díaz, María Gabriela Salcedo, Isabel Merino,
Isabela Castellanos, and Lizeth Cueva
Paradigm Shift in Food Security at American Universities and
Colleges: Post-COVID-19 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 757
Marie Asma Ben-Othmen, Erin Bachmeier, Stephanie Lingenfelter, and
Jerry H. Kavouras
Environmental Perception of Household Waste Management:
Atibaia, São Paulo, Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 777
M. C. L. C. Novaes and J. L. M. Hoefel
Volume 2
Part III Business-Related Perspectives . . . . . . . . . . . . . . . . . . . . . . . 795
Alternatives to Fossil Fuel-Based Shipping: An Overview of the

Sail Cargo Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 797
Brazilian Recyclable Waste Pickers and Sustainable Development

Goal 8 for 2030 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 821
André Cristiano Silva Melo, Verônica de Menezes Nascimento Nagata, and
Denilson Ricardo de Lucena Nunes
Business Contribution Analysis to the Sustainable Development

Goals: Case Study in Pará State, Brazil . . . . . . . . . . . . . . . . . . . . . . . . . 849
J. Marques and A. Fonseca
Foreign Direct Investment and Environment in Latin America:

Sustainable Development Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 867
Julia Swart, Paulo van Noije, and Márcio Ferreira Rocha
Contents xiii
Informal Circular Economy in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . 891

Moises E. Manzanares-Manzanarez, María Concepción Martínez-
Rodríguez, and Miguel Alvarado Cardona
Orthodox or Sustainable Economic Recovery . . . . . . . . . . . . . . . . . . . . 913

Sazcha M. Olivera-Villarroel, Ivan Egido-Zurita, and
Alethea G. Candia-Calderón
Sustainable Treatment and Reuse of Water Using Decentralized

Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 943
Rakesh Govind
Innovative Approaches in Smallholder Farming Systems to

Implement the Sustainable Development Goals . . . . . . . . . . . . . . . . . . . 971
Ramgopaul Roop, Miles Weaver, Ana Paula Fonseca, and
Mohammed Matouq
Challenges of Female Entrepreneurship to Fostering Sustainable

Development in Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 999
Adriana Ferreira Cristina Caldana, Marina Mauad Sacramento, and
Luciano Sousa Pimenta
Circular Economy Intersections with SDGs in the Latin American

Region: Bolivia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1029
Paula Cecilia Soto-Rios, Nidhi Nagabhatla, Zusan A. Tejeda Fernandez,
Ala’ Al Dwairi, Chelsi A. McNeill-Jewer, and Brenda Acevedo-Juárez
Indigenous Sustainable Finance and Development Goals:

REDD+ in Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1061
Luciana O. Cezarino, Lucas C. Stocco, and Chiara Mio
Sustainable Tourism in the Southern Santa Catarina and Highland

Plateau Region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1085
Ivone Junges, Priscila Cembranel, Raissa Maria Rita, José Baltazar
Salgueirinho Osório de Andrade Guerra, Luis Armando Martínez,
Bruno Dutra Della Giustina, and Orlandy Orlandi
Sustainable Spatial Development in the Urbanised Amazon:

Promoting Circular Bioeconomy in the Manaus Metropolitan
Region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1111
Maurizio Pioletti, Giancarlo Cotella, and Tatiana Schor
Corporate Social Responsibility of Humanized Companies

According to the SDG and ESG . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1135
Stephane Louise Boca Santa, Felipe Teixeira Dias, Rafael de Lima,
Ana Regina de Aguiar Dutra, Thiago Coelho Soares, and
xiv Contents
Sustainable Consumption and Production in an Era of

Uncertainty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1171
Jennifer Bernstein
Part IV Linking Theory and Practice . . . . . . . . . . . . . . . . . . . . . . . . 1195
Adaptation to Climate Change in a Metropolitan Region of Global

South: 2nd Pluriannual Plan of the Grande ABC Paulista . . . . . . . . . . 1197
Gabriel Pires de Araújo and Beatriz Duarte Dunder
Water Resources, Agroecology, and Cantareira System Conservation
Area, São Paulo, Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1221
João Luiz de Moraes Hoefel, Francisco Miguel Corrales,
Ana Lucia Watanabe, José Fernando Calistron Valle, and
Francisco Bosque Barretto
Coredes Alto Jacui and Producao: Spatial Distribution of Public Green
Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1257
Julia Bronzatti Jochims, Natalia Hauenstein Eckert,
Claudio Renato de Camargo Mello, Juan José Mascaró, and
Gabriela Alexia Winkelmann de Souza
Hydroelectric Construction on SDGs and Brazilian Population:
Tuxá Indigenous People, Rodelas-Bahia . . . . . . . . . . . . . . . . . . . . . . . . 1275
Nelson Bernal Dávalos and Saulo Rodrigues-Filho
Policy Dialogue on SDG Implementation in an Archipelagic
Nation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1301
Lesvie Archer and Jeannie Gibson
The Deployment of Artificial Intelligence for Social Policy to Fight
Poverty in Colombia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1329
Roberto Garcia Alonso, Ulf Thoene, Diego Davila Benavides, and
Gabriel Lozano
Nature-Based Solution for Climate-Resilient Cities: Lessons from
Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1345
Sendy Pérez and Héctor Becerril
SDG5 in the Region of Latin America and the Caribbean . . . . . . . . . . 1369
Mabel Bianco
Structural Change and Goal 9 in Latin America: Challenges and
Bottlenecks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1393
Javier Lucena Giraldo and Ernesto Rodríguez-Crespo
Governance of Climate Justice: Taxation Transfers and Green
Bonds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1413
Julia M. Puaschunder
Contents xv
Spatial Analysis of Fortín, Veracruz, Mexico: Agritourism

Entrepreneurship Public Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1453
Karina Nicole Pérez-Olmos, Noé Aguilar-Rivera, and
Ricardo Serna-Lagunes
Tiro en Braille, Inclusive Mexican Sport Initiative: Development
and Peace Movement and the Sustainable Development Goals . . . . . . . 1479
Daniel Añorve Añorve
Assessing Land Degradation (SDG 15.3) in Latin America: Western
Coast of Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1515
D. Sanchez Casanova, J. E. Rivera García, B. Cruz Romero, R. Díaz
Gómez, and C. Rubio
Competitiveness of Small- and Medium-Sized Hotel Companies:
Latin America and Caribbean Region . . . . . . . . . . . . . . . . . . . . . . . . . . 1537
Antonio Emmanuel Pérez Brito, Martha Isabel Bojórquez Zapata, and
Tania Nadiezhda Plascencia Cuevas
Digital Divide in Mexico in the Context of the COVID-19
Pandemic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1557
Christian Cruz-Meléndez and Oscar David Valencia-López
Economic, Social, and Humanitarian Crisis in Venezuela and
Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1583
Isabel Novo-Corti, Xose Picatoste, and José Manuel Puente
Social Action as an Instrument for Implementing SDG12: Southern
Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1611
Leila Dal Moro, Luciana Londero Brandli, Alcindo Neckel, and
Dieisson Pivoto
Climate Change and Food Security in the Context of the COVID-19
Pandemic in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1625
Diana Guadalupe Antonio Sánchez, Nelly Victoria Gutiérrez Moguel,
Gabriela Narcizo de Lima, José Carlos Suárez-Herrera, and
Roberto Ariel Abeldaño Zuñiga
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1657
About the Editor-in-Chief
Prof. Walter Leal Filho (B.Sc., Ph.D., D.Sc., D.Phil.,

D.Tech., DL, D.Litt., FSB, FLS, FRGS) holds the
Chairs of Climate Change Management at the Hamburg
University of Applied Sciences (Germany) and Envi-
ronment and Technology at Manchester Metropolitan
University (UK). He directs the European School of
Sustainability Science and Research (ESSSR) and the
Inter-University Sustainable Development Research
Programme, the largest network of universities specifi-
cally focusing on research on matters related to sustain-
able development. Prof. Walter Leal Filho has over
30 years of experience in sustainable development
research and in excess of 700 publications to his credit.
xvii
About the Editors
Prof. Noé Aguilar-Rivera (B.Sc., M.Sc., Ph.D.) holds

the Chairs of research and thesis seminar, sustainable
development, the Sustainable Development Goals
(SDGs), and agroecological and organic agriculture at
the Faculty of Biological and Agricultural Sciences of
Veracruzana University, México. He is a B.Sc., M.Sc.,
and Ph.D. supervisor specifically focusing on research
on matters related to sustainability, bioeconomy, and
competitiveness. He has over 20 years of experience
on sustainable development, waste valorization, and
environmental management in agribusiness research
and more than 150 publications to his credit. He is an
experienced reviewer as well as editor in indexed
journals and books.
Prof. Bruno Borsari (D.Ag.Sc., Ph.D.) is a Professor

Emeritus at the Biology Department, Winona State Uni-
versity, Minnesota, USA, and adjunct faculty member at
Minnesota State College Southeast, where he teaches
Agroecology and Environmental Science courses in the
Sustainable Food and Farming program. He was
awarded two Fulbright Scholar grants between 2014
and 2020 that brought him to Panama to collaborate
with local universities and introduce agroecology in
their food and agricultural science curricula. Prof.
Bruno Borsari has over 30 years of experience in sus-
tainable development teaching, research, and outreach,
substantiated by more than 100 publications.
xix
xx About the Editors
Prof. Paulo Roberto Borges de Brito (M.S. in Envi-

ronmental Science, M.S. in Agricultural and Resource
Economics) is a Faculty Instructor at the Management
Department, Colorado State University (CSU). He
teaches Entrepreneurship, Social and Sustainable ven-
turing, and International Business courses. Prof. Brito
was the Founder of the Brazilian chapter of a
conservation-focused non-profit which promotes collab-
orative conservation efforts worldwide. Prof. Brito has
also organized and contributed articles to two award-
winning books broaching the subject of social, eco-
nomic, and environmental synergies for sustainable
development. His current research focuses on the busi-
ness opportunities created by the bioeconomy and social
justice aspects globally. Prof. Brito received the CSU
Alumni Association Best Teacher Award in 2023.
Prof. José Baltazar Salgueirinho Osório de Andrade

Guerra holds the Chairs of Sustainable Development
and Global Environmental Change at the University of
Southern Santa Catarina, Unisul, and Ânima Institute,
Brazil. He is the Director and Founder of the Centre for
Sustainable Development/Research Group in Energy
Efficiency and Sustainability (Greens, Unisul) and
Research Fellow at Cambridge Centre for Environment,
Energy and Natural Resource Governance, University
of Cambridge. Prof. Baltazar has over 20 years of expe-
rience in sustainable development research and in
excess of 150 publications to his credit.
About the Associate Editors
Dr. Roberto Ariel Abeldaño Zuñiga has a Ph.D. in

Demography and Magister in Public Health from the
National University of Córdoba, Argentina. He is a full
Professor at the University of Sierra Sur (Mexico),
Researcher at the National Research Council
(CONACYT, Mexico), and Lecturer at the University
of Helsinki, Finland. His main research interests are
health, society, and environment; disasters, mental
health, and vulnerable populations; and public health
in disaster situations. He has been a consultant for the
United Nations Development Programme, UN Interna-
tional Organization of Migrations, and the
World Bank.
Prof. Rosley Anholon is currently an Associated Pro-

fessor at the University of Campinas, Brazil (Depart-
ment of Manufacturing Engineering and Materials). He
is experienced in Sustainable Management Systems,
Education for Sustainable Development, Quality Man-
agement Systems, and Production Systems. He holds
B.Sc., M.Sc., and Ph.D. degrees at the University of
Campinas.
xxi
xxii About the Associate Editors
Samuel Borges Barbosa (B.Sc., M.Sc., Ph.D.) holds

B.Sc. in Industrial Design and M.Sc. and Ph.D. in
Industrial Engineering. He is a Professor of the Post-
graduate Program in Architecture and Urbanism
(PPGAU), Faculty of Architecture, Urbanism and
Design (FAUeD), Federal University of Uberlândia
(UFU). He is a Researcher with national and interna-
tional publications in the areas of product development,
service development and management, public transport
service management, and sustainability. He has collab-
orated in research and development projects: LINKS
2015 (Linkages Between Energy, Food and Water Con-
sumption for Brazil in the Context of Climate Change
Mitigation Strategies) and BRIDGE project (Building
Resilience in a Dynamic Global Economy: complexity
across scales in the Brazilian food-water-energy nexus).
He is currently a member of the Sustainable Develop-
ment Center (Greens) at the University of Southern
Santa Catarina (Unisul).
Dr. Luciana Oranges Cezarino is a Brazilian social

scientist researching systems approach, sustainability,
digital technologies, and interdisciplinarity. She gradu-
ated in Economics and obtained her master’s and Ph.D.
in Management at the University of Sao Paulo. Luciana
has worked in management departments since the begin-
ning of her career. She works currently at the Depart-
ment of Management of the Ca’ Foscari University of
Venice, Italy, as an Assistant Professor. She is a member
of the Erasmus Commission of Ca’ Foscari, coordinat-
ing several European mobility destinations. As a volun-
teer and visiting Professor, she supervises Ph.D.
candidates and coordinates an Interinstitutional Master’s
of Education for Digital Technologies at the University
of Sao Paulo in Ribeirão Preto (SP), Brazil. For seven
years, she worked as a Professor at a Brazilian federal
institution, the UFU, in Uberlandia (MG), where she
developed several institutional initiatives focused on
the services to the community. She founded the Man-
agement Committee of Sustainable Development Goals
(CGODS), which was called Agenda UFU 2030, and
ran the office of PRME (Principles of Responsible Man-
agement Education). Also, she promoted a project to
About the Associate Editors xxiii
give visibility to anti-racist and anti-sexism policies in

elementary and medium schools in Minas Gerais, Bra-
zil. Her current research topics concern indigenous
knowledge and systemic relationships with digital
technologies.
Dr. Miguel Córdova (B.Sc., MBA, Ph.D.) is an Asso-

ciate Professor at the Department of Management Sci-
ences, Pontificia Universidad Católica del Perú (PUCP).
He is Resources Vice-Chair of the Teaching and Educa-
tion SIG at the Academy of International Business
(AIB) and serves as Peru Country Director for Latin
America and the Caribbean chapter of AIB. He is Asso-
ciate Editor of the International Journal of Sustainabil-
ity in Higher Education (IJSHE) and Deputy Editor of
360: Revista de Ciencias de la Gestión. His research
interests are sustainability, sustainable supply chain
management, power and influence in organizations, cor-
porate governance, and entrepreneurship.
Dr. Gabriela Narcizo de Lima is a full-time Assistant

Professor at the Department of Geography, Faculty of
Arts and Humanities, University of Porto, Portugal. She
is a member of the Centre of Studies in Geography and
Spatial Planning CEGOT and Doctor of Science (Phys-
ical Geography) from the University of Sao Paulo
(USP), Brazil, with a master’s and bachelor’s degree in
Geography from the São Paulo State University “Julio
de Mesquita Filho” (UNESP), Brazil. Between 2016
and 2018, Prof. Gabriela Narcizo de Lima carried out
two postdoctoral research stays in the Department of
Territorial Planning and Geoprocessing of the Institute
of Geosciences and Exact Sciences of Rio Claro/Sao
Paulo (UNESP) and the Institute of Geography of the
National Autonomous University of Mexico (UNAM).
Her main lines of research are related to the impacts of
anthropic activities on climate at various scales and
issues associated with managing water resources and
land use planning.
xxiv About the Associate Editors
Dr. Danielle Mendes Thame Denny (Ph.D., M.A.,

LLM, LLB) is a Professor at Escola Superior de
Agronomia Luiz de Queiroz (ESALQ), São Paulo Uni-
versity, Brazil; Researcher at the Center for Advanced
Studies in Applied Research, Department of Economy,
Administration and Sociology, ESALQ; visiting
Researcher at the Asia Pacific Centre for Environmental
Law, National University of Singapore, Singapore;
and former Research Fellow at Coordenação de
Aperfeiçoamento de Pessoal de Nível Superior, a Bra-
zilian federal government agency, under the Ministry of
Education. Prof. Denny has over 10 years of experience
on sustainable development research and more than
100 publications to her credit.
Dr. João Henrique Paulino Pires Eustachio is

Research Associate and Project Manager at the Sustain-
able Development and Climate Change Management
Research and Transfer Centre (FTZ NK) of Hamburg
University of Applied Sciences. He is an economist who
holds both a master’s degree and a Ph.D. in Business
Administration from the University of São Paulo (FEA-
RP/USP). João has completed research periods at the
University of Economics in Katowice (UE Katowice,
Poland) and Hamburg University of Applied Sciences
(HAW Hamburg, Germany). His research interests
encompass Sustainable Development, Sustainability in
Higher Education Institutions, Sustainability Leader-
ship, Corporate Social Responsibility, and Urban
Mobility.
Prof. Todd LeVasseur is an award-winning author and

educator at the College of Charleston (South Carolina,
USA) and a Senior Lecturer at Yale-NUS College in
Singapore in their Environmental Studies program.
Having received his Ph.D. in the Study of Religion
and Nature from the University of Florida in 2011, he
interdisciplinarily operates among others at the inter-
and transdisciplinary intersections of religion and
nature, environmental ethics, environmental history,
sustainability science, environmental studies, energy
humanities/climate change, material feminism, and ani-
mal studies.
About the Associate Editors xxv
Dr. Valmir Martins de Oliveira is Professor

Researcher at Universidad Autónoma de Chile. He
holds B.Sc. in Business Administration at Universidade
São Judas Tadeu (Brazil), postgraduate in Tourism at
Universidade de São Paulo (Brazil), M.Sc. in Hospital-
ity at Universidade Anhembi-Morumbi (Brazil), Ph.D.
in American Studies at Universidad de Santiago de
Chile (Chile). Currently, he conducts research on Social
Responsibility, Sustainability, Strategy, and Interna-
tional Business and is Co-founder and Coordinator at
Simposio Internacional de Responsabilidad Social de
las Organizaciones (SIRSO).
Dr. Maria A. Petrova is passionate about the timely

implementation of the United Nations SDGs, educating
future leaders about the human impact on the environ-
ment and sustainability management, and achieving an
equitable renewable energy transition to reach net-zero
targets. Dr. Petrova holds a Ph.D. in Environmental
Science from Oregon State University, an M.A. in Mar-
keting from the University of Sheffield, and a B.A. in
Business Administration from the American University
in Bulgaria. She is an interdisciplinary professor, inter-
national scholar, and educational consultant with inter-
ests, publications, and teaching on environmental policy
and politics, climate change and communications, sus-
tainability practices, and public perceptions of renew-
able energy in the United States and internationally. A
native of Bulgaria, she enjoys learning about cultural
differences through reading and traveling.
Dr. Izabela Simon Rampasso is Professor at

Universidad Católica del Norte, Chile. She holds B.Sc.
in Economic Sciences at Pontifical Catholic University
of Campinas (Brazil) and M.Sc. and Ph.D. in Mechan-
ical Engineering at University of Campinas (Brazil).
Currently, she conducts research on sustainability, engi-
neering education, and topics related to management of
productive systems.
xxvi About the Associate Editors
Dr. Amanda Lange Salvia is a Research Associate at

the University of Passo Fundo, Brazil. She is a Deputy
Editor of the Encyclopedia of the Sustainable Develop-
ment Goals and of the International Journal of Sustain-
ability in Higher Education. Her work focuses on the
role of universities toward sustainability, the impacts of
climate change, and the Sustainable Development
Goals.
Luis Velazquez is a senior sustainability researcher

with over 31 years of experience as an Industrial Engi-
neer. Dr. Velazquez holds a doctoral degree in Engineer-
ing Science with a major in Cleaner Production and
Pollution Prevention from the University of Massachu-
setts Lowell. He has been a sustainability research intern
at several higher education institutions, such as
the Center for Health and the Global Environment
of the Harvard School of Public Health. Boston,
USA; the Universidade Paulista, Sao Paulo, Brazil;
Erasmus University, Rotterdam, Holland; and the Uni-
versity of Applied Sciences in Zittau/Gorlitz, Germany.
He has conducted several investigations in the sustain-
ability, cleaner production, and pollution prevention
fields and in the study of sustainable universities. Cur-
rently, he is a Mexican National Research System mem-
ber holding the highest ranking of SNI 3. He has
published several papers in refereed journals and offered
several plenaries at international congresses.
Contributors
Roberto Ariel Abeldaño Zuñiga University of Sierra Sur, Miahuatlán de Porfirio

Díaz, Oaxaca, Mexico
Guillermo Rojas Mijangos SN. Colonia Ciudad Universitaria, Miahuatlán de
Porfirio Díaz, Oaxaca, Mexico
Postgraduate Department, University of Sierra Sur, Oaxaca, Mexico
Centre for Social Data Science, Faculty of Social Sciences, University of Helsinki,
Helsinki, Finland
Brenda Acevedo-Juárez Department of Natural and Exact Sciences, University of
Guadalajara, Jalisco, Mexico
Noé Aguilar-Rivera Facultad de Ciencias Biológicas y Agropecuarias,
Universidad Veracruzana, Córdoba Veracruz, Mexico
Ala’ Al Dwairi Lehrstuhl für Hydrologie und Flussgebietsmanagement,
Technische Universität München (TUM), Munich, Germany
Miguel Alvarado Cardona Instituto Politécnico Nacional, Centro
Interdisciplinario de Investigaciones y Estudios sobre Medio Ambiente y Desarrollo
en la Maestría en Ciencias en Estudios Ambientales y de la Sustentabilidad,
(Research Project SIP 20220811) Ciudad de México, Mexico
Mauricio Andrade De Lima Universidade Alto Vale do Rio do Peixe (UNIARP),
Caçador, Brazil
José Baltazar Salgueirinho Osório de Andrade Guerra Centre for Sustainable
Development/ Research Group on Energy Efficiency and Sustainability (GREENS),
University of Southern Santa Catarina (UNISUL), Florianópolis, Santa Catarina,
Brazil
Cambridge Centre for Environment, Energy and Natural Resource Governance,
(CEENRG), University of Cambridge, Cambridge, UK
Southern University of Santa Catarina – Center for Sustainable Development –
GREENS/UniFG Observatory of the Northeast Semiarid Region, Guanambi,
Bahia, Brazil
xxvii
xxviii Contributors
Gianna Angermayr Department of Economic History, Lund University, Lund,

Sweden
Daniel Añorve Añorve Department of Government and Political Studies,
Universidad de Guanajuato in Guanajuato, Guanajuato, Mexico
Diana Guadalupe Antonio Sánchez Institute of Nutrition, University of Sierra
Sur, Oaxaca, Mexico
Guillermo Rojas Mijangos SN. Colonia Ciudad Universitaria, Miahuatlán de
Porfirio Díaz, Oaxaca, Mexico
Paula Araneda IDIEM, Universidad de Chile, Santiago, Chile
Lesvie Archer Government and Public Policy Institute, University of The Baha-
mas, Nassau, NP, The Bahamas
Erin Bachmeier Department of Biology, Lewis University, Romeoville, IL, USA
S. B. Barbosa Institute of Exact Sciences and Technology, Federal University of
Viçosa, Rio Paranaíba, Brazil
Francisco Bosque Barretto Departamento de Agricultura e Abastecimento da
Prefeitura de Piracaia (Piracaia Department of Agriculture and Supply), São Paulo,
Brazil
Nelson Barros UFP Energy, Environment and Health Research Unit (FP-ENAS),
University Fernando Pessoa (UFP), Porto, Portugal
Valeria Isabela Beattie Elliott School of International Affairs at the George Wash-
ington University, Washington, DC, USA
Héctor Becerril National Council of Science and Technology (CONACYT), Mex-
ico City, Mexico
Javier Becerril García Faculty of Economics, Autonomous University of Yucatán,
Merida, Mexico
Aaron Benavot School of Education/EPL Department, University at Albany-State
University of New York, The Monitoring and Evaluating Climate Communication
and Education (MECCE) Project, Albany, NY, USA
Marie Asma Ben-Othmen INTERACT Research Unit–Innovation, Land Manage-
ment, Agriculture, Agro-Industries, Knowledge, and Technology, UniLaSalle-
France, Mont-Saint-Aignan, France
Nelson Bernal Dávalos University of Brasilia (UNB), Brasilia, Brazil
Jennifer Bernstein The Breakthrough Institute, Case Studies in the Environment,
Berkeley, CA, USA
Mabel Bianco Fundación para Estudio e Investigación de la Mujer (FEIM),
Buenos Aires, Argentina
Contributors xxix
Patricia Bilotta Graduate Program in Local Development – UNISUAM, Curitiba,

Brazil
Rives Rocha Borges University Fernando Pessoa (UFP), Porto, Portugal
Federal University of Bahia (UFBA), Bahia, Brazil
Antonio Erlindo Braga Jr. Department of Design, State University of Pará,
Belem, Brazil
Rayra Brandão Business School, Federal Rural University of the Amazon, Tome-
Acu, Brazil
Luciana Londero Brandli Graduate Program in Engineering, UPF, Passo Fundo,
Brazil
Christan Buurstee Metabolism of Cities Living Lab (MOC-LLAB), Center for
Human Dynamics in the Mobile Age, San Diego State University, San Diego, CA,
USA
Politecnico di Milano, Milan, Italy
Adriana Ferreira Cristina Caldana School of Economics, Business Administra-
tion and Accounting at Ribeirão Preto, University of São Paulo, Ribeirao Preto,
Brazil
Paula Alencar Camargo University of Southern Santa Catarina (UNISUL),
Florianópolis, Brazil
Alethea G. Candia-Calderón Autonomous Metropolitan University – Cuajimalpa
(UAM), Mexico City, Mexico
Amanda Silveira Carbone University of São Paulo – USP, São Paulo, Brazil
Isabela Castellanos Education, Universidad San Francisco de Quito (USFQ),
Quito, Ecuador
Diana Estefanía Castillo-Loeza Patrimonio, Desarrollo y Sustentabilidad A.C.,
Merida, Mexico
Sergio Celis School of Engineering and Sciences, FCFM, Universidad de Chile,
Santiago, Chile
Priscila Cembranel UNISOCIESC-University Educational Society of Santa
Catarina, Jaraguá do Sul, SC, Brazil
Luciana O. Cezarino Ca’ Foscari University of Venice, Venice, Italy
Cristina Chaminade Department of Economic History and CIRCLE – Centre for
Innovation Research, Lund University, Lund, Sweden
Department of Business and Management, Aalborg University, Aalborg, Denmark
International Centre of Economic Policy for Sustainable Development, Universidad
Nacional, Heredia, Costa Rica
xxx Contributors
Joselisa Maria Chaves State University of Feira de Santana – UEFS, Feira de

Santana, Brazil
Brenda Lía Chávez Cosamalón Caritas Australia, Monitoring and Evaluating
Climate Communication and Education (MECCE) Project, Sydney, NSW, Australia
Carlos Magno Santos Clemente UniFG University Center/UniFG Observatory of
the Northeast Semiarid Region, Guanambi, Bahia, Brazil
Sandra Dalila Corbari Federal University of Rio Grande – FURG, Rio Grande,
Brazil
Francisco Miguel Corrales Embrapa – Empresa Brasileira de Pesquisa
Agropecuária/Embrapa Meio Ambiente (Embrapa – Brazilian Agricultural Research
Corporation/Embrapa Environment), Jaguariúna, São Paulo, Brazil
Manuel Cortez Casa Congo, El Astillero, Nicaragua
Giancarlo Cotella Interuniversity Department of Regional and Urban Studies and
Planning (DIST), Politecnico di Torino, Torino, Italy
Gabriel Oscar Cremona Parma Southern University of Santa Catarina, Palhoça,
Santa Catarina, Brazil
Evandro Coggo Cristofoletti DPCT/Unicamp, Campinas, Brazil
James Thiago Leite Cruz Faculdade de Direito, Universidade Federal do Pará,
Belém, Brazil
B. Cruz Romero University of Guadalajara, Puerto Vallarta, Jalisco, Mexico
Christian Cruz-Meléndez Researcher CONACYT-UNSIS, Graduate Studies
Division, Calle Guillermo Rojas Mijangos S/N, Esq. Av. Universidad Col. Ciudad
Universitaria, Miahuatlán de Porfirio Díaz, Mexico
Lizeth Cueva Formación Continua, Ministerio de Educación Ecuador, Quito,
Ecuador
Tania Nadiezhda Plascencia Cuevas Universidad Autónoma de Nayarit, Nayarit,
Mexico
Leila Dal Moro Graduate Program in Management, Business School, Atitus, Passo
Fundo, Brazil
Diego Davila Benavides Universidad Santo Tomas, Bogota, Colombia
Ana Regina de Aguiar Dutra University of Southern Santa Catarina (UNISUL)/
Research Group on Energy Efficiency and Sustainability – GREENS, Florianópolis,
Claudio Renato de Camargo Mello Universidade de Cruz Alta – UNICRUZ,
Cruz Alta, Brazil
Contributors xxxi
Gabriela Narcizo de Lima Department of Geography – Faculty of Letters, Uni-

versity of Porto, Porto, Porto, Portugal
Rafael de Lima University of Southern Santa Catarina (UNISUL)/Research Group
on Energy Efficiency and Sustainability – GREENS, Florianópolis, Santa Catarina,
Brazil
André Borchardt Deggau University of Southern Santa Catarina (UNISUL),
Florianópolis, Brazil
Felipe Teixeira Dias Southern University of Santa Catarina – Center for Sustain-
able Development – GREENS/UniFG Observatory of the Northeast Semiarid
Region, Guanambi, Bahia, Brazil
University of Southern Santa Catarina (UNISUL)/Research Group on Energy Effi-
ciency and Sustainability – GREENS, Florianópolis, Santa Catarina, Brazil
Karla Díaz Education, Universidad San Francisco de Quito (USFQ), Quito,
Ecuador
R. Díaz Gómez CEIDE, FCAyF, National University of La Plata, La Plata,
Argentina
Thais Aparecida Dibbern DPCT/Unicamp, Campinas, Brazil
Maria Alzira Pimenta Dinis UFP Energy, Environment and Health Research Unit
(FP-ENAS), University Fernando Pessoa (UFP), Porto, Portugal
Denis dos Santos Alves FCA/Unicamp, Campinas, Brazil
Wânia Duleba University of São Paulo – USP, São Paulo, Brazil
Beatriz Duarte Dunder University of São Paulo, Mauá, São Paulo, Brazil
Ana Regina Aguiar Dutra Universidade do Sul de Santa Catarina- Centro de
Desenvolvimento Sustentável – GREENS, Florianópolis, Santa Catarina, Brazil
Natalia Hauenstein Eckert Universidade de Cruz Alta – UNICRUZ, Cruz Alta,
Brazil
Ivan Egido-Zurita Inter Alia SRL, Bolivia Lateinamerika-Gruppe e.V., Frankfurt
am Main, Germany
Gabriela Fernandez Metabolism of Cities Living Lab (MOC-LLAB), Department
of Geography, Center for Human Dynamics in the Mobile Age, San Diego State
University, San Diego, CA, USA
A. Fonseca Fernando Pessoa University, Porto, Portugal
Ana Paula Fonseca University of Dundee, Business School, Dundee, UK
Thiago Gehre Galvão Earth System Governance Research Centre Brasília,
Brasília, Brazil
xxxii Contributors
Roberto Garcia Alonso Universidad de La Sabana, Bogota, Colombia

Universidad de Salamanca, Salamanca, Spain
Jeannie Gibson Government and Public Policy Institute, University of The Baha-
mas, Nassau, NP, The Bahamas
Bruno Dutra Della Giustina Student of the International Relations course at the
University of Southern Santa Catarina – Unisul, Tubarão, SC, Brazil
Giovanna Gonçalves de Misquita e Silva Universidade Federal de São Paulo –
UNIFESP, São Paulo, Brazil
Rakesh Govind Chemical Engineering Department, University of Cincinnati, Cin-
cinnati, OH, USA
Maria Luiza Machado Granziera Santos University, São Paulo, Brazil
Isabel Jurema Grimm Higher Institute of Education and Economics – ISAE,
Curitiba, Brazil
Nelly Victoria Gutiérrez Moguel University of Cañada, Oaxaca, Mexico
María del Carmen Gutiérrez-Diez Universidad Autónoma de Chihuahua, Chi-
huahua, Mexico
Francisco Iván Hernández-Cuevas School of Management, Tourism and Mar-
keting, Universidad Marista de Mérida, Merida, Mexico
J. L. M. Hoefel UNIFAAT - University Center, Atibaia, São Paulo, Brazil
Antonio Huerta-Estévez Departamento de Ingeniería Industrial, Tecnológico
Nacional de México/Instituto Tecnológico de Veracruz, Veracruz, Mexico
Julia Bronzatti Jochims Universidade de Cruz Alta – UNICRUZ, Cruz Alta,
Brazil
Ivone Junges GREENS at the University of Southern Santa Catarina, Tubarão, SC,
Brazil
Jerry H. Kavouras Department of Biology, Lewis University, Romeoville, IL,
USA
Nadeem Khan Henley Business School, University of Reading, Henley on
Thames, Oxfordshire, UK
Cláudia Kniess Federal University of São Paulo – UNIFESP, São Judas Tadeu
University - USJT, University of Taubaté – UNITAU, São Paulo, Brazil
Nada Korac-Kakabadse Henley Business School, University of Reading, Henley
on Thames, Oxfordshire, UK
Stephanie Lingenfelter Department of Biology, Lewis University, Romeoville, IL,
USA
Contributors xxxiii
Gabriel Lozano Universidad Santo Tomas, Bogota, Colombia

Javier Lucena Giraldo Departamento de Estructura Económica y Economía del
Desarrollo, Universidad Autónoma de Madrid, Madrid, Spain
Claudia Mac-lean Gaia Antarctic Research Center, University of Magallanes,
Punta Arenas, Chile
Víctor Magaña Department of Physical Geography, Institute of Geography,
National Autonomous University of Mexico, UNAM, Ciudad de México, México
Carol Maione Department of Management, Economics and Industrial Engineer-
ing, Politecnico di Milano, Milan, Italy
Metabolism of Cities Living Lab (MOC-LLAB), Center for Human Dynamics in the
Mobile Age, San Diego State University, San Diego, CA, USA
Moises E. Manzanares-Manzanarez Instituto Politécnico Nacional, Centro
Fernando Ariel Manzano Instituto de Geografía, Historia y Ciencias Sociales
(CONICET/UNCPBA) y Centro de Investigaciones Geográficas (FCH/UNCPBA),
Buenos Aires, Argentina
J. Marques Fernando Pessoa University, Porto, Portugal
Luca Marsaglia Casa Congo, El Astillero, Nicaragua
Luis Armando Martínez Vanderbilt University, Nashville, TN, USA
María Concepción Martínez-Rodríguez Instituto Politécnico Nacional, Centro
Vitor William Batista Martins Department Production Engineering, State Uni-
versity of Pará, Belem, Brazil
Juan José Mascaró Universidade de Passo Fundo – UPF, Passo Fundo, Brazil
Mohammed Matouq Faculty of Engineering Technology, Chemical Engineering
Department, Al-Balqa Applied University, Amman, Jordan
Chelsi A. McNeill-Jewer Graduate School of Earth, Environment, and Society
(SEES), McMaster University, Hamilton, ON, Canada
André Cristiano Silva Melo State University of Pará, Belém, Brazil
G. A. Melo Management and Markets Intelligence Center, Federal University of
Lavras, Lavras, Brazil
xxxiv Contributors
M. C. A. Mendonça Department of Agro-industrial Management, Federal Univer-

sity of Lavras, Lavras, Brazil
Isabel Merino IDEA, Universidad San Francisco de Quito (USFQ), Quito,
Ecuador
Chiara Mio Ca’ Foscari University of Venice, Venice, Italy
Elliott Mokski Harvard College, Cambridge, MA, USA
João Luiz de Moraes Hoefel Núcleo de Estudos em Sustentabilidade e Cultura –
NESC/CEPE, Centro Universitário UNIFAAT (UNIFAAT – University Center),
Atibaia, São Paulo, Brazil
Catherine Nieto Moreno Instituto Politécnico Nacional, Centro Interdisciplinario
de Investigaciones y Estudios sobre Medio Ambiente y Desarrollo (IPN-CIIEMAD),
Ciudad de México, Mexico
Maura Dinorah da Silva Motta University of São Paulo-USP, Porto Alegre,
Brazil
Nora Munguia Sustainable Development Graduate Program, University of
Sonora, Hermosillo, Mexico
Nidhi Nagabhatla Chemical Engineering, Faculty of Engineering, Universidad
Mayor de San Andrés, La Paz, Bolivia
The United Nations University Institute on Comparative Regional Integration Stud-
ies (UNU-CRIS), Brugge, Belgium
Graduate School of Earth, Environment, and Society (SEES), McMaster University,
Hamilton, ON, Canada
Verônica de Menezes Nascimento Nagata State University of Pará, Belém, Brazil
Alcindo Neckel Graduate Program in Architecture, Atitus, Passo Fundo, Brazil
Paulo van Noije School of Applied Sciences, University of Campinas, Limeira,
Brazil
M. C. L. C. Novaes Center for Sustainability and Cultural Studies (NESC/CEPE/
UNIFAAT), Atibaia, São Paulo, Brazil
Isabel Novo-Corti Department of Economics, EDaSS Research Group on Eco-
nomic Development and Social Sustainability, University of A Coruña, A Coruña,
Spain
Denilson Ricardo de Lucena Nunes State University of Pará, Belém, Brazil
Fabio Oliveira Henley Business School, University of Reading, Henley on
Thames, Oxfordshire, UK
Contributors xxxv
Sazcha M. Olivera-Villarroel Autonomous Metropolitan University – Cuajimalpa

(UAM), Mexico City, Mexico
Eduardo Ordonez-Ponce Faculty of Business, Athabasca University, Athabasca,
AB, Canada
Orlandy Orlandi Municipality of São Bonifácio, Santa Catarina, São Bonifácio,
SC, Brazil
Andrés Palacio Department of Economic History, Lund University, Lund, Sweden
FIGRI, Universidad Externado de Colombia, Bogotá, Colombia
M. G. M. Peixoto Institute of Exact Sciences and Technology, Federal University
of Viçosa, Rio Paranaíba, Brazil
Deborah Marques Pereira UniFG University Center/UniFG Observatory of the
Northeast Semiarid Region, Guanambi, Bahia, Brazil
Edith Pereyra de la Rosa Patrimonio, Desarrollo y Sustentabilidad A.C., Merida,
Mexico
Sendy Pérez Development Management Centre, Autonomous University of Guer-
rero, Acapulco, Mexico
Antonio Emmanuel Pérez Brito Universidad Autónoma de Yucatán, Yucatán,
Mexico
CiTUR Centre for Tourism Research, Development and Innovation, Leiria, Portugal
Karina Nicole Pérez-Olmos Facultad de Ciencias Biológicas y Agropecuarias,
Xose Picatoste Department of Economics, EDaSS Research Group on Economic
Development and Social Sustainability, University of A Coruña, A Coruña, Spain
Luciano Sousa Pimenta School of Economics, Business Administration and
Accounting at Ribeirão Preto, University of São Paulo, Ribeirao Preto, Brazil
Maurizio Pioletti Politecnico di Torino, Torino, Italy
Gabriel Pires de Araújo University of São Paulo, Mauá, São Paulo, Brazil
Dieisson Pivoto Graduate Program in Management, Business School, Atitus, Passo
Fundo, Brazil
Diego Posada Università degli Studi di Padova, The Monitoring and Evaluating
Climate Communication and Education (MECCE) Project, Padova, Italy
Leonardo Antonio Pregnolato University of São Paulo – USP, São Paulo, Brazil
xxxvi Contributors
Julia M. Puaschunder Graduate School of Arts and Sciences, Columbia Univer-

sity, New York, NY, USA
Department of Economics, The New School for Social Research, New York, NY,
USA
José Manuel Puente Instituto de Estudios Superiores de Administración, IESA,
Caracas, Venezuela
IE University, Madrid, Spain
Nascira Ramia Education, Universidad San Francisco de Quito (USFQ), Quito,
Ecuador
Rodrigo Correa Ramiro Earth System Governance Research Centre Brasília,
Brasília, Brazil
José Gerardo Reyes López Universidad Autónoma de Chihuahua, Chihuahua,
Mexico
Helena Ribeiro University of São Paulo-USP, São Paulo, Brazil
Raissa Maria Rita UNISOCIESC-University Educational Society of Santa
Catarina, Jaraguá do Sul, SC, Brazil
J. E. Rivera García University of Guadalajara, Puerto Vallarta, Jalisco, Mexico
Márcio Ferreira Rocha Institute of Economics, University of Campinas, Campi-
nas, Brazil
Saulo Rodrigues-Filho University of Brasília, Sustainable Development Center,
Brasilia, Brazil
Ernesto Rodríguez-Crespo Departamento de Estructura Económica y Economía
del Desarrollo, Universidad Autónoma de Madrid, Madrid, Spain
Ramgopaul Roop Ro-Crops Agrotec, Caroni, Trinidad and Tobago
C. Rubio Argentine Institute of Arid Zones Research (IADIZA-CONICET), Men-
doza, ZC, Argentina
Marina Mauad Sacramento School of Economics, Business Administration and
Accounting at Ribeirão Preto, University of São Paulo, Ribeirao Preto, Brazil
María Gabriela Salcedo Education, Universidad San Francisco de Quito (USFQ),
Quito, Ecuador
D. Sanchez Casanova University of Guadalajara, Puerto Vallarta, Jalisco, Mexico
Stephane Louise Boca Santa University of Southern Santa Catarina (UNISUL)/
Research Group on Energy Efficiency and Sustainability – GREENS, Florianópolis,
Contributors xxxvii
Rodolfo Sapiains Gaia Antarctic Research Center, University of Magallanes,

Punta Arenas, Chile
Facultad de Ciencias Sociales, Universidad de Chile, Santiago, Chile
Tatiana Schor Departamento de Geografia, Universidade Federal do Amazonas,
Conselho de Ensino e Pesquisa, Manaus, AM, Brazil
Milena Pavan Serafim FCA/Unicamp, Campinas, Brazil
Ricardo Serna-Lagunes Facultad de Ciencias Biológicas y Agropecuarias,
Evan Nathaniel Shenkin Department of Sociology and Anthropology, Linfield
University, McMinnville, OR, USA
José Irivaldo Alves Oliveira Silva Department of Public Management, Federal
University of Campina Grande, Campina Grande, Brazil
Antonis Skouloudis Department of the Environment, University of Aegean,
Mitilini, Greece
Thiago Coelho Soares University of Southern Santa Catarina (UNISUL)/Research
Group on Energy Efficiency and Sustainability – GREENS, Florianópolis, Santa
Catarina, Brazil
Fabiola S. Sosa-Rodriguez Research Area in Growth and Environment, Metro-
politan Autonomous University, Azcapotzalco, Mexico
Paula Cecilia Soto-Rios Graduate Unit of Chemical Engineering, Faculty of Engi-
neering, Universidad Mayor de San Andrés, La Paz, Bolivia
Chemical Engineering, Faculty of Engineering, Universidad Mayor de San Andrés,
La Paz, Bolivia
Gabriela Alexia Winkelmann de Souza Universidade de Cruz Alta – UNICRUZ,
Cruz Alta, Brazil
Danielle Grecco de Souza Silveira University of Southern Santa Catarina
(UNISUL), Florianópolis, Brazil
Lucas C. Stocco School of Economics, Business Administration and Accounting at
Ribeirão Preto - FEA/RP, University of São Paulo, Ribeirão Preto, São Paulo, Brazil
Denise Stringhini Universidade Federal de São Paulo – UNIFESP, São Paulo,
Brazil
José Carlos Suárez-Herrera Department of Clinical Sciences, University of Las
Palmas de Gran Canaria, Las Palmas de Gran Canaria, Spain
Julia Swart Utrecht School of Economics, Utrecht University, Utrecht, The
Netherlands
xxxviii Contributors
Zusan A. Tejeda Fernandez Graduate Unit of Chemical Engineering, Faculty of

Engineering, Universidad Mayor de San Andrés, La Paz, Bolivia
Ulf Thoene Universidad de La Sabana, Bogota, Colombia
Humberto Thomé-Ortiz Institute of Agricultural and Rural Sciences, Autono-
mous University of the State of Mexico, Toluca, Mexico
Oscar David Valencia-López Graduate Studies Division, Universidad de la Sierra
Sur (UNSIS), Calle Guillermo Rojas Mijangos S/N, Esq. Av. Universidad Col.
Ciudad Universitaria, Miahuatlán de Porfirio Díaz, Mexico
José Fernando Calistron Valle Fundação Florestal (Forest Foundation), Campi-
nas, São Paulo, Brazil
Beatriz Vieira University of Southern Santa Catarina (UNISUL), Florianópolis,
Brazil
Isabella Villanueva NGO CEUS Chile, Santiago, Chile
Pilar Carolina Villar Federal University of São Paulo, São Paulo, Brazil
Domenico Vito Metabolism of Cities Living Lab (MOC-LLAB), Center for
Human Dynamics in the Mobile Age, San Diego State University, San Diego, CA,
USA
Hubzine Italia, Milan, Italy
Ana Lucia Watanabe Departamento de Agricultura e Abastecimento da Prefeitura
de Piracaia (Piracaia Department of Agriculture and Supply), Piracaia, São Paulo,
Brazil
Miles Weaver The Business School, Edinburgh Napier University, Edinburgh, UK
Martha Isabel Bojórquez Zapata Universidad Autónoma de Yucatán, Yucatán,
Mexico
Emmanuel Zúñiga CONACYT-Institute of Geography, National Autonomous
University of Mexico, UNAM, Ciudad de México, México
Part I
Research Perspectives
Alternative Systems for Water Security
in the Brazilian Semiarid Region
José Irivaldo Alves Oliveira Silva , Pilar Carolina Villar , and

Maria Luiza Machado Granziera
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Water Security of Rural Communities in Arid and Semiarid Regions in the Context of
COVID-19 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Water Scurity, Rural Area of the Brazilian Semiarid Region, Public Water Policies and
COVID-19 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Water Security for Rural Populations Through Small-Scale Water Systems (SSWS):
The Case of the 1 Million Cisterns Program (P1MC) and the Freshwater Program (PAD) . . . . 10
1 Million Cisterns Program (P1MC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Freshwater Program (Água Doce Program) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Abstract
The Brazilian semiarid region faces the challenge of guaranteeing water security
for rural communities, especially with the COVID-19 outbreak. The chapter
presents how small-scale water system initiatives like the 1 million Cisterns
Program and the Freshwater Program contribute to the access to water, pointing
out its strengths and weaknesses. The methodology consisted in a thorough
document analysis. These programs adopted a posture of coexistence with the
J. I. A. O. Silva (*)
Department of Public Management, Federal University of Campina Grande, Campina Grande,
Brazil
e-mail: jose.irivaldo@professsor.ufcg.edu.br; irivado.cdsa@gmail.com
P. C. Villar
Federal University of São Paulo, São Paulo, Brazil
e-mail: pilar.villar@unifesp.br
M. L. M. Granziera
Santos University, São Paulo, Brazil
e-mail: marialuiza.granziera@gmail.com
© Springer Nature Switzerland AG 2023 3

W. Leal Filho et al. (eds.), SDGs in the Americas and Caribbean Region, Implementing
the UN Sustainable Development Goals – Regional Perspectives,
https://doi.org/10.1007/978-3-031-16017-2_108
4 J. I. A. O. Silva et al.
drought and included rural populations as protagonists in the planning, installa-

tion and monitoring processes of the systems. Their continuity depends on the
government’s willingness. Although they ease regional structural problems, they
do not solve them.
Keywords
Brazilian semiarid · Water security · Alternative water systems · Freshwater
Introduction
Ensuring water security for rural communities in arid and semiarid areas is a major
challenge to guarantee the human right to water. The emergence of COVID-19
highlights the importance of access to water to prevent and fight the virus, whether
through hand washing, cleaning of goods, clothing and masks, or guaranteeing
healthy environments.
Although Brazil is known for holding 12% of the world’s freshwater reserves
(Ana 2019) and sharing large transboundary basins and aquifers (such as the
Amazon Basin, the Prata River Basin and the Guarani Aquifer), it also comprises
one of the largest and most populous semiarid regions on the planet – the Brazilian
semiarid (Mdr 2019). The combination of climate variability and governance prob-
lems has made this region known for its low human development index (HDI), water
scarcity, and migration resulting from drought and poverty (Campos 2015).
Public policies for access to water were reactive to the occurrence of major
droughts and were structured based on investments for the construction of water
infrastructure, mainly dams or reservoirs. The focus of those infrastructures was to
meet the specific demands of cities, industry, and irrigation, without much attention
for the water security of low-income families living in rural areas (Santana et al.
2011).
In this context, the Freshwater Program (Programa Água Doce - PAD) and
1 million Cisterns Programs (Programa 1 Milhão de Cisternas – P1MC) aim, in
an innovative and autonomous way, to ensure access to water for individuals and
small communities, guaranteeing access to quality water through alternative small-
scale water supply systems. In the case of the pandemic, these initiatives took on
greater relevance, as preventive actions are the main alternative for these communi-
ties. Among the municipalities, 99% have a low health development index, with a
deficit of health care professionals and primary care services of basic, medium, and
high complexity (Damasceno et al. 2018).
This chapter presents how small-scale water system (SSWS) based programs can
contribute to promoting water security in the rural semiarid region, pointing out the
strengths and weaknesses of the PAD and the P1MC. The methodology used was
document analysis from the National Water and Sanitation Agency (ANA) and the
Ministry of Regional Development (MDR) involved in the implementation of these
programs.
Alternative Systems for Water Security in the Brazilian Semiarid Region 5
Water Security of Rural Communities in Arid and Semiarid

Regions in the Context of COVID-19
The search for universal access to water and sanitation has been a challenge on the
international agenda since the so-called International Drinking Water Supply and
Sanitation Decade promoted by the United Nations, between 1980 and 1990. The
approval of the Millennium Goals (MDGs) leveraged this commitment, as the
MDGs 7 – Ensure Environmental Sustainability (Target 7.c) intended to “reduce
by half, by 2015, the population without permanent and sustainable access to
drinking water and to sanitation.” Despite 147 out of 215 countries achieving the
target, inequalities continued, particularly in rural areas (UNICEF and WHO 2015).
According to General Comment n. 15, issued by the United Nations Committee
for Economic, Social and Cultural Rights (CESCR), access to water would be
classified as a human right (United Nations 2002). This was the basis for the United
Nations General Assembly to declare the human right to water and sanitation, by
Resolution no 64/292/2010 (United Nations 2010). Its main objective is to ensure
“that everyone has sufficient, safe, acceptable, physically accessible and reasonably
priced water for personal and domestic use,” representing a milestone in the public
policy agendas in the water, sanitation, and development sector (Brown et al. 2016).
The universalization of this right gained strength with the 2030 Agenda for
Sustainable Development of the United Nations, which comprises 17 Sustainable
Development Goals (SDG) and 169 targets. The SDG 6 – Drinking water and
Sanitation – aims to promote management and achieve universal access to water
and sanitation by 2030. This challenge faces greater difficulties to materialize in
developing countries that have problems related to access to health care, housing,
and education, particularly in arid and semiarid regions (United Nations 2021).
These initiatives generated improvements in the years 2000 to 2017, which
allowed the reduction of the number of people without access to safe drinking
water from 1.1 billion to 785 million, while the lack of access to sanitation went
from 2.7 billion to 2 billion (UNICEF and WHO 2019). There is a lack of data about
hygiene in most world countries; however, it is estimated that 3 billion people do not
have adequate handwashing facilities, either because of the lack of such structure in
the home or because of problems with lacking water and soap (UNICEF and WHO
2019). In the case of Brazil, in 2004, more than 50 million people did not have access
to piped water (Moraes 2014). By 2020, the numbers had dropped to 34 million
(16.3% of the population) (Ana 2020). The sanitation situation in Brazil is still
critical as 96 million (46%) do not even have access to sewage collection services
(Ana 2020).
These numbers mask inequality as little progress has been made in water distri-
bution in rural areas, traditional communities, informal settlements, and slums,
where the poorest and most vulnerable groups live (Meeks 2018; Cetrulo et al.
2020). These populations are more exposed to public health problems resulting from
waterborne diseases; diseases that are spread by the lack of sufficient amounts of
water to carry out personal hygiene; vector-related diseases or diseases caused by
drinking contaminated water (WHO 2003).
In this context, guaranteeing water security to these communities is essential.

There is no consensus on this concept, which incorporates debates related to military,
food, energy, environment, livelihood, and health security (Brauch et al. 2009; Cook
and Bakker 2012). One of the most widespread concepts of water security is the one
developed by the Global Water Partnership (2000, 12), through which it must be
ensured that “every person has access to enough safe water at an affordable cost to
lead a clean, healthy and productive life, while ensuring that the natural environment
is protected and enhanced.” This definition includes the human right to water but
goes even further, as it seeks to ensure: meeting basic needs; food production;
protection of ecosystems; equitable sharing of water resources; risk management
(drought and floods); assigning a value to water; and water resources management
(Cook and Bakker 2012).
The pandemic highlighted the importance of meeting water human needs and
seeking innovative solutions, without major construction and with the involvement
of communities that are directly affected (Linton 2012). Without access to water it is
not possible to achieve many other SDGs, such as: SDG 1 – No poverty; SDG 2 –
Zero hunger; SDG 3 – Good health and well-being; SDG 5 – Gender equality; SDG
10 – Reduced inequalities; SDG 11 – Sustainable cities and communities. The SDGs
and targets are compartmentalized, but they can only thrive with a governance
infrastructure capable of implementing them in an integrated manner by institutions,
policies and management practices that include various social actors (Bernstein
2017).
Rural communities face the challenge of obtaining safe, accessible and low-cost
water, as well as having a voice in public policies, because urban areas, whose
population density and social mobilization are greater are prioritized (Li et al. 2019).
Also, in rural areas the centralized infrastructure of water and sewage networks does
not represent an effective solution, as there are: (a) low numbers of household
connections; (b) dispersion of residences in the space; (c) extension of rural areas;
and (d) difficulties in accessing the installation, operation, and maintenance of
networks (Barde 2017). These difficulties explain why only 29% of rural areas
have a piped water network (Joint Monitoring Programme 2014).
The problem of access to water becomes more dramatic in arid and semiarid rural
areas, due to the availability of limited water reserves, making these localities
become increasingly subject to prolonged droughts. Tackling this problem requires
institutional, economic, social, and engineering approaches (Kahil et al. 2016). The
strategies adopted focus on: reducing water entitlement rights; transferring water
from other basins; adopting economic instruments, or technologies that encourage
low consumption; small-scale water systems (SSWS); joint use of surface and
groundwater, as well as other alternative sources, such as rainwater, stormwater
and atmospheric harvesting, desalination (sea water or brackish groundwater), and
recycled water (Kahil et al. 2016).
For small rural communities in water-stressed regions, solutions must consider
the local reality and foster the strengthening of social capital and arrangements that
enable the empowerment of these rural communities, with effective opportunities for
its development (Dean et al. 2016). Therefore, it is not enough to implement water
infrastructure construction, as it was done in the past.
Water Scurity, Rural Area of the Brazilian Semiarid Region, Public

Water Policies and COVID-19
The Brazilian semiarid (Map 1) has an area of 1,128,697 km2 and covers 1262
municipalities in ten Brazilian states (Alagoas, Bahia, Ceará, Maranhão, Paraíba,
Pernambuco, Piauí, Rio Grande do Norte, Sergipe and Minas Gerais) (SUDENE
Resolutions no 107, of July 27, 2017 and no 115, of November 23, 2017), with a
population of approximately 27,870,241 people (Mdr 2019). Updated data on the
rural population are lacking, but according to the 2010 Demographic Census there
were 8.5 million people living there, corresponding to the lowest urbanization rate in
the country (IBGE 2010). This region is characterized by an average annual rainfall
of less than 800 mm; a Thorntwaite aridity index equal to or less than 0.50 and a
daily percentage of water deficit equal to or less than 60%, considering every day of
the year (SUDENE Res. n 107/2017). Irregular rainfall, low precipitation rates,
intermittent rivers, low availability of groundwater, high temperatures, strong
Map 1 Map of the Brazilian semiarid region (IBGE 2017). (Prepared by the authors. Source:
Superintendence for the Development of the Northeast,. From here: Instituto Brasileiro de
Geografia e Estatísticas (IBGE) (2017) ‘Mapa do semiárido’ 1:12000000. Available at: https://
geoftp.ibge.gov.br/organizacao_do_territorio/estrutura_territorial/semiarido_brasileiro/Situacao_
23nov2017/mapa_Semiarido_2017_11_23.pdf)
insolation, and high evapotranspiration rates, linked with the social and environ-
mental vulnerability framework, are a challenge for management and make it
difficult to guarantee the right to water.
In the Semiarid region, only 32% of rural households had access to treated water
in 2012, and 68% of the population had to resort to alternative sources of water
(De Lira Azevêdo et al. 2017). The main sources of water are: reservoirs known as
weirs, underground dams, rainwater cisterns, wells, waterholes, bottled water, and
water tanks (De Lira Azevêdo et al. 2017). In the absence of public water networks,
access to water is made possible via direct extraction from either the water body,
wells, distribution through a network built by residents’ associations, or transported
by means of water tanker trucks, cars, motorcycles, animals, or people (De Lira
Azevêdo et al. 2017).
The region has the highest percentage of population with some degree of vulner-
ability (69%) (Ana 2020), the highest proportion of low-income families (more than
6.3 million) and low levels of human development (0.613) (Santana et al. 2011).
Another regional challenge is the unequal relationship between land and access to
water (Arsky 2020). Water access in the semiarid region is an issue that transcends
the “water supply paradigm.” Water is a scarce resource, but the way in which it is
distributed reveals structural inequalities marked by injustices, and both gender and
ethnic-racial differences, that permeate human relations in this territory (Campos
2015). The lack of access to water, sanitation, education, infrastructure, and health
care creates a cycle of poverty that often lasts for generations, or forces people to
leave their land. In the case of the pandemic caused by Covid-19, access to water was
not enough to maintain adequate, health conditions.
Of the families that have individual or community facilities for accessing water,
53.5% live more than 5 km from the nearest primary care center, while 60% are more
than 10 km from high-complexity care centers that provide care for COVID-19
(Benevenuto et al. 2019). The distance and lack of transport discouraged or pre-
vented this population from seeking health services, putting their lives at risk,
especially in the case of COVID-19, or other serious illnesses.
From the end of the 1990s onwards, instead of seeing drought as an obstacle to be
overcome, policies have begun reinforcing the population’s resilience against
regional natural conditions that tend to worsen due to climate change (Campos
2015). Public policies for the Brazilian semiarid region can be divided into five
periods: contact with the semiarid region (1583–1848); the search for knowledge
(1849–1877), hydraulic solutions (1877–1958), regional-based development policy
(1959–1991) and the last phase, which started in 1992 and concerns social policies
based on solutions that increase water management and the improvement of the
population’s quality of life (Campos 2015). For Moura et al. (2021), the main
challenge is promoting investments in public policies for access to water which,
preserve the natural biodiversity of these regions and promote the participation of the
population. Table 1, adapted from Machado et al. (2017), presents an overview of the
main public policies related to mitigating the effects of drought in the Brazilian
Semiarid Region.
Table 1 Evolution of public policies in the Brazilian semiarid region

Period Main public policies aimed at combating the drought
1948–1956 Creation of the Federal Institute of Works Against Drought – IFOCS (1948),
Northeast Bank (1952) and the Working Group for the Development of the
Northeast-GTDN (1956).
1959 The Northeast Development Council (CODENO) was created, and the Northeast
Development Superintendence (SUDENE) was instituted.
1970–1976 Regional development programs to promote irrigation: National Integration
Program (PIN), North and Northeast Land Redistribution and Incentive to
Agroindustry Program (PROTERRA), 1971, incorporated into the I National
Development Plan (I PND) and the Special Program for the São Francisco Valley
(PROVALE), 1972, and the Northeast Integrated Areas Development Program
(POLONORDESTE), 1974; and SERTANEJO Project.
1977–1984 Northeast Water Resources Program (PROHIDRO), later renamed PROÁGUA
(1977). National Irrigation Policy (1978).
PROVÁRZEAS Program (in charge of the States) dedicated to provide assistance
to small farmers (1981).
Agreement between the Ministry of Integration (MI) and the International Bank for
Reconstruction and Development (BIRD) to allow the implementation of medium-
sized companies in irrigation projects (1984).
1987 The Northeast Irrigation Program - PROINE (1986), which was expanded to the
National Irrigation Program - PRONI (1986), which established the Northeast
Project I, in which only the Support Program for Small Rural Producers (PAPP) in
the semiarid region prospered.
1990–1993 Emergency Food Distribution Program - PRODEA, (1993). This program gave
rise to the Bolsa Renda Program in 2001 and the Bolsa Família in 2004. In 1997,
the irrigation model was created, with family plots for settlement projects and
public irrigation projects fully occupied by companies.
1998 Creation of the Federal Program to Combat the Effects of Drought, coordinated by
SUDENE, to help those affected by the drought. To avoid the dismantling of public
irrigation projects, in December 1999, SUDENE, the Superintendence of the
Amazon (SUDAM), the National Department of Works Against Droughts
(DNOCS) and the São Francisco and Parnaíba Valleys Development Company
(CODEVASF) were linked to the Ministry of Integration (created in September
1999). In July 1999, the National Civil Defense Council (CONDEC) prepared the
Manual for the Decree of Emergency Situations or State of Public Calamity
2001–2006 Creation of the 1 million Rural Cisterns Program (P1MC), within the Training and
Social Mobilization Program for Living within the Semiarid, from the Articulation
in the Semiarid (ASA) NGO, created in 1999. The P1MC becomes a public policy
of the federal government upon signing the Partnership Agreement no 001/2003
with the Ministry of Social Development (MDS). SUDENE was dissolved in May
2001, having been renamed the Northeast Development Agency (ADENE) in June
2004. SUDENE was recreated in 2007. Creation in 2003 of the One Land and Two
Waters Program (P1+2), a program about living within the semiarid that intends to
assure the rural population access to land and water. The National Semiarid
Institute (INSA) was created in 2004.
2011 Creation of the Water for All Program (Program Água para Todos) and the
Cisterns in Schools Project, which are integral parts of the Brazil without Poverty
Plan (Plano Brasil Sem Miséria).
Prepared by the authors
Source: Machado et al. (2017)
Despite the policies and investments, the situation of rural socio-environmental

vulnerability persists. The public policies carried out either did not focus on small
landowners or were discontinued. Federal Law no 11.445/2007 and the changes
made in 2020 perpetuate the exclusion of access to water for the rural population,
centralizing their actions to the urban environment. Ignoring the deadline of SDG-6,
Law n 14.026/2020 established that universalization will only be achieved in 2033,
but it did not bring strategies for rural supply. The National Water Security Plan (Ana
2019) allocated most of its investments to the Northeast region, with emphasis on
increasing water availability in the Semiarid region (R$ 15.7 billion, corresponding
to 58% of the total). However, this investment is intended to supply cities, never
reaching the rural population. Against this trend, the PAD and the P1MC stand out
by seeking to provide water and alleviate inequality.
Water Security for Rural Populations Through Small-Scale Water

Systems (SSWS): The Case of the 1 Million Cisterns Program
(P1MC) and the Freshwater Program (PAD)
The P1MC and PAD are examples of small-scale water systems (SSWS) based on
alternative water sources (Barde 2017). SSWS are individual or collective supply
solutions, designed to guarantee water for individuals or, small communities of users
(Rickert et al. 2016). SSWS allow greater adaptability to the social and water
particularities of communities, but their installation faces challenges such as:
(a) structural problems in the implementation of infrastructure that compromise its
operation; (b) choice of inappropriate technologies for the location; (c) lack of
investments and maintenance; (d) centralized decisions that do not take into account
local needs or particularities; (e) lack of engagement of the local community in the
decision-making process for choosing and installing the technology; (f) lack of
training programs for the community to properly operate and maintain the system;
(g) free distribution of water, which would harm the system’s operation;
(h) attribution of price to the service, which would exclude the poorest; (i) lack of
quality control; and (j) control of the system by a group that restricts access to others
(Whittington et al. 2009; Barde 2017; Mapunda et al. 2018). The success of these
initiatives depends on the choice and implementation of technology or infrastructure
appropriate to the local situation, community involvement in the overall process,
post-construction support from the State or on other social actors (Schweitzer and
Mihelcic 2012; Dean et al. 2016).
With the interiorization of COVID-19 in the semiarid region and the increase in
cases from 2020 onwards, preventive measures are the only coping strategy avail-
able in this area. The health of these communities depends on taking proper
measures for social isolation and hygiene. Public authorities did not idealize any
program to protect rural populations on the region from the COVID-19 contagion. In
this sense, the P1MC and the PAD are not only the main guarantors of access to
water in this region for the most vulnerable groups, but also the main strategy to
prevent COVID-19.
1 Million Cisterns Program (P1MC)
The P1MC uses cisterns as the main means of guaranteeing water for rural
populations. The construction of masonry reservoirs in the Semiarid region started
in 1988 in Bahia. From the 1990s onwards, through a partnership between civil
society (Articulation in the Semiarid - ASA) and public authority, the technique was
improved, transforming it into a public policy (Silva and Borja 2017). This partner-
ship produced two types of cisterns in terms of storage capacity: (i) storage of
16 thousand liters of water, mainly destined for consumption and food and
(ii) capacity of 52 thousand liters, applied toward agricultural production (Embrapa
2015). The system consists of a cylindrical structure, with the lower part buried in
the ground, which is supplied with rainwater collected from the roofs of houses, or
from inclined surfaces that allow the flow of water to this masonry structure. In
addition to being a water source, the cistern represents also the social management of
the natural resource, as the financial resource is directed to the community, which
will be responsible for building it collaboratively (Soares Júnior and do Fátima
Andrade Leitão 2017).
In 2000, the ASA launched the Training and Social Mobilization Program for
Living within the Semiarid: 1 million Rural Cisterns (P1MC), with support from the
federal government, through the Ministry of Social Development and Combating
Hunger (MD) (Cunha 2020). This policy was included in the “Brazil Without
Poverty Program”, which also included the PAD. This initiative clashed with large
water infrastructure projects characterized by large reservoirs that did not always
benefit rural populations in the Northeast.
The P1MC proposed a water autonomy project, in which rural residents began to
reserve and manage their own water, which they were previously never able to
do. The central strategy was cooperation and self-management, or co-management.
The resources for the construction of these structures came from non-governmental
organizations or public authority, but the organization and construction were con-
trolled by the local population, which created an awareness of belonging and was
fundamental to the success of the program.
The cisterns provided a better coexistence of the rural population with the
semiarid region, but water quality is a still concern, as there is not always correct
handling and treatment, which can make it a vector of disease transmission
(Machado et al. 2021). However, simple sanitary changes, such as the use of PVC
equipment to capture rainwater from roofs would bring improvements in turbidity,
the dissolution of solid materials, and the reduction of the presence of coliform
bacteria (de Carvalho et al. 2018). Despite this, the quality of water stored in the
cistern is better than that stored in larger reservoirs such as weirs, or dams (Farto and
Da Silva 2020).
The implementation of this innovative and successful public policy breaks the
secular logic of the rural population’s dependence on a decision by the public
manager, focused on large water infrastructure projects whose results did not reach
the field. About 1.3 million people have benefited from this program, specifically
farmers who had never been the object of a water policy, resulting from the
partnership between the State and civil society (Arsky 2020). The cisterns also
benefited more than 6000 schools that were without water access with the conven-
tional system, thereby improving the health conditions of the environment. Map 2
shows the number of cisterns received by Brazilian municipalities, where it can be
seen that all municipalities in the semiarid region received this technology.
The possibility of storing water reconfigures the families’ strategy in a productive
aspect, as it enables management to be used for their survival. In addition to building
the cistern, the community also undergoes some training to transform locals into
amateur farmers, who experiment with new production technologies. The continu-
ation of this program in the following years – named “Second Water” – was
fundamental for food security and for community engagement through social learn-
ing activities, thereby giving farmers greater confidence in their own knowledge and
skills, as a result of installing the cistern (Cavalcante et al. 2020).
Map 2 Diagnosis of implanted cisterns in Brazil, with an emphasis on the semiarid region.
(Prepared by the authors. Source: Embrapa 2021. From here: Embrapa (2021) Inclusão produtiva
no seu município, ‘Cisternas e outras tecnologias sociais de acesso à água’. Shapefiles. Available
online: http://mapas.cnpm.embrapa.br/mds/?layers¼1. Accessed on June 3rd 2021)
In addition, the cistern contributed to women’s empowerment. The provision of

water prevents women from traveling long distances to fetch water for household
chores, allowing them to become involved in other community activities (Brandão
et al. 2020). In 10 years (2000–2010), 306,000 cisterns were built in 1000 munic-
ipalities in the semiarid region of the Northeast. By 2021, 628,355 cisterns were
built, with an eventual target of 1 million reservoirs (Asa 2021). This strategy
transforms and reinforces the resilience of communities in multiple life aspects,
including sanitation, having reduced incidence of diarrheal infections in children
aged between 0 and 4 years (da Silva 2015).
Behind this program lies a political articulation that resulted in an increase in
water security for communities that are excluded from conventional water supply in
cities. In addition, ever since the choice of the communities until the installation of
the cistern, there has been a political formation based on the self-management of this
resource. Despite the program’s success, since 2016 the resources allocated by the
Federal Government have significantly decreased, thereby compromising its expan-
sion, which contributes to the permanence of exclusion, thus facing the violation to
the human right to water by the population, in this region.
Freshwater Program (Água Doce Program)
The PAD emerged as a way to take advantage of the region’s abandoned wells due to
the groundwater’s salinity, which is a characteristic of the Crystalline Aquifer, and to
overcome the shortcomings of the “Good Water Program” (PAB). In some locations
of the semiarid region, groundwater is the only available source of water. However, it
is estimated that 70% of the wells have brackish, or saline water; furthermore,
several of the 160,000 thousand tube wells registered in the region were abandoned
for this reason (Cprm 2021).
As a way of seeking a solution to this problem, the Federal Government
implemented the “Good Water Program” (Programa Água Boa) Program in the
1990s whose objective was to install desalination systems in rural communities to
use the wells. However, the management model was not adequate for the chosen
technology, and many implemented systems lacked technical, social, and environ-
mental care, which resulted in its abandonment by the population.
In light of this situation, the Água Doce Program (PAD) was created in 2003 with
the objective of recovering abandoned systems, albeit on new bases. This time, the
adopted methodology established solid structures of cooperation and social partic-
ipation in the management of desalination systems. In addition to the Federal
Government, through the Ministry of Regional Development (MDR), PAD’s actions
were implemented in partnership with all Northeastern states (Alagoas, Bahia,
Ceará, Maranhão, Paraíba, Pernambuco, Piauí, Rio Grande do Norte, and Sergipe)
and Minas Gerais, with federal government, states, municipal institutions, and
especially local communities (Map 3).
It is worth highlighting the work of the Federal University of Campina Grande
(UFCG) for their social engagement procedures, the Geological Services of Brazil
Map 3 Diagnosis of desalination systems installed and in process of installation in the Northeast-
ern semiarid. (Source: Ministério do Desenvolvimento Regional (2019) ‘Boletim informativo
Ministério da Cidadania n 28, novembro’ Programa Cisternas it is publicly available and no
permissions required)
(CPRM) for information on groundwater, and the Brazilian Agricultural Research

Corporation (EMBRAPA) for their Methodology for the reuse of desalinated water
(Ferreira et al. 2017).
The first municipalities served by the PAD desalination systems were those
located in areas that are most susceptible to the desertification process. The other
technical criteria that guided the cities’ choices were: lower Human Development
Indices, high percentages of infant mortality, low rainfall, and difficulty in accessing
water resources. In this sense, the Index of Access to Water in the Semiarid Region
(ICAA) was developed based on the crossing of these same indicators (de Azevêdo
2017).
The shared management of desalination systems, with the effective participation
of communities and representatives of municipalities, states, and the federal gov-
ernment, is a distinction of the Program. From this structural change, it was possible
to make advancements in the implementation of the Program. In each community,
shared management agreements are created as legal documents that define the
responsibilities of each part in their management.
Periodic monitoring of the Communities by state teams is essential, especially in
the first months when the operators of the desalination system and the residents are
still appropriating the methodology and proper handling of the equipment. There is
still a need for the periodic presence of representatives from the institutions involved –
Federal, State, and Municipal Governments – in order to reinforce care as well as the
management of the desalination systems. This management includes permanent
institutional effort and resources (Saia 2018).
The objective of the PAD is, therefore, to establish a permanent public policy for
access to quality water for human consumption through the sustainable use of
brackish and saline groundwater, all while incorporating technical, environmental,
and social care in the implementation and management of desalination systems in the
Brazilian semiarid region.
Communities that have wells with flow rates greater than 5000 l/h and soils
deeper than 1.00 m can receive an integrated production system. The system was
developed by Embrapa and uses the resulting effluent from the desalination process
for the production of tilapia and irrigation of cultivars adapted to the salinity of the
water, products that will be able to feed local herds (Ferreira et al. 2017). In addition
to making potable water viable, the PSD works on developing an environmentally
appropriate destination for the effluent generated in the desalination process.
As of 2011, the PAD has become part of the Water for All Program (Programa
Água Para Todos), with resources from the Food and Nutritional Security Program.
The State plans for the Freshwater Program were then implemented, and the program
was institutionalized by the state governments, which implemented state manage-
ment and coordination centers. The agreements between the Federal Government
and the ten states involved are in the execution phase, with an investment of
approximately R$ 210 million, to supply drinking water to 320,000 people in rural
communities in the region. The desalination systems implemented so far have an
installed capacity to produce around 2 million liters of drinking water per day.
So far, 3677 communities have been identified in 300 of the most critical
municipalities of the Brazilian semiarid region. About 2400 system operators have
also been trained. The desalination systems implemented have the potential to serve
358 thousand people and produce 3.5 million liters of desalinated water daily. There
are 895 desalination systems in operation today, each with their management
agreements formalized, and 212 thousand people benefit from this infrastructure.
The implementation of the program in each state is divided into three phases:
• Carrying out diagnoses to define, through technical criteria, flow tests, physical-
chemical analyses of the water from the wells and socio-environmental charac-
terization of the communities, in order to identify which ones will be served
• Implementation of desalination systems
• Maintenance and monitoring of systems
The shared management implemented by the PAD defines that a member of the
community must assume operation of the equipment, with the electricity costs being
taken on by the municipality, or by the community itself. To this end, each commu-
nity is encouraged to create a reserve fund to cover operating costs (electricity and
operator compensation) and small repairs, with each community establishing a
monthly amount to be paid per family.
Considering the minimum reference flow for the use of a deep well that will
supply a PAD system of approximately 1000 l/h, which represents a large part of the
wells located in the Brazilian semiarid region, a PAD system has the potential to
produce up to 4000 l of desalinated water per day, which allows the supply of 10 l/
day of drinking water per person, to serve up to 400 people living in rural commu-
nities, daily.
Yet, there is the challenge of making advancements in the use of Solar Energy to
feed the desalination systems implemented by the program. There is also the
possibility of advancing the use of biosaline agriculture, through the PAD Demon-
stration Units with the dissemination of crops appropriate to the Brazilian semiarid
region, adaptable to saline or brackish water in the irrigation process.
The success of the PAD methodology was recognized by the International
Desalination Association (IDA), during the World Desalination Congress held in
October 2017 in the city of São Paulo/SP, Brazil. Also noteworthy of mention was
the participation of the Freshwater Program in a parallel event at the UN Economic
and Social Council held in May 2017 in New York, where the program was
recognized as an initiative that adopts an integrated approach to sustainable devel-
opment and combating poverty.
According to de Azevêdo (2017), referring to a survey conducted among users of
desalination systems, all 600 respondents linked the desalination system (as well as
the P1MC) to improvements in living conditions and highlighted access to better
quality water rather than traditional sources (rivers, weirs, mud ponds, shallow and
deep wells, and water trucks) and the ease of having water next to their house.
Reports described the cistern and desalination plant as assets that reduced hard
work and time spent fetching water. Other improvements were also pointed out, such
as in health, in the economy with water transport, and in water security. In fact, the
implementation of desalination systems results in an increase in the supply of
drinking water with a territorial amplitude that covers the region and also in the
strengthening of cooperation in the communities; all the while projecting new
possibilities for the implementation of projects of an economic and social nature,
since it has given opportunities for a collective sense of belonging in the communi-
ties, especially in the self-esteem of local residents.
Conclusion
The P1MC and PAD mark a differential in public policies applied to the Brazilian
semiarid region with regard to guaranteeing access to water. This difference is that,
for the first time in centuries, the methodology of these programs has involved rural
populations who have started playing a leading role in water security actions, thereby
participating in the planning processes, installation, and monitoring of systems.
The possibility of participating in the implementation of these policies brought
self-confidence to the communities, especially through training programs linked to
these innovative experiences. Considering the situation of exclusion (education,
health, employment, among other factors) in which local communities live, the
programs presented represent hope for economic and social development. Perhaps
for the first time, these people are no longer invisible and are experiencing the
possibility of acting, together with other actors, in the realization of a right – the
human right to water.
The programs do not solve all the issues that afflict the semiarid rural population,
such as the lack of access to education and health care. However, these experiences
leave the mark of local empowerment, guaranteeing not only quality water, but also
the confidence that it is possible to advance in achieving the human right to water.
However, there are challenges to face. It is necessary to register new salinization
plants and build cisterns, all while verifying where it is still necessary to continue
these actions. It is necessary to permanently monitor the quality of the elements that
are part of the programs – water quality, operation of the equipment used, and
impacts of the training of local communities on the operation of the systems.
Therefore, human and financial resources must be allocated to monitor the
evolution that has taken place over time and, above all, to measure this evolution
in light of the number of people served, together with the changes observed in their
economic and social development.
Therefore, such experiences, although they constitute state policies, still depend,
in practice, on the decisions of the public authority, which is a risk, because
according to the thinking of the government in power, these populations can have
more or less attention. The COVID-19 pandemic demonstrates that these rural
communities are still invisible to health care polices and to the fluctuations of
water political programs. Instead of promoting actions to expand these water pro-
grams as a coping strategy to COVID-19, the government followed a policy of
cutting investments and ignoring the sanitary risks.
As a way of guaranteeing the continuity and permanence of the programs, as well

as the visibility of this part of the Brazilian population, it is essential to have, in
addition to public authority, the support of civil society and the private sector.
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Social Governance of the 2030 Agenda
and the SDGs in Brazil
Thiago Gehre Galvão and Rodrigo Correa Ramiro
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Strategic Adherence to the 2030 International Order . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Overview on the 2030 International Order . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Brazilian Journey to Engage on SDG’s Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Institutional Adaptations to Implement the 2030 Agenda and the SDG . . . . . . . . . . . . . . . . . . . . . . . . 35
Initiatives in the Judiciary and Legislative Branches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Civil Society Articulations on the 2030 Agenda Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Incorporating the SDG in Brazilian Local and Regional Governments (BLRG) . . . . . . . . . . . . . . . 37
Incorporating the SDGs in Brazilian Local Politics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Final Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
Abstract
The chapter debates how a conception of social governance of the 2030 Agenda
emerged in Brazil from the agency of local governments, parliaments, and civil
society organizations. To understand the Brazilian journey of engagement in the
governance of the SDGs, we highlight initiatives at the national level, such as the
National Commission for the SDGs (CNODS), the Multiannual Plan alignment to
the SDGs, and experiences in setting and adaptation of SDG targets and indica-
tors. Other relevant institutional adjustments took place for implementing the
2030 Agenda in Brazil, such as the incorporation into the Judiciary and Legisla-
tive initiatives. Articulations of civil society organizations (CSO) in
implementing the SDGs are pivotal to monitoring the SDG targets. Brazilian
localization of the SDGs by subnational actors working in transnational and
national networks, including the presentations of VLRs at the High-Level Polit-
ical Forum (HLPF). The main results of this research stress the impacts of
T. G. Galvão (*) · R. C. Ramiro

Earth System Governance Research Centre Brasília, Brasília, Brazil

https://doi.org/10.1007/978-3-031-16017-2_42
22 T. G. Galvão and R. C. Ramiro
political fragmentation around the governance of the 2030 Agenda in Brazil. At

the same time, focus on the steering effects of the SDGs to redefine public policy
priorities, reorienting agency, and inducing institutional adjustments. It also
describes the emergence of a social governance architecture made by local
governments, parliaments, and civil society actors. Non-state actors and sub-
national governments acted autonomously to territorialize the SDGs against the
Brazilian Federal Government. The Brazilianization of the 2030 Agenda is
relevant to understand SDG steering effects on discursive, relational, institutional,
and resource social fields, connecting it to the purposes of this handbook SDGs in
the Americas and Caribbean Region.
Keywords
2030 Agenda · Sustainable Development Goals – SDGs · Governance through
global goals · Local and regional governments (LRG) · Local and regional
government associations (LGA) · Voluntary local reviews (VLRs) · Civil Society
Working Group for the SDGs · Brazil
Introduction
The 2030 Agenda and the SDG reflect an ambivalent force on global politics. First, it
results from a possible consensus among UN member states on contemporary
sustainability challenges. Second, it is a global framework to induce sustainable
development in a pluriversal world (Escobar 2018) – made of distinct territories in
regions worldwide. Brazilian experiences on the implementation of the SDG are
keen on helping to understand theoretical and practical elements regarding political
mobilization, social engagement of actors and resources, the building of flexible
institutional arrangements, and the process of global norms internalization at the
domestic level.
Particularly, Brazil makes the case of a continental country – territorially, envi-
ronmentally, racially, and ethnically diverse – based on a federative model that
allows subnational actors to deal with international agendas. Brazilian democratic
principles highlight social participation in the decision-making process concerning
foreign policy and sustainable development. Currently, the Brazilian governance
architecture of the SDGs is highly fragmented, without a National Commission
coordinating SDGs implementation. The main initiative at the national level is
organized by non-state actors – social movements and NGOs – which became
pivotal in establishing accountability mechanisms. For instance, the Spotlight Report
became the most complete follow-up document, built on data and scientific infor-
mation gathered by several specialized organizations.
Methodologically, this chapter is based on qualitative content analysis (QCA). It
is anchored in key features of QCA, such as contextualization, interpretation,
situational thinking, and reflexiveness, as well as on contrasting and categories
building. First, it departs from the critical interpretation of extensive academic
Social Governance of the 2030 Agenda and the SDGs in Brazil 23
literature on SDG implementation worldwide, theoretical works on governance and

public policies, primary sources regarding legislation from the three levels of
government, and documents from the three branches of government. Also, it is
grounded on situational thinking, contrasting ideas from reports from civil society
and subnational entities, aiming to evaluate the SDG’s steering effects on national
institutions, subnational actors, and society. Moreover, our framework of analysis
emphasizes specifically in public policy priorities redefinition, agency recalibration
towards governance architecture, and network innovations. In addition, it draws on a
reflexive thought about some categories built to guide our analysis: the agent’s
strategic adherence to the 2030 International Order, the social coherence related to
the local incorporation of the SDG, and political responses of integration and
adaptation of governmental and non-state actors to the 2030 Agenda.
Theoretically, this chapter draws insights from a hybrid approach to order,
agency, norm localization, and global governance. Agency can be understood as
the ability to shape order at different scales by material and ideational means.
Multiple forms of agency are recognized, from state and non-state actors to Western
and non-Western players. Agency is basilar to thinking on the 2030 Agenda as a
platform to develop alternative ideas and institutions to influence the international
order. Agency often implies localizing existing norms and institutions and consti-
tuting new rules and institutions at the local level to support and strengthen the
global stage. The localization of the SDGs in Brazilian territory – the Brazilia-
nization of the 2030 Agenda – is an active construction based on discourses,
framings, insertions, contestations, and selections of international ideas, values,
and practices by local Brazilian actors (Acharya 2018, 12–15; 42).
The concept of governance is analytically appealing to our purposes. It includes
Rosenau and Czempiel’s (2000) concept of “governance without government” to
state that many international matters can be organized without the direct action of
national governments, which is the case of SDG implementation in Brazil. From
the idea of “good governance” (Barnett and Duvall 2005), adopted by international
organizations, to the notion of polycentric governance (Ostrom 2010), the SDG
implementation in Brazil is connecting people, organizations, and companies to a
certain degree of autonomy in their decision-making. It induces engagement from
different agents to organize a specific issue area (Carlisle and Gruby 2019). Also,
the idea of governance as an orchestration (Orsini et al. 2020) is relevant to this
debate once the 2030 Agenda is a platform through which multiple agents can
manage, coordinate, and combine aspirations, objectives, goals, and political
actions. The Brazilianization of the 2030 Agenda demands a complex governance
approach (Kim 2020) grounded on shaping networks from fragmented connections
that, in turn, organize the relationships between relatively autonomous but
interdependent actors. In this direction, governance has been reinterpreted to
reach traditionally marginalized actors such as indigenous peoples and local
communities, who come to be considered part of this fractal geometry of power
relations (Schneider 2012) and characterize international politics in the twenty-first
century (Gonçalves and Inoue 2017).
By understanding the 2030 Agenda and SDG localization in Brazil and looking to
the rise of a typical modus operandi defined as social governance of the SDG by
local governments, parliaments, and civil society agents, this chapter is a genuine
contribution to the intellectual endeavor of debating SDGs in the Americas and
Caribbean Region.
The chapter is structured into three sections connected by one question: how did
this conception of social governance of the 2030 Agenda operate in Brazil? The first
section presents an overview of Brazilian initiatives at the national level focusing on
the strategic adherence to the 2030 International Order. It connects theoretical and
conceptual elements to draw some insights into understanding the Brazilian journey
to engage in SDGs Governance, focusing on the National Commission for the SDGs
(CNODS), the experience of the Pluriannual Plan with the SDGs, and the Brazilian
experiences on building SDG indicators. The second section emphasizes institu-
tional adaptations that occurred to implement the 2030 Agenda and the SDG in
Brazil, correlating the incorporation process into initiatives in the Judiciary and
Legislative Branches, into civil society articulations on SDG implementation, and
official SDGs’ follow-up in Brazil. The last section debates how Brazilian local
and regional governments are incorporating the SDG, looking through the concept
of incorporation into the political practice and evaluating VLRs presented under the
High-Level Political Forum (HLPF).
Strategic Adherence to the 2030 International Order
Overview on the 2030 International Order
Global politics in the twenty-first century could be defined by the concept of a 2030
international order, a social construct for organizing and defining the actions and
expectations of international organizations, States, institutions, and individuals in a
defined time horizon (Galvão 2020). The 2030 Agenda for Sustainable Development
established a possible consensus among the 193 Member States of the United
Nations on the main contemporary challenges for sustainable development. It is a
global effort to implement an agenda of “integrated and indivisible objectives and
goals (. . .), of a global nature and universal application, taking into account the
different realities, capacities and levels of national development and respecting
national policies and priorities” (UNGA 2015).
In a general context of growing uncertainty and complexities, adopting an eager
strategy, based on the implementation of 169 targets, organized into 17 Sustainable
Development Goals, (UNSD 2022), seemed an ideal path to accomplish an under-
taking of unprecedented magnitude. International negotiations were built on national
interests connecting global goals and national public policy objectives. The 2030
Agenda acquired a combined design on aspirational and concrete dimensions,
allowing each government to “decide how these aspirational and global targets
should be incorporated into national planning processes, policies, and strategies”
(UNGA 2015).
A paradigm-shifting marked a transition from a rulemaking model of negotia-

tions – based on normative formulation – to a goalsetting socialization pattern,
more suitable to concrete pledges and bind to reviews. This strategy, known as
governance through global goals (GtGG), was thought to contain flexible and
discretionary institutional arrangements (Biermann and Kanie 2017; Vijge et al.
2020). The GtGG strategy assumes setting ambitious goals seasoned with aspira-
tional flavors (Vijge et al. 2020; Finnemore and Jurkovich 2020) and a portion of
flexibility on not legally binding arrangements. GtGG is anchored in public and
private efforts, part of them orchestrate at different levels, including the pivotal role
of the High-Level Political Forum (Bernstein 2017; Abbott et al. 2020). Also,
GtGG seeks to be inclusive in terms of mobilization and engagement of state and
non-state actors in a hybrid (bottom-up/top-down) model on agenda setting, imple-
mentation, monitoring, and review (Okereke 2020; Sénit and Biermann 2021).
Finally, GtGG stands for a discretionary framework on interpreting and
implementing objectives, based on the compatibility between local interests and
global goals ambitions (Gupta and Nilsson 2017; Okitasari and Katramiz 2022).
This governance strategy allowed States – and other social agents – to interpret
the SDGs, determine their level of ambition, and enhance their engagement in the
2030 international order following their realities and priorities (Vijge et al. 2020). In
this sense, governance through global goals model would frame the territorializing
process of goals and targets from the 2030 Agenda and, consequently, facilitate
dealing with complex global challenges. It improves agents’ room for maneuver in
domestic and foreign politics by endorsing adjustments that traditional arrangements
of internalization of commitments into the national legal system usually do not.
The governance through global goals strategy had historically constituted itself
by a long process of international relations between states and their representatives,
from the establishment of world conferences (Bandung, UNCTAD, and PABA) and
institutions (ECOSOC, CEPAL, and HLF) dedicated to dealing with cooperation,
development, and sustainability, to the consolidation of global goals paradigm such
as the Millennium Development Goals (MDGs) and the SDGs (de Jong and Vijge
2021; Chasek 2021).
Advances and shortcomings marked this paradigm shift. On the one hand, it is
worth noting an increase in the participation of diverse actors, mainly in the process
of creating the SDGs; a conceptual evolution of the notion of sustainable devel-
opment with advances in overcoming the identity between economic growth and
greater integration between socioeconomic and environmental issues; the univer-
sality of the agenda, covering both developed and developing countries; and more
leeway for national choices and preferences (Kanie et al. 2017; Dryzek and
Pickering 2019).
On the other hand, final negotiations remain disproportionately dominated by
Global North positions; the treatment of environmental issues is still vague com-
pared to socioeconomic ones; it did not advance in making developed countries
responsible for their responsibilities in the current socio-ecological crisis; there is
little scope for reviewing the goals and targets themselves at the global level; and the
agenda still has limitations regarding the recognition of more systemic risks to the
Earth System and transformative changes (Dryzek and Pickering 2019; Biermann
et al. 2022).
Another question was related to the specific “regime of temporality” concerning
the 2030 deadline, which created a paradoxical situation. On the one side, it
advances in overcoming the short-termism related to electoral cycles but generates
a general feeling of low emergency perspectives and detachment regarding an
imagined distant 2030 horizon on the future: “It seems much time until 2030.” On
the other side, after 5 years of feeble results, the international community realized
that there was not enough time to the monumental challenge related to the accom-
plishment of so many targets (Galvão 2020). In fact, the risk of complacency exists;
once the goals are established, there may be an incentive from the authorities not to
invest time and energy to achieve them, since the bonus of the ambitious goal
statement has already been obtained and the costs of non-execution will be charged
in the future (Young 2017; Finnemore and Jurkovich 2020).
In that sense, governance through global goals seems an efficient way to navigate
this 2030 international order by inserting the intended goals into a social narrative
capable of articulating shared values and identities and then mobilizing support and
motivating action (Young 2017; Finnemore and Jurkovich 2020). In fact, an effort of
galvanizing mobilization and engaging actors and resources depends on the political
ability to induce participation in building, implementing, and monitoring the agenda.
In that matter, publicity and communication are keys to the implementation process
of the SDG.
Galvão and Ceccato (2021: 143–145) understood the pivotal feature of culture as
a force profonde driving the 2030 Agenda implementation. An SDG culture embed-
ded in practices of visibility, visualization, and vocalization induces a permanent and
engaged mobilization by the use of images and symbols as well as of art, organiza-
tional communication, and advertising pieces to highlight values, principles, and
beliefs of a particular SDG, aiming to promote local transformations.
Brazilian Journey to Engage on SDG’s Governance
Brazil has become a strategic actor in the realm of the global environmental politics.
Brazilian so-called “leadership by example” is a sociohistorical construct of a
country with diplomatic expertise, technical knowledge, and social skills (do Lago
2006). Brazilian voluntarism built a solid path on global development debate by
hosting conferences (Rio 92 and Rio+20) and actively participated in the implemen-
tation of the Millennium Development Goals (MDGs) and in the elaboration of the
2030 Agenda.
Rio+20’s “The Future We Want” document defined an “action-oriented, concise
and easy to communicate” road map to all countries to universally apply aspira-
tional goals adapting them to their “national realities, capacities and levels of
development” (UN 2012: 46). The door was open for elaborating the SDGs and
overcoming some of MDGs’ shortages. Specifically, Resolution 67/555 (UNGA
2013) created the Open Working Group on Sustainable Development Goals
(OWG-SDG), which enhanced the participation of state and non-state actors in the
formulation and implementation of the 2030 Agenda.
The OWG-SDG was made up of around 70 countries, including Brazil, and
worked between 2013 and 2014 to formulate the 17 SDG design. Brazil was one
of the countries that contributed the most to the My World platform and the “The
Future We Want” survey. In fact, the specialized Brazilian Institute for Applied
Economic Research (Ipea) won a UN prize for its contribution to the survey that
instigates the discussions on the 17 SDGs design (Ipea 2013). The experience
accumulated since Rio-92, with Agenda 21, the political engagement of the Brazilian
diplomacy into sustainability issues, and the mobilization around the MDGs imple-
mentation, gave Brazil material conditions to lead this new development agenda.
The OWG-SDG Final Report (UN 2014) was presented at the UN General
Assembly in 2014 and was the basis of the 2030 Agenda, approved the following
year. The UN Secretary-General described this process as “the most inclusive and
transparent negotiation process in UN history” (UN 2015). On one side, it was
considered the most extensive intergovernmental consultation, with the engagement
of civil society and interested actors, in the history of the United Nations (Kanie et al.
2017). On the other, there was still an underrepresentation of the least developed
countries both in the negotiation and localization process regarding the agenda (Sénit
and Biermann 2021).
A possible Brazilian leadership on the 2030 Agenda implementation faced a
problem at home. In fact, it was a period of intense political turmoil in Brazil:
since the 2013 protests (BBC News 2013), there had been a series of demonstrations
and political maneuvers that culminated in the impeachment of President Dilma
Rousseff in 2016, the rise of a conservative government of President Michel Temer,
and the election of President Bolsonaro in 2018 (Alonso 2017; Singer 2013; Nobre
2013) defined a political cycle of the demise of the Work Party hegemony (Lessa
et al. 2020) and the return of conservative forces eager to restore a patriarchal rule of
law (dos Santos and Jalalzai 2021).
At first, the Brazilian protests of June 2013 dialogued with other world move-
ments of outrage and hope (Castells 2015), such as Occupy Wall Street, the Arab
Spring, and the Spanish Indignados (Singer 2013). Nevertheless, something that
began as a struggle to the right of public transport – linked to the horizontally
organized Free Pass Movement (MPL) – was rapidly co-opted for political purposes
by traditional left parties and union workers organizations and a series of right-wing
and extreme-right autonomist movements, such as “Free Brazil Movement,” “Rebel-
lious Online,” and “Come to the Street” (Alonso 2017).
Even though President Dilma Rousseff won reelection by the end of 2014 by a
small margin of votes, the domestic context degraded even further. First, it ignited
the ideological polarization of Brazilian society by questioning a fundamental
democratic principle, which is to recognize the polls’ results. Second, this confusing
context interfered with President Dilma Rousseff’s governability and political artic-
ulation with the Legislative Branch. Third, corruption scandals on Petrobras, the
Brazilian Oil Company, worsened the turbulent scenario. The triggering of the Lava
Jato Operation and the misuse of social media to disseminate misinformation
generated a “vertigo effect” in Brazilian democracy (Edge 2019). The conditions for
the impeachment process were endorsed by politicians harassed by corruption
investigations, including the president of the Chamber, Eduardo Cunha, responsible
for opening the process, and the Brazilian business elite, characterized by the “duck
of FIESP” (Mele 2016). The impeachment process – concluded in a melancholic
Congress Session of August 2016 – was epitomized by an image of an Esplanade of
Ministries split with a wall separating those two groups (The Guardian 2016).
The original claims for the improvement of public services (health, education,
public security, and transportation) and fight corruption measures were bent to an
ultraliberal and authoritarian forces, and the rise of the duet between Paulo Guedes’s
fallacious austerity model and a quasi-military rule of law, based on a pseudo-
patriotic approach to public policies by the new government of Jair Bolsonaro.
The Brazilian strategic adherence to the 2030 international order was affected by
this context of political instability. The intense Brazilian participation in constructing
the 2030 Agenda was not immediately consolidated into national governance for the
SDGs, and the actions to internalize the SDGs were somewhat erratic, as shown in
the forthcoming subsections.
National Commission for the SDGs (CNODS)

The decision to establish CNODS was taken in the Temer presidency, vice president
of the winning slate in 2014 that supported/conspired in the impeachment process
and became president for a 2-year term (2016–2018), under pressure from civil
society and parallel to the beginning of several actions of national and subnational
entities in the institutionalization and territorialization of the 2030 Agenda.
In order to promote and implement the 2030 Agenda in Brazil, the National
Commission for the Sustainable Development Objectives was created through
Decree No. 8.892/2016 to “internalize, disseminate and give transparency to the
process of implementing the 2030 Agenda” in Brazil. CNODS was considered as
part of Brazilian democratic architecture, a joint collegiate body of an advisory
nature, part of the structure of the Secretariat of Government of the Presidency of the
Republic, “for the articulation, mobilization, and dialogue with federative entities
and the civil society” (Brasil 2016c; own translation).
CNODS had 16 members, with permanent advice from the Institute for Applied
Economic Research (Ipea) and the Brazilian Institute of Geography and Statistics
(IBGE), as shown in Fig. 1. One of the positive attributes of this institutional design
was the parity between government members and civil society organizations
(Ramiro 2021).
Members of organized civil society were divided into non-profit organizations,
education, research and extension, and the productive sector. They and the repre-
sentatives of subnational governments were selected by public notice for a 2-year
term. The result of the selection was plural, with representatives from religious
organizations (World Vision), focused on children (Abrinq Foundation), workers
union (UGT), in addition to representatives of business companies (CNI), acade-
mia (Andifes and SPBC), and state secretaries for the environment (Abema)
(Ramiro 2021).
Fig. 1 Composition of the National Commission for the Sustainable Development Goals. (Source:
Own elaboration based on Ramiro (2021))
CNODS’s mission was to create institutional mechanisms that establish adequate

conditions for implementing the SDGs, including territorialization strategies, the
definition of goals and indicators, participatory processes, means of implementation,
follow-up, and monitoring of the 2030 Agenda (CNODS 2017: 9).
Among the main actions of CNODS, expressed in its Action Plan 2017–2019, the
following stand out: (i) the alignment between public policies and the SDGs and the
creation of the SDGs Agendas in the Integrated Planning and Budget System
(SIOP), led by the Ministry of Planning, Development, and Management (MP);
(ii) the adaptation of the goals of the SDGs to the national reality, led by Ipea; and
(iii) the definition of national indicators for the SDGs, in a process led by IBGE
(https://odsbrasil.gov.br/).
The main CNODS initiatives were in line with the proposal to internalize the
2030 Agenda in national planning instruments and with the transition to the SDGs,
both contained in UN Resolution 70/1, which established the SDGs implementation
based on “existing planning instruments, such as national development and sustain-
able development strategies, as appropriate” (UNGA 2015). Regarding the results
of the actions, Araújo (2020: 138; own translation) highlights that CNODS, “despite
its timid successes, was not up to this trajectory [of Brazilian participation in the
2030 Agenda].”
The Brazilian Executive Branch institutionalizes the national governance of the
SDGs (CNODS) almost 2 years after adopting the 2030 Agenda, in response to civil
society pressure in a context of political turbulence (Nilo 2016). After 2 years of
operation, the CNODS was extinguished, along with more than a hundred collegiate
bodies, by Decree No. 10,179, of the 18th of December 2019 (Brazil 2019a),
reaffirming the position of the new government to virtually abandon the 2030
Agenda and decrease social participation on public policies.
The Experience of the Pluriannual Plan with the SDGs

According to article 165 of the Federal Constitution of Brazil, the Pluriannual Plan
(PPA) is a governmental planning instrument that defines the federal public admin-
istration’s guidelines, objectives, and goals for a 4-year horizon (Brasil 1988).
The 2016–2019 PPA was structured in two main dimensions: the strategic and the
tactical/programmatic. The strategic dimension was subdivided into a vision of the
future, axes, and guidelines, while the tactical dimension comprised the thematic
programs. These were selected excerpts from public policies that expressed and
guided government action. Each program was composed of objectives, targets, and
initiatives (Brasil 2016a, b, MP 2018b).
One strategy to internalize the 2030 Agenda was the alignment between the 2016
and 2019 PPA attributes and the SDGs, thus allowing the construction of SDGs
Agendas. These were selected attributes from PPA that contribute to achieving an
SDG or target. Figure 2 below shows that the structures of the PPA and the SDGs do
not have a direct correspondence, despite using identical terms such as objectives
and goals.
The SDGs are broader than the programs and objectives of the PPA. Thus, the
methodological decision was to align SDG targets and PPA targets and initiatives.
This methodological decision allowed to have a vision of the actions of the Federal
Executive Branch that contributes to the achievement of each SDG target, being
possible to aggregate them to each of the 2030 Agenda goals, in the same way, it is
possible to aggregate the SDG targets by PPA Program or federal agency. Thus, the
alignment resulted in the construction of a database containing the PPA targets and
initiatives that relate to the SDG targets, directly or indirectly, thus obtaining a
comprehensive overview of the relationships between PPA and SDGs that can be
aggregated or disaggregated as needed for the analysis (MP 2018a: 15).
However, this comprehensive picture had methodological limitations. The direct
or indirect relationship between PPA and SDG’s attributes was not strictly defined.
In addition, the crossover would not be sufficient to assess the degree of achievement
of the SDGs from the execution of the PPA; that is, if all the attributes of the PPA
related to a given SDG target were adequately executed, what would be the
Fig. 2 Attributes of the 2030 Agenda and the 2016–2019 PPA. (Source: Own elaboration based on
Ramiro (2021))
percentage of achievement of this goal? This deficiency was aggravated because

several attributes of both the PPA and the SDGs are qualitative (Ramiro 2021).
The construction process of the ODS Agendas involved a continuous process of
improvement and interaction between federal agencies. This work involved
the participation of about 250 civil servants from 29 federal institutions and had
the merit of (i) promoting a space for sharing experiences and practices between the
agencies involved, (ii) creating instances aimed at managing the SDGs within the
sectoral ministries, such as the Ministry of Agriculture, Livestock and Supply,
General Comptroller of the Union, and Ministry of Health and (iii) inform about
the 2030 Agenda in the Executive Branch (Brasil 2018a: 16).
The SDGs Agendas were based on the Ministry of Planning’s previous experi-
ence with the Crosscutting Agendas. Those were cried to broaden social participa-
tion in the PPA by designing “cross-sections of attributes where the Programs,
Objectives, Goals, and Initiatives related to a public (such as indigenous peoples,
children, and adolescents, LGBT, among others) or a specific theme (such as
multiple uses of water, economy) are aggregated” (MP 2018a: 20; own translation).
These agendas allow the aggregation of previously dispersed actions in the Plan into
a common locus, helping to visualize how a specific crosscutting theme is treated in
the Plan as a whole.
The follow-up of the SDGs Agendas would be used as an accountability tool to
society and support the discussions at the Inter-Council Forum (MP 2015), as done
with the Crosscutting Agendas. The objective was to promote open access and
transparent information. For this purpose, the electronic platform PPA Cidadão
(https://ppacidadao.planejamento.gov.br/sitioPPA/) was also developed, with all
the information about the PPA’s agendas.
The process of aligning the attributes of the PPA and the SDGs allowed the
monitoring of the SDGs Agendas in the year 2018, based on 2017 data. This
monitoring was consolidated in a government report (MP 2018a), highlighting the
main advances in implementing the 2016–2019 PPA and its relations with the SDGs.
Despite the annual forecast, the 2018 Report was the only one published. Thus, there
was no room for methodological improvement in the SDG Agendas (Ramiro 2021).
The experience derived from the construction of the SDGs Agendas should also
have been used to support the 2020–2023 PPA preparation. Ministry of Planning
technical staff proposed that the new PPA define intermediate goals to be achieved
by 2023, compatible with the SDGs adapted national goals for 2030 and the actions
necessary to achieve them. The MP’s new direction, now the Ministry of Finance,
did not accept this proposal (Ramiro 2021).
Further, the 2020–2023 PPA presented by the Executive Branch to the Parliament
did not refer to the SDGs and was amended to include the following general
guideline, “pursuing the goals of the Sustainable Development Goals of the United
Nations.” This parliamentary amendment, clearly insufficient to affirm the country’s
commitment to the 2030 Agenda, was the only presidential veto of the PPA project.
The veto was justified with the following argument:
(. . .) the provision, by inserting as a guideline of the PPA 2020-2023 the pursuit of the goals
of the Sustainable Development Goals of the United Nations, without disregarding the
diplomatic and political importance of the Sustainable Development Goals of the United
Nations, it ends up giving it, even contrary to its purely recommendatory nature, a degree of
cogency and legal obligation, to the detriment of the dual procedure of internalization of
international acts, which violates the provision of art. 49, item I, and art. 84, item VIII, of the
Federal Constitution. (Brasil 2019b; own translation)
Adaptation Process of the SDGs’ Targets to National Reality

Resolution A/RES/70/01, as previously highlighted, defines that each government
should define “(. . .) its own national targets, guided by the global level of ambition
but taking into account national circumstances.” (UNGA 2015). In Brazil, the
Institute for Applied Economic Research (Ipea) led the adaptation process of the
SDGs’ targets to the national reality. Following the UN guidelines, the adaptation
tried not to reduce the global target ambitions, maintaining a coherent and integrated
agenda, and, whenever possible, aligning the SDGs with policies, plans, and pro-
grams, thus coordinating efforts for its implementation.
The adaptation process was structured in four main phases. The first was based on
a draft made by public servants of the Executive Branch. A broad public consultation
should be held on the original proposal in the second phase. The revised version after
public consultation would be subjected to deliberation by CNODS, phase three.
Moreover, the last phase would be submitting the CNODS proposal for presidential
approval.
Ipea established 17 thematic groups, one for each SDG. These 17 internal groups
performed a previous analysis of the 17 SDGs and their 169 targets, cross-
referencing them with public policies. In April 2018, the first Workshop on Gov-
ernment Adaptation of the SDGs initiated a collaboration process within the
17 groups led by Ipea and more than 600 public servants from 75 different govern-
ment agencies (Ipea 2018).
In short, the first phase results were 39 targets maintained in their original
wording, 2 considered not applicable to Brazil, 128 were adapted to Brazilian
reality, and 8 new goals proposed adding to the original SDGs. Thus, the proposal
expanded the number of targets from 169 to 175 (Ipea 2018: 20). The following
examples show some proposed adjustments that illustrate the work process
(Table 1).
After the first stage conclusion, the target adaptation proposal was opened to an
online public consultancy. Despite the short time for analyzing such an extensive
document, there were many interactions. There were 228 suggestions to the docu-
ment – comments, additions, or exclusions – in addition to 609 manifestations,
582 supportive, and 27 disagreements. Of the 228 received suggestions, only
18 were incorporated into the final version. The process was highly questioned,
particularly by the civil society, mainly due to the electronic format and the
Table 1 Examples of Brazilian adapted targets

SDG target 1.1. By 2030, eradicate extreme poverty for all people everywhere, currently
measured as people living on less than $1.25 a day
Brazilian proposal: By 2030, eradicate extreme poverty for all people everywhere, currently
measured as people living on less than PPC$ 3,20 per capita a day
Justification: The global target would mean a low level of ambition for Brazil. The US$1.25 line
represented in 2016, a poverty rate of 4.34%. A tax of less than 3% means that poverty is
eradicated. So, a line of PPP$3.20 was chosen, which represented a 12.55% poverty rate in 2016
and a more significant challenge for 2030
SDG target 3.1. By 2030, reduce the global maternal mortality ratio to less than 70 per 100,000
live births
Brazilian proposal: By 2030, reduce the global maternal mortality ratio to less than 30 per
100,000 live births
Justification: The National Commission to Combat Maternal Mortality has set a goal of
30 maternal deaths per 100,000 live births
SDG target 9.5. Enhance scientific research, upgrade the technological capabilities of industrial
sectors in all countries, in particular developing countries, including, by 2030, encouraging
innovation and substantially increasing the number of research and development workers per
1 million people and public and private research and development spending
Brazilian proposal: Enhance scientific research, upgrade the technological capabilities of
industrial sectors, by 2030, aiming to increase employment of scientific and technological
knowledge in national socio-economic challenges and socio-environmentally inclusive
technologies, and increase the aggregate productivity of the economy. (a) Increase to 3000 the
number of research and development workers per million inhabitants; (b) increase to 120,000 the
number of technicians and researchers engaged in R&D in companies; and (c) increase public and
private spending on research and development, reaching a rate of 2.00% of the GDP
Justification: The original goal was qualitative. The proposal was to adjust it according to the
National Strategy of Science, Technology, and Innovation (ENCTI) parameters
Source: Own elaboration based on Ipea (2018). Available at: https://repositorio.ipea.gov.br/handle/
11058/8636
consultancy time frame – from the 13th of November to the 16th of December 2018
– amid the 2018 presidential elections (Araújo 2020: 114–115).
The public consultancy’s results were not even assessed by CNODS or officially
forwarded to the presidential approval due to the rise of the new president averse to
multilateralism and against the environmental agenda. In sum, the process of SDGs’
adaptation has been reduced to a valuable exercise carried out by public servants.
Currently, the platform that gathers the proposal of Brazilian targets is used by Ipea
to follow-up the 2030 Agenda; the State of Pará also uses the targets adapted by Ipea
but is not used by the federal government to monitor the SDGs or to support
decision-making.
Building and Adapting SDG Indicators

The Brazilian Institute of Geography and Statistics (IBGE) is responsible for the
country’s social, demographic, and economic statistics, including the Demographic
Census, data from the National Accounts System, and coordinating the National
Statistical Cartographic systems. IBGE has also represented the Mercosur countries
and Chile in the Inter-Agency Group of Experts on SDG Indicators (IAEG-SDGs)
since its creation in March 2015. IAEG-SDGs was part of the 2030 Agenda
negotiations framework to develop and implement a global framework of indicators
for monitoring the SDGs (Kronemberger 2019).
The IAEG-SDGs is responsible for the international standardization of the indi-
cators and their classification according to methodological development and data
availability, according to three typologies. Currently, 100 indicators are classified as
Tier I, which means internationally established methodology and standards are
available; 82 as Tier II, that encompass indicators internationally established but
that are not regularly produced by countries; 44 as Tier III, with no internationally
established methodology or standards available; and 6 as multiple tiers (indicators
formed by sub-indicators with different classifications).
In Brazil, IBGE formed 17 working groups, one for each SDG, coordinated by
specialists from the institution in the various themes of the SDGs and with the
participation of other information-producing institutions, such as ministries, regula-
tory agencies, among others. In this context, three Meetings of Information Pro-
ducers were held to support the discussion of the new development agenda, which
took place in June 2015, and two after the constitution of CNODS, in September
2017 and April 2018, to consolidate Brazilian information and make it available to
the public.
This process culminated in the odsbrasil.gov.br platform. Under the coordination
of the IBGE, different government institutions produce the indicators from their
databases and make them available on the platform, allowing gathering and pre-
senting the SDG indicators. It becomes a database (statistical and geospatial) that
facilitates data sharing, visualization, and dissemination. The platform continues to
operate, facing some difficulties, such as a lack of human and financial resources,
methodological standardization, and the need for a national consolidated informa-
tional system that could integrate federal, state, and municipal base of indicators
(Kronemberger 2019).
IBGE has led the process of translating the 2030 Agenda, participating into the
activities of the IAEG-SDGs. IBGE’s role is prior to SDGs’ moment relating to
MDG’ period. After the Brazilian government decided to abandon the 2030 Agenda
as part of its development strategy, data production institutions such as IBGE and the
National Institute of Spatial Research (INPE) suffered with resource cut down
(McKenzie et al. 2019). Also, the National Population Census (Garcia 2021) –
base for any evaluation on the SDG implementation – was often postponed.
By 2019, the main activities developed by CNODS on building and adapting
SDG indicators were discontinued or heavily damaged. The rise of a presidency
averse to multilateralism, representing anti-scientific thinking, and against preserv-
ing traditional cultures and the environment represented a virtual abandonment of
the 2030 Agenda by the Executive Branch. Nonetheless, other forces such as the
Judiciary and Legislative branches and organized civil society carry their activities
despite the lack of guidance of CNODS, as shown in the next section.
Institutional Adaptations to Implement the 2030 Agenda

and the SDG
Initiatives in the Judiciary and Legislative Branches
Within the scope of the federal public authorities, the Judiciary Branch is the most
active in the 2030 Agenda. The 2030 Agenda in the Judiciary initiative promoted by
the National Council of Justice (CNJ) involves the entire Judiciary System and
brings together a series of actions related to the 2030 Agenda. Among the national
goals of the Judiciary Goal 9 – Integrate the 2030 Agenda to the Judiciary –
provides measures to prevent or de-judicialize litigation towards the sustainable
development goals (SDGs) of the 2030 Agenda.
Among the actions carried out by the Judiciary Branch stand out: (i) promotion of
innovative approaches such as the Innovation, Intelligence, and SDG Laboratory
(LIODS CNJ) and the Innovation and Intelligence Network and the SDGs;
(ii) development of certification process as the Selo Agenda 2030 to courts that
promote practices in line with the SDGs; (iii) organizing events like the Ibero-
American Meeting of the 2030 Agenda in the Judiciary; and (iv) promoting aware-
ness events and training.
Furthermore, the Brazilian Judiciary is a pioneer in institutionalizing the 2030
Agenda and indexing its database with 80 million cases to each of the 17 Sustainable
Development Goals. Based on identifying the most judicialized issues in each segment
of the Judiciary and on the Single Proceedings Table – TPU, strategies are sought for
action guided by the goals and indicators of the agenda (Corrêa 2021). In this process,
the Federal Supreme Court (STF) is testing an artificial intelligence tool developed to
support the classification of cases at the Court according to the SDGs.
In comparison to the other branches, the Judiciary is the one that mobilizes the
most significant attention to the 2030 Agenda at the national level. The president of
the Supreme Court is a constant presence in events related to the SDGs and supports
the institutionalization of the SDGs in the Judiciary norms. These actions demon-
strate that at least, in discursive terms, there was an effect of the Agenda in
the Judiciary Branch. Despite a more significant commitment to the SDGs, the
Judiciary’s initiatives are sectoral and cannot coordinate the implementation of the
2030 Agenda in the country.
The Joint Parliamentary Front in Support of Sustainable Development Goals
(JPF-SDG) represents the legislative branch. It comprises parliamentarians from
left and center-left parties, predominantly. The work of the JPF-SDG has been
encouraging dialogue with other politicians – except the extreme right – from the
27 units of the federation, and with civil society, particularly the Civil Society
Working Group for the 2030 Agenda (CSWG 2030). One of the main political
instruments of the JPF-SDG is the law project (PL 1308/2021) on the Policy for the
Promotion of the 2030 Agenda for Sustainable Development. PL 1308/2021 fore-
sees government adoption of objectives and targets of the 2030 Agenda into plans,
programs, and policies in an integrated manner.
The bill to incorporate the SDGs in Brazilian public administration is not

expected to be passed in the 2022 term. It has been blocked in the Committee on
the Environment and Sustainable Development of the Chamber of Deputies, led by
an extremist-right deputy, Carla Zambelli PSL/SP, since May 2021. Despite the high
number of signatories to the JPF-SDG, it lacks the political status and support to
promote the necessary mobilization to implement the SDGs nationwide. Also, the
budgetary incipiency takes off the JPF-SDG the power needs to inspire and induce
transformative experiences with SDG localization.
Civil Society Articulations on the 2030 Agenda Implementation
Civil Society Organizations (CSO) and social movements are the pulsing heart of
Latin American politics (Hochstetler 2012). In Brazil, the Civil Society Working
Group for the 2030 Agenda (CSWG 2030) is a critical agglutinative platform to
transform aspirations and intentions into effective actions in the country’s daily life.
The CSWG 2030 arose during the follow-up to the Post-2015 Agenda negotiations,
from articulations of Brazilians non-governmental organizations and social move-
ments advocating to promote and monitor the 2030 Agenda.
The Working Group is the result of an intense process around negotiations on the
new global goals, based on a national articulation led by Abong – Brazilian Asso-
ciation of NGO – and developed in partnership with several civil society organiza-
tions already engaged in the process, which culminated in the approval of Agenda
2030, during the United Nations Summit on Sustainable Development at the 70th
United Nations General Assembly. The CSWG 2030 Agenda has more than 50 orga-
nization members from different sectors covering all 17 SDGs.
The CSWG 2030 footing principles of engagement and diversity allows the
recognition of each organization’s identity – working directly on multiple themes
such as sustainability, fighting hunger, gender equality, and combating poverty – as
part of the same advocacy machinery to monitor the implementation of the Sustain-
able Development Goals (SDGs). The main objectives of the CSWG 2030 are social
mobilization, political influence and advocacy, critical debate on sustainable devel-
opment conceptions, and gathering and analysis of data.
Another dimension of society’s articulations on the 2030 Agenda and SDG
implementation is related to social innovation, here understood as actions aiming
to generate social-driven solutions for current dilemmas. Many experimental initia-
tives arise from critical moments of civilizations by inducing collaboration and
cooperation where before was unthinkable. Partnerships are the cornerstone of
innovative solutions to achieve a sustainable world in the twenty-first century.
Some of the Brazilian CSO and social movements have grounded their work on
attributes of creative thinking to deal with complex themes, becoming hubs of
innovation as well as agents of social transformation.
Brazilian experiences of innovation for the SDGs and implementing the 2030
Agenda link population, development, and the synergistic effects of fighting poverty,
hunger, promoting sustainability, and gender equality. In fact, Brazil has a strong
place of innovation in the 2030 Agenda, with local applications of local knowledge
to implement the SDGs with the logic of innovation. To understand the profile of
solutions performed nationwide, it is recommend checking good practices connect to
the concept of community-led responses mapped trough a Brazilian experience
called Innovative Solutions (Soluções Inovadoras), headed by the Democracy and
Sustainability Institute (IDS), and the CSWG 2030 (Soluções 2021).
Another CSO contribution to SDG implementation in Brazil concerns to the
Spotlight Report. From 2017 onwards, the CSWG 2030 presented the Spotlight
Report annually, the most complete follow-up document built on data and scientific
information gathered by several specialized organizations in the country, which
became pivotal in establishing accountability mechanisms. The Spotlight Report
antagonizes the optimism of the Brazilian Voluntary National Report (VNR) – the
official document that reports the status of implementation of the SDGs from a
top-down perspective – produced exclusively by the Federal Executive Branch.
Otherwise, the Spotlight Report produced by the CSWG 2030 highlighted a scenario
of unsustainability and fear.
In the context of multiple crises, the distance that separates us from the aspirations of the
2030 Agenda is evident. (. . .) The data analysed reflect a process of neglect of the public
good to maintain the status quo and dismantle policies aimed at the promotion of dignity,
reduction of inequalities, the realization of human rights, and socio-environmental sustain-
ability the result of decades of construction and achievements of society. The most vulner-
able populations and the environment are, of course, the most harmed, as evidenced, for
example, by the relentless attacks on women, young people, LGBTI, black, quilombola, and
indigenous populations (of all ages), environmental licensing legislation and conservation
units. (GTCS A2030 2017: 3)
One could affirm that the Spotlight Report became the true voice of Brazil in the
UN HLPF concerning the SDG and the 2030 Agenda implementation. Once Bra-
zilian government was supposed to present the 2nd VNR in 2019 but give it up and
withdrew from presenting it a few months before the event, the CSWG 2030 kept the
promise to show the world about the Brazilianization of the 2030 Agenda. Other
initiatives, including the territorialization process of the 2030 Agenda, occurred
through the initiative of local and regional governments and associations, and it is
the next section’s focus.
Incorporating the SDG in Brazilian Local and Regional

Governments (BLRG)
To conceptualize, incorporation should be understood as a complex process of

adjusting institutional mission, objectives, and daily routines to SDG targets. Incor-
poration is a process of subjectivity identity redefinition based on SDG relevance to
specific social role of individuals and organizations. Finally, incorporation engulfs
rhetorical elements to inspire new generations and young people to do better and
practical elements to aspire a brand-new world. This section focuses on how

Brazilian local and regional governments incorporate the SDG in their politics.
Incorporating the SDGs in Brazilian Local Politics
Metropolitan areas and regions “are making significant progress” in incorporate

SDGs generating worldwide positive change by developing global networks of
information exchanging of good practices (UCLG 2017: 62). Local and regional
government associations (LGA) are taking actions of training, communication/
campaigns, support in aligning the SDGs with the planning and management
instruments, sharing knowledge/methodologies, best-practice database, advocacy
and awareness-raising, and the development of monitoring and evaluation systems.
The UCLG reports positively evaluate the actions of Brazilian LGAs, such as the
Brazilian National Association of Municipalities (CNM), the ABM – Brazilian
Association of Municipalities, the National Front of Mayors (Brazilian National
Front of Mayors) (FNP), and the actions developed within the scope of the Sustain-
able Cities Program.
The CNM, created in 1980, is the largest municipal entity in Latin America. It has
been actively involved in the MDGs and with SDGs since 2016. CNM also
represented Brazilian municipalities in the CNODS. The objective of its actions is
to strengthen the Brazilian municipal capacities concerning the location of the
objectives, translating them to the local realities of the Municipalities. As the 2019
UCLG report highlights, “CNM has placed the 2030 Agenda at the center of its
advocacy. The CNM has developed an active dissemination strategy – based on
awareness campaigns, dialogues, publications, and training sessions, pilot projects,
and monitoring initiatives, coordinated through the ‘Mandala’ dashboard” (UCLG
2019: 49).
In partnership with the Articulation of Territorial Networks (ART) of the United
Nations Development Program (UNDP), two guides on localizing and integrating
the SDGs were developed (CNM 2016, 2017). In addition to publications,
awareness-raising events on the SDGs, and training of local managers, monitoring
and evaluation instruments for achieving the SDGs stand out, once “National LGAs
(in Brazil, Flanders, Germany, Netherlands, Sweden) have built tools to develop
subnational monitoring and support through training” (UCLG 2020: 113).
The CNM developed the public platform Mandala of Municipal Performance
(https://ods.cnm.org.br/mandala-municipal) with 24 indicators to assess progress in
implementing the SDGs, covering four dimensions: institutions, sustainable econ-
omy, social inclusion, and environmental sustainability, and aims to support man-
agement in monitoring and evaluating local development over time.
Another initiative in instruments for monitoring and evaluating municipalities
was the development of the Sustainable Development Index of Cities – Brazil
(IDSC-BR), “an initiative of the Sustainable Cities Program in alliance with the
SDSN. It has classified 770 Brazilian municipalities and monitors their implemen-
tation of the SDGs” (UCLG 2021: 68). The IDSC-BR (https://idsc-br.sdgindex.org/)
is composed of 88 indicators, referring to the various areas of action of public

administration, covering Brazilian capitals and large municipalities, representing
all regions and biomes of the country.
The ABM, founded in 1946, is also active in strengthening municipal capacities
for the implementation of 2030 Agenda, through the Partnership for Sustainable
Development focusing on strengthening municipalities to promote the 2030 Agenda
and the New Urban Agenda, in collaboration with the European Union, mainly
through awareness-raising, training, and policy alignment actions. ABM “organized
SDG workshops in five regions of Brazil. Participants include around 70 different
municipalities in eight states, as well as state governments themselves. They are
currently working to align their objectives with the SDGs” (UCLG 2019: 49).
Another important Brazilian municipal entity, the FNP, founded in 1989, focuses
on 412 municipalities with more than 80,000 inhabitants, and coordinates the SDG
Strategy with other public and private institutions. FNP “also actively participates
in the multi-stakeholder SDG Strategy, together with representatives from civil
society organisations, the private sector, academia, and local governments by
“running training sessions, delivering communications, aligning municipal man-
agement instruments with the SDGs and their indicators, sharing methodologies,
and establishing practices and consolidating a bank of best.” (UCLG 2021: 67–8).
It should be noted that LGAs continue with their SDG territorialization actions,
despite the lack of national coordination, supporting local SDG implementation
initiatives as in the case of VLRs, led by LRGs.
Steering Effects of the SDG in BLRG

In 2022, 46 countries presented a Voluntary National Review (VNR) at the HLPF,
but not Brazil. Since adopting Agenda 2030, Brazil has given only one Voluntary
National Review in 2017 (Brasil 2017). That fact carved the way to Brazilian
subnational entities to gain relevance during HLPF meeting. This section will
focus on the VLRs presented by Brazilian municipalities trying to grasp some
steering effects of the SDG in their daily politics.
Local level SDG incorporation brings visibility to diversity as a striking aspect of
Brazilian subnational experiences. From the municipality of Barcarena/PA, an
Amazon site with 100 thousand inhabitants, to three of the largest cities in the
country, São Paulo/SP, Rio de Janeiro/RJ and Belo Horizonte/MG, whose metro-
politan regions sum more than 40 million people. Social, cultural, economic, and
environmental diversity marks the experiences of these entities in the 2030 Agenda,
as well as different reporting formats, institutional approaches, the definition of
indicators, varieties of partnerships, and social participation arrangements.
SDG incorporation creates a common language for subnational actors. The 2030
Agenda implementation has practical and discursive effects on these Brazilian
experiences. There is a common language among VLRs derived from a common
conception of an integrated and indivisible Agenda capable of promoting institu-
tional integration, policy coherence, and social mobilization. Also, it is based on the
UN’s legitimacy in leading and orchestrating the 2030 Agenda. This common
language is inspired by the principle of “leaving no one behind’,” which has a
standing feature in continental and unequal countries such as Brazil. Finally, the
2030 Agenda visual identity also permeates all VLR and is used on regular bases in
monitoring and evaluation tools, especially the 17 SDG icons.
SDG incorporation depends on participation, but also induces further engage-
ment. As argued by Young (2017), Finnemore and Jurkovich (2020), and Galvão and
Ceccato (2021), a voluntary agenda, composed of non-legally binding aspirational
goals, depends for its implementation on the engagement and mobilization of
different actors. Although the VLRs are government reports, with a greater or lesser
degree of social participation, a broad involvement around the implementation of the
2030 Agenda is noticed.
As a corollary, SDG incorporation galvanizes partnership. In fact, initiatives on
the 2030 Agenda implementation increased partnerships among state, non-state,
international, national, and local actors. The partnerships with higher education
institutions stand out. The Center for High Studies in the Amazon of the Federal
University of Pará (NAEA/UFPA) supports Barcarena/PA’s VLR (2017) and the
State of Pará (2020) works with the Amazon Foundation for Support Studies and
Research (FAPESPA). Belo Horizonte/MG (2020) structured its VLR by SDG
assessed by six local higher education institutions – the Federal University of
Minas Gerais (UFMG), the João Pinheiro Foundation (FJP), the Newton Paiva
University Center, the Una University Center, and PUC Minas – according to their
expertise.
Partnerships with international organizations and transnational networks were
also frequent. Belo Horizonte/MG (2020) highlighted its partnership with the
UN-Habitat and ICLEI (Local Governments for Sustainability) and Santana do
Parnaíba/SP (2019) worked in partnership with the Gaia Education organization
and the UNESCO Global Action Program.
The city of São Paulo/SP (2020), whose VLR was supported by the Union of
Ibero-American Capital Cities (UCCI), participates in more than 20 global cities
networks, including United Cities and Local Governments (UCLG), ICLEI – Local
Governments for Sustainability, C40 Cities, MercoCidades, and Unesco Global
Network of Learning Cities. The cities of Rio de Janeiro/RJ (2020) and Niterói/RJ
(2020) based their VLRs on the initiative “Public Responsibility Systems to mea-
sure, monitor, and report on sustainable urban policies in Latin America” in part-
nership with the UN-Habitat.
SDG incorporation by the Brazilian LGA has evident institutional effects on the
public sector. In all cases, capacity-building actions (i.e., personal training) and
curricula adaptation (i.e., SDGs in schools’ curricula in São Paulo/SP) raise aware-
ness and publicize the 2030 Agenda (2020: 40). Also, one of the first measures taken
by governments is the alignment of local planning and management instruments
with the SDGs was highlighted in all VLRs, mainly through:
(a) Long-term strategic plans, as in the cases of Rio de Janeiro (2020) and the
“Sustainable Development and Climate Action Plan of the City of Rio de Janeiro –
2050”; the State of Pará (2020, 2021) and the “Amazon Now” State Plan
(PEAA), and the city of Nitéroi/RJ (2020) and the “Strategic Plan Niterói
What We Want – 2013-2033”.
(b) Multiannual Plans (PPA), in all cases.
(c) Master Plans and Sectoral Plans.
(d) Budget, as in the case of the Belo Horizonte City Hall SDG Thematic Budget
(2020: 253).
SDG incorporation demands institutional adjustments. In addition to a process of

mapping and alignment of the SDG to public policies, many interagency working
groups, task forces, and commissions were created to increase institutional integra-
tion and policy coherence. The city of São Paulo/SP (2020) created an
Intersecretarial Working Group (GTI) for the definition and monitoring of indicators
of the Sustainable Cities Platform (PSC) and the Sustainable Development Goals
(ODS) jointly. The municipality of Santana de Parnaíba/SP (2019: 3) also instituted a
cross-cutting working group composed of nine secretariats led by the Communica-
tion Secretariat.
In that matter, local governance on the SDGs is generally coordinated by the
center of the government, such as the Chief of Staff or Secretary of Planning or
Finance, which represents an understanding of the SDGs as a sustainable develop-
ment agenda, not just an environmental or international agenda which in general
does not promote such broad institutional involvement.
Only the municipality of São Paulo/SP (2020) and the State of São Paulo (2019:
7) constituted a formal SDG governance instance. The Municipal Commission for
Sustainable Development Goals, established by Decree No. 59,020/2019, was
inspired by the experience of CNODS, with parity between state and non-state actors
and a consultative nature (São Paulo/SP 2020: 26). The experience of the city of São
Paulo is also highlighted by the involvement of the legislative branch in SDG
governance (São Paulo/SP 2020: 27). The State of São Paulo (2019: 7) firstly
established an Intersecretariat Working Group that later originated the State Com-
mission for the SDGs, established by Decree No. 63,792/2018, also inspired by the
CNODS. However, the Commission was reorganized by Decree No. 64,148/2019,
making the representation of civil society optional.
As shown by this drawback in the representation of civil society in the State of
São Paulo, engagement and mobilization not always means effective participation in
decision-making. Social participation in the process of VLR elaboration and local-
ization of the 2030 Agenda varies within the cases analyzed. Most parts rely on
public hearings, presentations in public policy councils, or direct participation
through Apps, as in the cases of Rio de Janeiro with the Participa.Rio (http://
participa.rio) and Niterói/RJ with Colab.re (https://app.colab.re/BR/RJ/Niteroi.).
These consultation processes favor a broad scope but, in most cases, do not consti-
tute an effective collective construction. They seem to inform more than been a
process of co-construction.
Points of Attention Related to SDG Incorporation

One point that requires further research is the role of learning processes derived from
previous experiences in implementing development agendas, particularly Agenda
21 and the MDGs. Agenda 21 is mentioned in some VLRs only as a context for the
evolution of the international environmental agenda, not as a direct experience in
managing an international agenda. Barcarena/PA (2017) highlights the continuity of
institutional integration and local governance initiated in the MDGs that allowed
them to be one of the first Latin American cities to present a VLR in 2017. Belo
Horizonte/MG (2020) updated the Millennium Observatory to the Local Monitoring
System of the SDG Indicators as a monitoring and evaluation tool.
Participation in related agendas such as the Paris Agreement and the New Urban
Agenda and their interactions with the local governance of the SDGs is still an open
question. How do these agendas interact and are internalized locally? Van der
Heijden (2018) affirms that subnational entities act as units of the global governance
system and not with a specific domain as traditionally dealt with under international
regimes. These questions are also a matter for further research.
The SDGs are integrated and indivisible with the ambition to cover the three
pillars of sustainable development and break traditional silos of the public policy
cycle. Therefore, it is important to analyze not only its effects on discourse and
partnerships but also on: the interconnections between SDGs understood as syner-
gies and trade-offs, institutional integration, which aims to increase coordination
between agencies and the creation of new institutional arrangements, and policy
coherence that is the ability to increase the degree of consistency between policies.
This panoramic approach focused on existing public policies and services
combined with local indicators seems to trace a promising path to avoid the often-
oversimplified reality when the focus is only on indicators (Fisher and Fukuda-Parr
2019; Biermann and Kim 2020; Gupta et al. 2021). The exclusive focus on indica-
tors can generate distortions by not capturing, for example, the intersectionality
embedded in a broader understands about inequalities and their sources.
The literature on subnational and city governance identifies cities’ tendency to
compromise with more ambitious commitments than countries (Van der Heijden
2018). In the VLRs analyzed, it was not possible to assess this hypothesis because
there was no adaptation of the global goals to the local reality. The follow-up systems
tend to privilege existing data and highlight public policy implementation, access to
public services, and public satisfaction with policies. Subnational entities developed
several tools of monitoring and evaluation such as Belo Horizonte (https://prefeitura.
pbh.gov.br/planejamento/planejamento-e-orcamento/objetivos-de-desenvolvimento
-sustainable/indicators-ods), Niteroi (http://observa.niteroi.rj.gov.br/ods), and São
Paulo (https://observasampa.prefeitura.sp.gov.br/ods-sao-paulo).
As Dryzek and Pickering (2019) highlighted the 2030 Agenda advanced in
understanding sustainable development, overcoming the identity between economic
growth and development, and improving the representation of environmental
themes. However, the authors’ highlights that “(. . .) many of the targets related to
Earth system processes call vaguely are “significant” or “substantial” reductions in
ecological degradation, rather than setting out ambitious, quantified goals that
could help to motivate action and monitor progress” (Dryzek and Pickering
2019: 99).
The review of VLRs supports the authors’ position. For example, in
ObservaSampa, there are only two indicators related to SDGs 13, 14, and 15, and
in Belo Horizonte/MG and Niterói/RJ systems, only seven indicators refer to
environmental SDGs. The social SDGs, notably 3 and 4, have greater diversity
and availability of indicators, with 27 in Niterói/RJ, 48 in São Paulo/SP, and 44 in
Belo Horizonte/MG, which denotes greater availability of information on the areas
of health and education, including federal databases. It is noteworthy that part of the
environmental information was worked within the scope of SDG 11, with 21 indi-
cators in Niterói/RJ, 28 in Belo Horizonte/MG, and 45 in São Paulo/SP.
Final Remarks
This chapter is a comprehensive study to understand the Brazilianization of the 2030

Agenda. The narrative encompasses the Brazilian trajectory from the leadership in
shaping the post-2015 development agenda to the virtual abandonment by the
federal government of the SDG implementation process. That peculiar behavior of
2030 Agenda rejection opened the way to the rise of subnational entities and
organized civil society as protagonists in implementing the SDGs in the country.
Despite being a signatory to UNGA Resolution 70/01, the Executive Branch of
the Brazilian government virtually abandoned the 2030 Agenda by dismantling the
CNODS and vetoing the PPA alignment to the 2030 Agenda, disregarding all the
social claims to reconsider those decisions. As presented in this chapter, the active
Brazilian participation in conceiving the 2030 Agenda did not imply a country’s
leadership in implementing the SDGs. The main factor contributing to this situation
was the lack of commitment of national leaders, except for the Judiciary, to the
SDGs. Especially after the rise of a government averse to multilateralism, with anti-
scientific positions, mainly reflected in the dismantling of organs and cuts in
resources and aligned with the international conservative hegemony regarding the
environmental and human rights issues.
The social governance of the 2030 Agenda reflects this turbulent context. On the
one hand, the National Commission on the SDGs (CNODS) was extinguished at the
beginning of 2019; the 2020–2023 Multiannual Plan did not mention the 2030
Agenda; the adaptation of targets to Brazilian reality and national indicators have
not been used or are under attack. The actions undertaken by CNODS between 2017
and 2018 had the merit of including the SDG agenda in federal agencies and
mobilized servers and institutions. However, they only reached technical and
bureaucratic areas. The bureaucratic executives and political leaders did not engage
in the process. The new government shifts towards insufficient progress to flagrant
setbacks about the 2030 Agenda in Brazil.
On the other hand, civil society organizations operate in networks connected with
subnational entities and international organizations to inform how Brazil is
performing in the 2030 Agenda; subnational entities are also organizing themselves
to implement the SDGs against the national executive branch. The territorialization
process of the 2030 Agenda occurred autonomously through the initiative of local
governments associations and individual initiatives of subnational governments and
civil society organizations, without the participation or guidance of CNODS.
The assessment of the CSWG 2030 activities and the nine VLRs presented by
Brazilian subnational entities indicates a process under construction. Further
research is needed to assess the effectiveness of measures to improve institutional
integration and policy coherence. These initiatives generally have a character of
mapping and aligning existing structures, priorities, institutional arrangements, and
capacities, which may denote some path dependency in conducting policies, which
could mean a limited role of the SDGs in inducing effective transformations. It is not
possible to say whether this is a consolidated condition or characteristic of an
evolving process. In fact, those reports emphasize ongoing actions or governments
pledges and their relationship with the SDGs in a prescriptive language on how the
2030 Agenda could promote transformations. The VLRs, as government documents,
highlighted the government’s achievements and synergies between the SDGs. The
challenges for implementing the 2030 Agenda and the trade-offs between the SDGs
should have been addressed. At the current stage, the effects of SDGs on local
institutions and norms focus on agenda-setting rather than the entire public policy
cycle.
The steering effects of the 2030 Agenda remain relevant in building social
governance of the SDG by civil society organizations, parliaments, and local
governments. The role of integrity and indivisibility of the SDGs and the message
of “leaving no one behind” are acknowledged. Some advances were observed in
institutional integration, mainly through coordinating intersectoral working groups,
aligning with planning and management instruments, and developing monitoring
and evaluation tools. However, the impacts on policy coherence are less evident.
This panoramic study assessed the capacity of the 2030 Agenda to induce local
transformations through SDG incorporation. The localization in Brazilian reality of
the global norm of the SDG is marked both by discursive elements and defined by
institutional and normative effects. The Brazilian case is noteworthy due to its
diverse social, environmental, economic, and cultural aspects. The Brazilianization
of the 2030 Agenda is a multi-scale and multi-actors’ effort to implement the SDGs
in a territorial mosaic of complexities and challenges.
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Perspectives for Resilience, Social Inclusion,
and Sustainable Tourism in Mexico
María Concepción Martínez Rodríguez and Catherine Nieto Moreno
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
Tourism in Latin America and the Caribbean . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Tourism Activity from a Systemic Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Resilience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Dimensions of Resilience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Participants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
Acapulco’s Tourism System Resilience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
The Tourism System During the COVID-19 Health Emergency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
Opportunity Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Diversity and Economic Redundancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
Connectivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
Multi-level Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Learning, Experimentation, and Innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
Systemic Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Abstract
The tourism sector was one of the most affected during the COVID-19 pandemic,
as global mobility restrictions severely affected tourism-based economies, par-
ticularly those located in Latin America and the Caribbean. This was due to the
region’s accumulated economic and social vulnerabilities, which were exacer-
bated during the pandemic. In this context, the agenda towards sustainable
tourism is compromised, as the economic impact suffered by tourist destinations
M. C. Martínez Rodríguez (*) · C. N. Moreno

Instituto Politécnico Nacional, Centro Interdisciplinario de Investigaciones y Estudios sobre Medio
Ambiente y Desarrollo (IPN-CIIEMAD), Ciudad de México, Mexico
e-mail: mcmartinezr@ipn.mx

https://doi.org/10.1007/978-3-031-16017-2_49
50 M. C. Martínez Rodríguez and C. N. Moreno
has led to the public policies abandonment and projects that sought to improve the
social, environmental, and economic balance of tourist destinations. Therefore,
the objective of this research is to analyse through a case study the current
situation of progress in SDGs 11 “make cities and human settlements inclusive,
safe, resilient and sustainable”, 12 “ensure sustainable consumption and produc-
tion patterns”, and 8 “promote sustained, inclusive and sustainable economic
growth, full and productive employment and decent work for all”, considering the
pandemic context, in the tourist destination of Acapulco, Guerrero. The present
investigation used the case study method together with a mixed methodology, a
narrative analysis of the different actors’ accounts in the tourism system about
their experience and participation in the destination’s sustainable tourism strate-
gies, and comparative analysis. This important research findings provides a
reference frame to identify the challenges that the tourism systems actors visualise
to take up sustainable tourism strategies and to diagnose the progress status of
other tourism destinations with similar characteristics.
Keywords
Tourism · Resilience · Sustainable · SDG · Acapulco
Introduction
The tourism sector has developed under a trend of unsustainability due to the
dynamics it has brought about in the spaces where it is located, through the
successive creation of pleasure peripheries (Gormsen 1997; Yıldırım 2021; Bocken
and Short 2021). It is imperative that national governments anticipate and weigh the
long-term implications of different business models and policy options in the
tourism sector (Bernard and Cook 2015).
The tourism penetration and real estate capitals take advantage of the income
differential to access land resources (Blázquez-Salom et al. 2011). The dominance of
traditional economic thinking such as neoliberal growth policies has resulted in
increasing claims of injustice that serves to threaten the long-term sustainability
and growth of the tourism sector (Rastegar 2022), accompanied by laws, policies,
and national and international institutions at their service, provoke radical metamor-
phoses in the territorial articulation logic, displacing or marginalising other activities
and actors that previously occupied a central space (Cañada 2016).
Part of this metamorphosis is the formerly public dispossession, common or
freely accessible spaces and natural resources through appropriation and
privatisation (Blázquez-Salom et al. 2011), such as water, access to roads or coast-
lines. However, this industry’s extensive and uncontrolled growth may negatively
impact these fragile natural coastline areas (Mejjad et al. 2022).
This dispossession also generates population movements as it expels those who
carried out activities that were once central to the territory, such as agriculture, and in
turn, attracts labour to carry out tourist activities. This implies new processes of
Perspectives for Resilience, Social Inclusion, and Sustainable Tourism in Mexico 51
social, cultural, and political organisation, and the spatial and social dynamics are
polarised between the places destined for tourist production and those that guarantee
its reproduction (Cañada 2016; Tranter et al. 2022).
The high density reached in the main tourist areas and the pressure exerted on the
territory also conditions the quality and proper functioning of the tourist space
(Navarro Jurado et al. 2012), and existing practices may not fully contribute to
sustainable tourism as expected, as environmental elements have affected the exis-
tence of proper sustainability (Rebouças et al. 2022). This problem is aggravated if
we take into account the substantial public investment in infrastructure (water,
sanitation, communications, solid waste treatment, etc.) required to meet local and
tourist demands (Navarro-Jurado et al. 2015). Tourism growth is an important
component for welfare improvement in the host destination, but it can be associated
with environmental degradation (Kyara et al. 2022).
In addition to these socio-economic impacts, tourism has also had numerous
environmental impacts throughout its expansion over the last century. Tourism is
directly and indirectly implicated in greenhouse gas [GHG] emissions, fisheries
exploitation, deforestation, species loss, and water use, and these emissions are also
associated with food production and land-use change (Gössling and Peeters 2015).
Few studies so far accommodate the dynamics and uncertainties of the economic
environment in the field of tourism impacts of climate policy (Cao et al. 2021).
Direct impacts come from tourism activities and indirect impacts from related
processes (Ivanova 2012). Gössling and Peeters (2015) in their resource use inten-
sities [RUIs] study required to sustain different tourism consumption units, provid-
ing significant data on the use of energy, water, land, and food by the tourism sector
that allows for precise identification of its impacts on the environment.
Concerning energy, Gössling and Peeters (2015) point out that all tourism
depends on energy, practically all of which is derived from fossil fuels, which in
turn emit GHGs when burned. In 2005, emissions from international and domestic
tourism accounted for 5% of global emissions, making tourism the fourth largest
contributor of GHGs as a highly energy-intensive sector (Ivanova 2012). A study
revealed that there is a correlation between the aviation industry and climate change.
Despite efforts to cut back on carbon emissions, such efforts are not sufficient to
result in meaningful cutbacks in GHG emissions owing to the inadequate regulatory
framework and capacity challenges (Dube and Nhamo 2019).
Of this share, 75% corresponds to tourist transport, 40% of the CO2 footprint
corresponds to air transport, 32% to cars, and 1.5% to cruises; on average, a tourist
trip (including domestic and international travel) can consume up to 3575 mega
joules of fossil energy, which corresponds to 250 kg of CO2 (Gössling and Peeters
2015).
Regarding water use, the authors point out that it is implicit in the tourism
infrastructure development and that there is evidence that tourism increases water
consumption; they also identify golf course maintenance as one of the most water-
intensive activities in the sector (Gössling and Peeters 2015). Although the economic
impact of tourism on destinations has been examined in a large body of tourism
literature, most studies have utilized the tourism-led economic growth hypothesis
and traditional methods and data rather than cutting-edge economic methods (Liu
et al. 2022).
Water use per night of accommodation is estimated at 75 l on average; however, if
water consumption derived from food production (estimated at between 4500 and
8000 l per tourist per day) is added, this results in an average water consumption per
trip of 27,800 l or an annual total of 138 km3 to maintain the current global tourism
system (Gössling and Peeters 2015).
As discussed above, land use and land change is central to tourism. On average, it
is estimated that the area needed per bed for guesthouses is 25 m2, for hotels 30 m2,
50 m2 for campsites and self-catering accommodation, 130 m2 for holiday villas, and
finally 200 m2 for holiday homes (Gössling and Peeters 2015).
Furthermore, in 2010, adding to this average, the land use needed for transport
and tourism activities would result in 62,000 km2 or 11.7 m2 per tourist (Gössling
and Peeters 2015). This amount of land has been obtained through the reefs,
mangroves, wetlands destruction, and the nature reserves territory decrease among
other environmental affectations (Davenport and Davenport 2006; Ellison and
Farnsworth 1996; Gormsen 1997; Navarro-Jurado et al. 2015).
These tourism impacts influence two very important systemic changes: climate
change and biodiversity loss. Tourism is particularly sensitive to climate change, as
climate determines the tourism seasonality demand and influences operating costs
(Ivanova and Ibáñez 2012).
The IPCC (2013) notes that climate change will result in higher temperatures,
hotter days, more intense cyclones and hurricanes, changes in precipitation, and
longer and more severe droughts. Moreover, threats to biodiversity from tourism
include habitat destruction and degradation, increases in invasive species, fires, and
various pathogens, among others (Milder et al. 2016).
These changes have many social and sovereignty implications, such as shifting
maritime borders and special economic zones, community displacement, and a large
number of refugees (Dalby 2019). Coastal destinations and islands are vulnerable to
these conditions, most of which are located in developing countries, limiting the
quantity of the resources available to cope with these changes (Sheller 2020).
The marginalised groups’ vulnerability in these territories to climate change is not
only a product of natural conditions but also of a political state and even colonial
historical heritage, reinforced by the dynamics of north-south domination produced
by peripheral tourist enclaves (Blázquez-Salom et al. 2011; Sheller 2020).
In addition, the excessive economic dependence on tourism in these territories
and the accelerating unemployment trend (Gaede 2010) contributes to the vulnera-
bility and weakness of the local community when it comes to welcoming foreign
agents, as tourism by itself does not promote development if it is not integrated or
accompanied by wealth distribution policies, so that it can be useful in poverty
eradication (Navarro-Jurado et al. 2015). In this perspective, we point out the
necessity to incorporate environmental issues with economic and sociocultural
needs to obtain complete and harmonized sustainable tourism indicators (Mejjad
et al. 2022).
Tourism in Latin America and the Caribbean
In Latin America and the Caribbean, its geographical location exposes it to extreme
weather events resulting from climate change; however, the inequality social conditions,
economic precariousness, and institutional weakness of the countries in the region
hinder their response capacity (Astudillo et al. 2020; Bárcena et al. 2020; Sheller 2020).
It is worth mentioning that Mexico is considered one of the countries with the
greatest vulnerability to extreme weather events resulting from climate change; it is
estimated that 15% of the territory, 68% of the population, and 71% of GDP are
exposed to its impacts (Comisión Intersecretarial de Cambio Climático [CICC]
2018; Molina et al. 2017).
Throughout the Latin American and Caribbean region, the tourism sector is
mostly based on a peripheral sun and beach development model (Gormsen 1997),
which makes the sector highly vulnerable to the climate change effects such as
floods, hurricanes, cyclones, sea level rise, and marine biodiversity loss (Buckley
2012; IPCC 2014; Organización Mundial de Turismo [OMT] 2019).
It was in this environment where we were already living with some of the climate
change effects that the COVID-19 pandemic emerged in early 2020. The uneven
pandemic impacts further concentrated existing climate vulnerability. It also
highlighted the lack of systemic thinking in dealing with such acute and
far-reaching shock events to disrupt all human activities.
These same circumstances influenced the Latin American region to be severely
affected by the COVID-19 pandemic (Astudillo et al. 2020). At the economic level,
the crisis suffered by the region as a result of the pandemic, with a 5.3% drop in GDP,
is considered to be the worst in its entire history (CEPAL 2020).
Like the rest of the countries in the region, the social inequality conditions, the
economic situation, and the institution’s weakness caused Mexico to be severely
affected by the COVID-19 pandemic (Campos et al. 2020; Provencio 2020). Mexico
is one of the countries with the highest COVID-19 deaths in the region, the country’s
GDP is estimated to have fallen by 8.5% (Saldívar 2020), and 44% of the country’s
total employment is at risk as a result of the pandemic (Organización Internacional
del Trabajo 2020).
The tourism sector was one of the most affected by the COVID-19 pandemic,
registering significant losses due to the lack of tourist traffic, which particularly
affected micro and small businesses, whose weight in the hotel and restaurant sector
is very large: 99% of businesses and 77% of employment (CEPAL 2020).
In Mexico, the pandemic outbreak represented a 6.3% GDP loss in tourism,
which represents 8% of the national GDP, surpassing other sectors such as agricul-
ture, and more than 50% of jobs were lost in the sector (Astudillo et al. 2020). It also
put highly tourism-dependent states such as Quintana Roo, Guerrero, and Nayarit,
which depend on the revenues it generates to meet their obligations, in serious
trouble (Moody’s investors service 2020).
The COVID-19 pandemic leaves many lessons for future research on climate
change adaptation. The first is a specific lesson about the systemic and
interconnected behaviour of social security, public health, supply chains, and peo-
ple’s livelihoods under a sustained crisis.
The second is the need to shift the focus on climate risk measurement from static
measures defined by a specific risk to a more dynamic approach that considers
compound risks and examines how vulnerabilities were produced before, during,
and after an event.
The third is the importance for government institutions to generate plans that
integrate principles of sustainability, health, long-term climate objectives, and foster
community resilience, as social cohesion and support networks are critical compo-
nents for survival and development under climate change and COVID-19
conditions.
These lessons suggest the importance of generating research on resilience, which
is the social dimension’s capacity to thrive in changing environments exposed to
shocks and stressors (Folke 2016). Resilience can be considered a critical component
for sustainability, as a socio-ecological system such as the tourism sector cannot be
considered sustainable if it is not also resilient (Derissen et al. 2011; Espiner et al.
2017).
However, it is necessary to bear in mind that to approach the resilience under-
standing construction, a multidisciplinary approach is necessary, where both quan-
titative analyses of its dimensions and the relationships qualitative analyses enable
them to interact.
Tourism Activity from a Systemic Approach
Tourism has been economically defined as a set of industrial and commercial

activities that produce goods and services for temporary consumption by visitors,
foreigners, or nationals (Acerenza 2006). However, tourism does not fit within the
traditional conception of the industry as “several firms producing similar products or
services and therefore competing with each other” (Wells 1989 as cited in Mill and
Morrison 1998, p. 2). In tourism, although competition exists, there is no uniformity
in structure, products, or services, and it is also transversal to other industries.
The tourist destination is the result of social and historical processes, the actor’s
interests involved in tourist activity, the geographical space, the imaginaries pro-
duced in the tourists’ place of origin, and the host community identity (Moscoso
2014).
These elements account for the linear and prescriptive model’s limitations of
analysis to study the tourism activity complexity. Around each element of tourism,
there are social, cultural, economic, physical, political, and technical aspects (Leiper
1979) that surround it, influence it, and vice versa, there is a feedback relationship
between tourism and these aspects in which it is immersed.
These destination’s development was characterised by a strong investment of
foreign capital and the different social classes’ low participation in the destination
configuration, as well as by a poorly diversified accommodation offer, composed
mostly of large transnational chains hotels and second homes built in series by large
real estate companies, which limits the resident community participation in the
accommodation business (Gormsen 1997).
Resilience
Resilience is a concept that has been used in different fields such as environmental,
social, economic, political, and health science (Dornelles et al. 2020). Although
resilience definition is different in each of these fields, they all agree that the system
can respond to change while maintaining its structure, functions, and controls.
This has allowed the concept of resilience to serve as a platform for interdisci-
plinary and transdisciplinary dialogue (Levin et al. 2013) to analyse the changing
dynamics and adaptation in complex adaptive systems [CAS], particularly those that
integrate the social and the ecological.
Its founding theorist C. S Holling (1973) drew on systems theory (Gardner and
Ashby 1970; Von-Bertalanffy 1989) and complexity theories (Lorenz 1967; Morin
2006) that were beginning to emerge in the 1970s to propose ecological resilience
(Holling 1973) as a response in the ecology field to the paradigm of natural resources
command and control management (Holling and Meffe 1996) and resilience engi-
neering (Clements 1936).
Holling’s resilience theory contributed to the “new ecology” development and
was central to the emergence of an adaptive ecosystem management philosophy that
continued to develop in the following years (Cote and Nightingale 2012; Meerow
et al. 2016; Sterk et al. 2017).
Holling himself and a group of researchers expanded his theory into the public
policy realm design through the book Adaptive Environmental Assessment and
Management publication, which aimed to develop an adaptive approach to analysing
and generating environmental impact policies (Holling et al. 1978).
Gallopín et al. (1989) are the first to use the term socio-ecological systems [SES].
The SES theory arose from the recognition of a close interaction between the socio-
economic system and the natural system (Petrosillo et al. 2015), thus requiring an
interdisciplinary approach.
In such systems, social, economic, ecological, political, cultural, and technolog-
ical components are closely interconnected and evolve together across spatial and
temporal scales, where the ecological component provides essential services to
society, such as food, energy, or drinking water provision (Petrosillo et al. 2015).
The SES resilience also contributes to the planetary system resilience (Dalby
2019). A resilience-based approach can radically transform responses to major
events such as climate change, ecosystem management dilemmas, urban and rural
poverty eradication in developing countries, and the sustainability challenge (Brown
2015).
Resilience can therefore be considered a critical component for sustainability, as
although resilience by itself does not imply sustainability an SES cannot be consid-
ered sustainable if it is not also resilient (Derissen et al. 2011; Espiner et al. 2017).
Applied to tourism systems, resilience explains the deeper forces underlying

Butler’s “tourism area life cycle” proposed in 1980 when it was thought that the
tourism destination’s development would progress linearly (Cochrane 2010).
Orchiston et al. (2016) who take up Farrell and Twining-Ward’s (2004) definition
of tourism resilience, while not proposing a resilience diagram, develop a qualitative
instrument to understand the organisational resilience of tourism operators.
Biggs et al. (2012, 2015) propose public policy principles for resilience, which
shows the connection between the SES study and the tourism systems particular study.
Becken’s (2013) research examines tourism destination resilience to climate
shocks, and its impact on tourism activity sub-systems, using the Queenstown-
Wanaka destination in New Zealand as a case study. He uses a landscape stability
model synthesised version of Walker et al.
Dimensions of Resilience
According to the literature review, there is still no consensus on the dimensions that
constitute resilience, and knowledge is still being generated in this field, mainly due
to the moving difficulty from theoretical propositions to indicators that
operationalise resilience and allow it to be measured from a more quantitative
approach (Haddoud et al. 2022; Lopes Días et al. 2022; Yang et al. 2021; Pham
et al. 2021; Dogru et al. 2019).
However, of all the current proposals, one of the most influential is the Biggs et al.
(2012, 2015) model, which proposes two spheres within the system: the key
governance attributes system and the social-ecological system key properties, both
of which supply resilience to the system. Originally, these are specifically oriented
towards the public policy generation but are equally useful for the system analysis
behaviour.
System governance is important for resilience because human decisions are
predominant in SES due to their potential impact (Walker et al. 2004). This group
includes citizen participation; polycentricity, i.e. governance with multiple decision-
making centres; learning and experimentation; and systemic thinking,
i.e. understanding that one lives in socio-ecological systems that are themselves
adaptive and complex.
The tourism system is very similar to the research on resilience in cities that integrates
the Dieleman (2013) and Biggs et al. (2012, 2015) dimensions model into this analysis:
multi-level governance, economic inclusion, connectivity and self-sufficiency, innova-
tion for green infrastructure and technology, and learning and thinking.
Case Study
This research has a case study approach with a narrative analysis methodological
strategy and uses the semi-structured interview, observation, and focus group dis-
cussion instruments as data collection methods.
Of the 70 tourist destinations in Mexico monitored by the Ministry in its hotel

occupancy reports on the DataTur platform (Secretaría de Turismo [SECTUR]
2020b), Acapulco, Guerrero, which is classified as a traditional sun and beach tourist
destination, was chosen, because it is one of Mexico destinations where in the same
territory, there is an area classified as a third tourist periphery (Gormsen 1997)
known as Acapulco Dorado and one classified as a fourth periphery (Valenzuela
and Coll-Hurtado 2010) known as Acapulco Diamante.
The coexistence of these tourism development two phases in the same territory
and the complexity it generates on a social and economic level make it an attractive
case study. In addition, the tourist demand characteristics, composed mostly of
nationals, particularly Mexico City inhabitants, add interest to the study of restricted
international mobility scenarios, such as the current pandemic.
Another interesting aspect is the relationship between threat factors and social
vulnerability. On one hand, the bay characteristics provide natural protection against
hazards such as erosion and tropical cyclones (Academia Nacional de Investigación
y Desarrollo A.C. [ANIDE] 2013); however, the high social vulnerability exponen-
tially increases the negative impact they have.
Proof of this is hurricane Pauline in 1997 and storm Manuel in 2013, which severely
impacted the Acapulco destination and whose affectations were largely due to the
territorial planning lack and of public services scarcity; these characteristics, among
others, made Acapulco a relevant object of study for an instrumental case study.
The COVID-19 pandemic is an unexpected shock event for many that altered the
people flow that fed the tourism sector. Since the World Health Organisation [WHO]
declared that we were facing a pandemic on 11 March 2020, restrictive mobility
measures were implemented in many countries to avoid greater contagion, a situa-
tion that severely affected tourism.
Even though the COVID-19 pandemic can be considered an atypical event, it can
be an interesting data source to examine a destination tourism resilience, as it is an
event that impacted the structure and functionality of the tourism system, causing
changes that require the adaptation of functions for the permanence of the system,
and could even potentially lead to the transformation of the “bases of attraction”
(Walker et al. 2004) of the system.
Thus, the investigation of tourism resilience in the face of the impacts caused by
the COVID-19 pandemic functions as a proxy for a more general understanding of
how resilience is built and how it could manifest itself in other future events,
particularly events such as climate change, which, due to its characteristics, can
disrupt the structure and global tourism system functionality on a larger scale.
To investigate the building resilience process in the tourism system, it is important
to point out that the social component is the most important one (Cote and Night-
ingale 2012), as the decisions are taken by this component currently have a major
impact on the other ones, including the environment.
It is therefore essential to analyse the relationships within the social system
component, as these define the structure and strength with which resources and
social actors interact (Biggs et al. 2015), and therefore determine fundamental
resilience aspects, such as multi-level governance, learning, systemic thinking,
economic inclusion, and sustainability innovation.
Participants
In this study, participants were chosen through purposive sampling (Patton 2015) in
which potential storytellers were first identified by searching and sifting through
tourism associations operating in the Acapulco destination.
To investigate these relationships interweaving, this study was designed to
recover the multiplicity of experiences of the actors in the tourism system of
Acapulco, Mexico, during the COVID-19 pandemic, both from an individual per-
spective, through narratives, and from an interactional perspective, through focus
groups (Cornejo et al. 2017).
A first selection was made among the tourism associations for their inclusive
nature, many of them grouping different actors, both from accommodation services
and food services or other tourist recreation services. They were also considered for
their participation in the destination’s decision-making process, which was identified
through a previous content analysis of local newspaper articles to identify actors with
a constant presence.
The sampling was divided by zone (traditional, golden and diamond Acapulco).
This zoning is important because according to the destination’s history examination,
the division by tourist zone has impacted the tourism system’s social, economic, and
political development so that the experiences between one zone and another are
differentiated (Valenzuela and Coll-Hurtado 2010).
In addition to the tour operator associations, in each of the three zones, potential
storytellers were identified among accommodation and food and beverage service
providers. These were randomly selected from an extensive list of them, identified to
obtain a greater richness in the experiences narrated in this study.
This selection allowed us to listen to, record, and interpret the narrative experi-
ences of a total of 30 participants who play different roles in the Acapulco tourism
system. In addition to the participants who shared their narratives, we also used the
focus group tool, which was organised virtually as a resilience workshop, entitled
“Resilience of the tourism sector in Acapulco: Background, challenges, perspectives
and routes for growth post Covid19”, and held on 27–28 November 2021.
This selection of participants aims to collect multiple intersecting narratives (Boli-
var 2012) from the tourism system’s different members that emerged in the socio-
historical context of Acapulco to confront their voices in a new polyphonic narrative
about their experience during the disruption system represented by COVID-19.
Acapulco’s Tourism System Resilience
Acapulco’s background as a tourist destination: Acapulco’s harbour consolidation as

a tourist destination was due, among other things, to its proximity to Mexico City,
currently the main tourist generating region for the destination, and to its relative
proximity in-flight hours to the United States main cities.
Acapulco, like the Caribbean islands and Hawaii, emerged as part of the third
periphery tourist destination (Gormsen 1997). This is a key factor as Gormsen points
out that in this type of destination, the tourism infrastructure is largely foreign-owned
and there is little resident community involvement in decision-making in the tourist
destination management.
Acapulco’s history as a tourist destination can be divided into five stages
(Speakman and Garay 2019; Valenzuela and Coll-Hurtado 2010):
1. The land link and the expropriation process (1927–1946)

2. Internationalisation: Miguel Alemán’s Acapulco (1946–1952)
3. Consolidation (1952–1979)
4. Slow decline and first attempt at reinvention (1980–2006)
5. Rapid decline and crisis (2006–2017)
In the first stage, the main access roads to Acapulco were built, the Mexico City –
Acapulco highway and the international airport. During this stage, the first major
agricultural land expropriation was also carried out to convert it to tourist use, most
of it ejidos won by the peasantry in the agrarian distribution (Méndez Torres 2015;
Valenzuela and Coll-Hurtado 2010).
From that first stage, Acapulco was configured as a territory with little economic
activities diversification; local, state, and federal authorities have since then favoured
projects that encourage tourism and have paid little attention to other sectors such as
manufacturing or agriculture.
At that time, the first hotels were built around the Zócalo area, which is now
known as Acapulco Tradicional and stretches from Caleta to Papagayo Park.
From 1930 to 1950, the population in Acapulco quadrupled from 6529 to 28,512
inhabitants, due to a large number of displaced peasants from the Guerrero state and
other states who saw the emerging tourist destination as an opportunity to get better-
paid jobs.
This growth was partly due to the “peso contra peso” policy promoted by the
Manuel Ávila Camacho (1940–1946) federal government, in which the state
invested the same amount as that contributed by the private sector for the tourism
promotion (Ramírez Sáiz 1987). This policy greatly favoured the foreign capital
proliferation, particularly from the United States, in Acapulco, to increasing the
resident community exclusion.
The second stage is known as internationalisation and was promoted by President
Miguel Alemán from 1946 to 1952. This period was distinguished by a strong
expropriation of agricultural land policy to build hotels and restaurants, which led
to the first popular colonies formation on the hillsides and riverbeds in the bay upper
areas (Méndez Torres 2015).
In the third stage, during Adolfo Ruiz Cortines presidency (1952–1958), vertical
hotels with a larger number of rooms were built on the main bay strip known as the
Acapulco Dorado zone. Some of these hotels still receive tourists, such as the Pierre
Marqués, the Presidente, and the Boca-Chica hotel (Cárdenas-Gómez 2019). Also at
that time, the Las Brisas-Hilton hotel was built in the mountains at the bay end to
provide a more exclusive space for tourists with greater purchasing power. Today
this hotel marks the beginning of the area known as Acapulco Diamante.
In the 1960s, Acapulco had a second major boost due to the Cuban revolution.
The US blockade imposed on the island during the revolution caused the tourism
businessmen who were located there to migrate, many of them settling in Acapulco.
Many of the new hotel chains were associated with airlines and pushed low-price
packages, which led to a tourism massification (Cárdenas-Gómez 2019; Méndez
Torres 2015). From 92,694 tourists in 1954, Acapulco received 540,100 in 1960,
registering an annual growth rate of 29% (Bringas Rábago 1999).
Between 1970 and 1975, there was another wave of migration and the population
grew 181.8% (Méndez Torres 2015), the urban sprawl extended to 1044 hectares
(Cristino 2018) and more popular colonies proliferated in high-risk areas without
services, such as the foothills and canyons, accentuating social marginalisation
(Bringas Rábago 1999).
By 1972, the tourist’s number had reached 1.5 million (Ramírez Sáiz 1987). It is
worth noting that until 1979, tourism surpassed oil in terms of foreign exchange
earnings. It generated 101,433 million pesos compared to the 87,157 million pesos
of foreign currency generated by oil; Acapulco represented 42% of the total foreign
currency generated by tourism (Méndez Torres 2015).
Despite the economic bonanza that the harbour was experiencing, the authorities
never took corrective measures for the territory planning, complementary economic
activities were not promoted, no strategies were planned to resolve the persistent
inequalities and shortages among the inhabitants, nor were sufficient measures taken
to control the contamination problem of the bay that was beginning to become
present.
The 1980s saw the beginning of Acapulco’s slow decline as a tourist destination.
The new tourist destination’s emergence such as Cancun and Acapulco massification
and the infrastructure and public services accumulated deterioration over the years,
as well as social conflicts and environmental deterioration (Ramírez Sáiz 1987),
caused a decline in foreign tourism.
By 1985, only 32.2% of tourists visiting Acapulco were foreigners (Bringas
Rábago 1999). To counteract the decline, authorities tried to improve Acapulco’s
image by evicting thousands of people who lived on the hillsides near the bay and
relocating them to colonies on the harbour periphery; this only served to further
increase social resentment from various population sectors against tourist activity
(Méndez Torres 2015).
It was not until the 1990s that state authorities undertook a more comprehensive
strategy to recover the destination. Laws were created, such as the Law for the
Regulation and Promotion of the Timeshare System of the Guerrero State (1990), the
Law for the Promotion of Tourism, and the regulations of itinerant commerce
exercises such as shows and nightclubs.
Also, the Urban Master Plan of Acapulco and the Declaration of Uses and
Destinations of the Land of Traditional, Golden and Diamond Acapulco were
elaborated (Bringas Rábago 1999). However, urban disorder persisted as the urban
sprawl continued to spread at an accelerated pace towards the other bay, in the new
diamond zone. The zone construction is part of the fourth periphery phase (Gormsen
1997) and was part of the state’s strategy to revitalise the harbour as an exclusive
destination.
This zone, which is still under construction, developed faster than Acapulco’s
traditional and golden zone. Here, in addition to the transnational hotel chains
installation with numerous rooms, the condominiums real estate development and
houses that function as second homes were promoted; characteristics typical of the
fourth periphery tourist destinations.
Hiernaux-Nicolas (2005, p. 3) defines second home tourism as “that by which
people go to a destination that is not necessarily a tourist destination per se, where
they have the possession by purchase, rent or loan of a property in which they spend
the night and carry out leisure and recreational activities”.
In Acapulco, since the 1970s, during the Golden Zone construction, the second
homes supply gradually grew, but it was not until the Diamond Zone in the late
1990s construction when the rooms supply in second homes exceeded the hotel
supply.
It is worth mentioning that even though it exceeds the hotel supply, there is no
supply record and monitoring of the rooms in second homes or their average annual
occupancy. Only in 2020 did Acapulco’s tourism secretariat begin to monitor 2000
rooms of the available residential supply in the golden zone and 3000 in the diamond
zone to issue occupancy reports (Gómez 2020).
Currently, around 23% of the 289 establishments offering accommodation ser-
vices registered in Acapulco are located in the diamond zone (Secretaría de Turismo
[SECTUR] 2020a), and condominium zones are a significant number as second
homes.
On the other hand, the second home growth in Acapulco also influences the
temporary property rentals growth through digital platforms such as Airbnb or Vrbo.
According to Banco de México’s report (2021), the Airbnb proportion in beach
destinations is lower compared to cities, which indicates that in these destinations
most second homeowners make private use of them.
In Acapulco, according to the November 2021 report on the AirDNA platform
(https://www.airdna.co/), there are 6386 active properties for rent, of which 87% are
complete residences.
Currently, the Acapulco municipality has a low economic diversification and is
almost totally dependent on tourism. Retail trade accounts for 45% of economic
activity and temporary accommodation and food/beverage preparation services for
19%, both of which are strongly linked to the tourist flow (INEGI 2020).
Regarding the enterprises engaged in temporary accommodation services (hotels)
and food and beverage preparation services (restaurants, cafés, and bars), most are
SMEs and family businesses with 0–50 employees. Of the registered accommoda-
tion services total number, SMEs account for 90% and of food and beverage
preparation establishments total number, they account for 99.5%.
The last stage of Acapulco’s cycle as a tourist destination, from 2006 to date, was
marked by the insecurity crisis. The drug war policies promoted by Felipe Calderón
Hinojosa’s government led to an exponential increase in violence in the region, and
the tourist infrastructure accumulated deterioration led to a sustained loss of inter-

national tourism in the following decades.
However, although foreign tourism was lost, domestic tourism proved resilient to
the crisis during this period (Speakman 2019). Average annual hotel occupancy for
domestic tourism remained relatively stable between 2006, when the insecurity crisis
began, and 2016, even during other events that disrupted tourism activity, such as the
H1N1 influenza outbreak in Mexico in 2009 or storm Manuel in 2013, which
flooded a good part of the Diamond Zone.
But the national tourism crisis resilience has not been enough to provide Aca-
pulco with the necessary tools to emerge from this latest stage of crisis and
accelerated decline.
Despite continued investment in Acapulco diamante to renew Acapulco, the zone
has not been able to replicate the traditional zone’s past success in the 1950s and the
golden zone in the 1970s, and its future is uncertain (Speakman and Díaz Garay
2016).
According to Speakman and Díaz Garay (2016), Acapulco’s tourism system
operated as a successful adaptive system (even though it was not structured to
facilitate the process) during its golden age until stagnation (Butler 2011) in 1980,
which allowed it to emerge from its first crisis period in the 1950s and the golden
zone to emerge as a tourism product reinvention.
However, this has not happened again after the golden zone decline in 1980 and
the insecurity cross-cutting crisis in 2006 because the external attractors that
influenced the equilibrium state of the destination and its adaptive capacity, such
as political or financial capital, no longer exist in sufficient quantities (Speakman and
Díaz Garay 2016).
The system is weakened and its actors try to compete with other sun and beach
destinations in Mexico with what they have at their disposal. Past management
decisions in Acapulco’s tourism system and the authorities’ disinterest have sub-
jected its tourism capitals (Sharpley 2009) and networks to continuous attrition,
making it difficult to break Acapulco’s stagnation as a tourist destination.
The Tourism System During the COVID-19 Health Emergency
These were the Acapulco tourist’s destinations conditions before the COVID-19
pandemic emerged; however, despite the stagnation, the impacts were not projected
as intensely on Acapulco as on other destinations due to the domestic tourism as a
key factor.
As there was no severe mobility restriction between Mexican states, domestic
tourism continued to move to Acapulco, although in smaller numbers, taking
advantage of the room availability supply as second homes and the early protocols
adopted by the actors in the tourism system.
The government institution’s actions can be divided into two: actions applied to
manage the health emergency and actions applied to manage the economic activities
reopening in the new normality (Gobierno de Mexico 2020).
The actions to manage the sanitary emergency are based on the sanitary emer-
gency declaration issued by the federal government (Poder ejecutivo y Consejo de
Salubridad General [CSG] 2020) and the non-essential activities suspension
(Secretaría de Salud 2020).
On 30 March 2020, the Guerrero state government decided to suspend recrea-
tional activities on beaches and non-essential activities from that day until 30 April
(Gobierno del estado de Guerrero 2020a), and this measure was extended until
30 May (Gobierno del estado de Guerrero 2020b).
The Acapulco municipality from the outset aligned itself with the policies
proposed by the Guerrero state to manage the health emergency, issuing its munic-
ipal contingency plan, which attests to the state government’s influence on the
municipality and the municipal government’s capacity to implement them (Homsy
and Warner 2015).
The municipal government’s capacity to implement depends on government
resources (managerial, fiscal, and civilian capacity) and citizen participation.
According to financial reports (Fitch Ratings 2021; HR Ratings 2021), the Acapulco
municipality had the basis to implement policies promoted by the federal and state
governments.
In tourism system income terms according to the tourist flow, and the average
monthly hotel occupancy data for the year 2020 (SECTUR 2020), there was a drop
in April and May due to the non-essential activities suspension and the beaches
closure. However, it did not reach zero occupancies, and the statistical compendium
(SECTUR 2020) reports that during those months, an average of 641 tourists stayed
in hotels.
The number of hotel occupancy is important in addition to its direct impact on the
service providers because as tourists are staying in Acapulco, restaurants, bars, and
other tourist services such as tours or water sports have an available public that can
consume their services.
In September 2020, Acapulco registered a 22.7% drop in employment; however,
this represented the loss of 4.5 thousand jobs, while in tourist centres such as
Cancun, highly dependent on foreign tourism, the 22.9% drop in employment
meant the loss of 21.9 thousand jobs (Sánchez Crispín et al. 2020).
By July 2021, according to the Secretary of Labour and Social Welfare in
Guerrero, Óscar Rangel Miravete, out of the 15,000 jobs lost, only 13,000 formal
jobs had been recovered in Guerrero, mostly in the tourism sector operating in the
state’s main destinations: Acapulco and Zihuatanejo.
Opportunity Areas
The case study examined the presence of each dimension identified in the literature:
diversity and (economic) redundancy, connectivity, multi-level governance, learn-
ing, experimentation and adaptive capacity, and systemic thinking. To this end, the
key actor’s accounts within the Acapulco tourism system were considered.
Diversity and Economic Redundancy
In the economic diversity and redundancy aspect, i.e. the variety, balance, disparity,
and substitutability of the tourism system members, contrasted with the destination’s
background, it was found that Acapulco has a low diversity and redundancy in the
tourist source markets it receives and the tourism products supply.
Mexico City, Querétaro, León, or Veracruz proximities are the main source
markets for tourists to Acapulco, and the tourist’s proven resilience to medium-
term stressors, such as the insecurity crisis, and short-term shocks, such as the major
hurricanes that have affected Acapulco, was a key factor in the resilience and gradual
recovery in the December 2020 and 2021 holiday seasons.
On the other hand, although the tourism product only focuses on the sun and
beach category, diversity and redundancy in accommodation services and food and
beverage services were observed. There is provision for different purchase power
levels, and they are distributed in the diverse areas but in an unbalanced way.
During the pandemic, second homes served as a substitute for the hotel supply
during the months when non-essential activities were closed. The non-hotel accom-
modation substitution was important so that other actors in the system, such as
restaurateurs, could continue to earn income through home-delivery services. How-
ever, this circumstance may harm the destination in the future. It has already been
shown that there is an imbalance in the hotel and non-hotel room supply, which
should be examined by the authorities and taken into account in urban and tourism
planning.
If the real estate project development continues, as is intended parallel to Costa
Chica or Barra Vieja, there is a risk of exacerbating the territory and socio-
environmental conflict fragmentation. A reduction in the second home rental prices
could put pressure on small and medium-sized hotels, which are sustained by the
tourist market.
To strengthen this dimension, the state and federal governments must intervene
with long-term strategies to promote economic diversification projects in Acapulco.
Promoting agricultural and manufacturing activity is very important to counteract
the local economy’s excessive dependence on tourism.
To diversify tourism activity in the medium term, local authorities can have an
impact with projects that integrate Acapulco city with the tourist destination, such as
the beach reorganisation and cleaning, innovation in tourism infrastructure, and
encouraging other types of tourism such as ecotourism; the promotion of events in
Acapulco is also a medium-term strategy that can benefit tourism diversification.
Connectivity
It was found that Acapulco’s tourism system during the COVID-19 health emer-
gency manifested some connectivity dimension aspects. Bonding (formal alliances)
and bridging (informal alliances), cohesion and linkage, respectively, emerged
between different actors in the tourism system, some for the first time in response to
the emergency.
Cohesion bonding links between local small businesses such as restaurateurs,
hoteliers, sector workers, and the resident community in Acapulco were the most
abundant and had the greatest impact on implementing joint resilience strategies.
Most of the alliances were formed to request governmental support such as
extended hours of operation, economic and fiscal support. Among the storytellers,
there is a perception that they received little support and that there was no
co-partnership with the government in producing strategies for the tourism sector
in Acapulco resilience and adaptation.
There was also bridging between the resident community and tourism business
associations, with some undertaken actions in informal support networks being the
establishment of community kitchens, food donations, and local consumption
campaigns.
As the storytellers refer to, the bonding and bridging links also show the coop-
eration and willingness to resist and adapt tourism system actors out of self-pride.
There is a confidence that Acapulco’s tourism system can prevail and transform
itself, but for this to happen, actors identify the need to connect with the government
levels.
To strengthen the connectivity dimension, it is necessary that the bonding and
bridging links, i.e. the formal and informal alliances between actors that were
created, continue and be strengthened. In this research, through the discussion
group tool “Workshop resilience of the tourism sector: Background, challenges,
perspectives and routes for growth post covid19”, the first step was to generate these
spaces for exchange, and this initiative can be continued periodically.
In the short term, actors can also make use of networking to strengthen their
bonding and bridging connections. In the long term, local authorities must undertake
various projects to facilitate tourism system connectivity. Physical connectivity
projects between the different tourist areas through public transport routes and
road improvements, as well as tourist circuit promotion between areas are an
important resource to strengthen this dimension.
It is also necessary to create spaces for dialogue between the institutions and
tourism system actors, as well as citizens and educational institutions, integrated into
the municipal plans and programmes generation. This action also has an impact on
multi-level governance, facilitating the public policies co-production.
Multi-level Governance
Multi-level governance in the destination is reduced and the pandemic showed the
need to generate governance tools in each tourist zone to solve the problems
affecting it, since during the pandemic, other recurrent problems in Acapulco
intersected, such as the scarcity of drinking water, poor drainage, urban disorder,
etc., which remain and need to be addressed.
The perception among the narrators is that the support to the tourism sector
provided by the municipal, state, and federal government was insufficient in some
areas. The programme most recognised for its scope and usefulness was the training
programme for tourism service providers in the sanitary guidelines for reopening,
while the economic and fiscal support programmes were considered insufficient.
They also pointed out the lack of governance spaces where different actors
participate in the public policies co-production. Although there have been separate
meetings between the municipal government and various tourism business associa-
tions, the space and tools to facilitate governance are not in place.
To improve this resilience dimension, the municipal government needs to create
spaces for the different stakeholder’s participation from the tourism sector and
citizens. It is also an opportunity to change the Municipal Urban Development
Plan [PMUD] focus to a resilience-oriented systemic approach that integrates sus-
tainability principles of both Acapulco as a tourist destination and Acapulco as a city,
objectives to address the pandemic, and climate change adaptation and mitigation
objectives. In this sense, it is essential that instruments such as the state and
municipal climate change action programme and the emissions inventory, as well
as the corresponding regulations, are also created.
Another action is to strengthen citizen participation through consultations on
public policies or participatory mapping. The municipal government already has
tools such as its online municipal TV channel, the mobile phone application, and the
citizen hotline; these digital tools can be harnessed for this purpose at no extra cost.
Learning, Experimentation, and Innovation
In learning, experimentation and adaptive capacity terms the strategies implemented

by the actors were divided into business conversion and new technologies imple-
mentation. Some hotels and bars converted their restaurants into a main source of
income, home delivery services were implemented through digital platforms, and
some shows were continued through live broadcasts on social media.
Governmental tourism institutions also implemented innovations in the attention
to tourists through digital platforms to facilitate the capacity and dispositions of
information by the epidemiological traffic lights present in the destination. It is also
worth highlighting the innovation they had in presenting publicly through their
networks the occupancy by zones and in second homes, an indicator that was not
previously published and that is relevant for the analysis.
It is worth mentioning that among the narrators, the previous shock events did not
represent significant learning sources during the pandemic due to the pandemic
duration, which evidences a lack of tools in Acapulco’s tourism system to consider
emerging action plans during medium- and long-term stressors.
The same erosion of economic, political, and social capital has prevented the
generation of the space for experimentation, and innovation in the tourism system
has locked the system into a dynamic centred on immediacy.
One action the government can take is to update and facilitate Acapulco’s risk
atlas, emergency plans for hurricanes and floods, as well as the risks posed by
climate change and those still represented by COVID-19. Continuing information
campaigns by governmental institutions to citizens and tourism stakeholders are very
important for this dimension.
Systemic Thinking
In terms of systemic thinking, as authors have pointed out in other studies in

Acapulco, tourism planning continues to be linear and does not take into account
the system complexity. This led to the fact, for example, that provisions in the
reopening guidelines were not adapted to the certain space characteristics, as the
workers of “la Quebrada” refer that, being an open space, it was authorised the same
capacity as closed spaces.
Another example of the lack of systemic thinking is the tourist zones fragmenta-
tion, as the data shows connectivity between them is complicated, and the flow of
tourists, private investment, and public resources is distributed unevenly and with
only one particular zone in mind.
Finally, it is important to highlight that even though the tourism system showed
resilience and adaptation during the COVID-19 pandemic, it is a system that is worn
out by its history. According to the literature, Acapulco as a tourist destination has
been in a decline cycle for decades (Díaz et al. 2018), and without government
projects to diversify economic activity, it is understandable that the focus of desti-
nation management is on immediacy.
Conclusions
The data review points to the fact that Acapulco is in a general blockage trap
because, as it points out, the social, political, and economic capitals of Acapulco
are very deteriorated, which does not allow the remaining potential capitals to be
taken advantage of and makes it difficult to get out of the stagnation situation in
decline.
Classism that causes successive creation of tourist zones after resources have
been exploited in the previous zone, social exclusion and voluntary or involuntary
competition between zones caused by governmental institutions when allocating
resources and projects have deteriorated the resilience dimensions.
Poor availability of economic resources leads to fragmentation in connectivity,
and a lack of learning flow, experimentation, and innovation. Acapulco is at a point
of stagnation where its political, cultural, financial, social, environmental, and
technological capitals are worn out after decades of reductionist tourism planning.
To break out of these resilience traps, external intervention by state or federal
government authorities is needed to promote projects that address the social and
environmental problems in Acapulco, and that promote an orderly, sustainability-

oriented, and resilient use of the potential capital.
In contrast to SDGs 8, 11, and 12, to achieve their fulfilment, it is necessary to
address the social, economic, political, and environmental problems that coexist with
the tourism system, and important interventions by local, state, and federal govern-
ments are necessary to avoid the resilience reduction as a result of historical wear
and tear.
Finally, it is important to highlight that Acapulco is a territory that, despite its
history, has managed to withstand many crises and difficult conditions; it is one of
the oldest tourist destinations in Mexico, so the progress that can be made in terms of
resilience and sustainability will serve as a reference for other tourist destinations
that are in their life cycle early stages.
The COVID-19 pandemic was an opportunity to take a closer look at resilience
and shows the need to shift on climate change preparedness agenda focus. Our
research and strategies must be more comprehensive and adapted to the current
context where we are already living with multiple risks that demand cross-cutting,
high-impact actions to make our most critical systems resilient.
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Analysis of Supply Chain Sustainability
and Resilience
Giovanna Gonçalves de Misquita e Silva and Denise Stringhini
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
Supply Chain: Pandemic Crises and Resilience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
Supply Chain: SDGs and Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
Resilience and Sustainability Analysis Methods in Supply Chains . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
Complex Networks as an Analysis Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
Case Study Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Data Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Modeling the Supply Chain as a Graph . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Supply Chain Resilience and Sustainability Indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
Network Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Case Study Main Indicator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
Networks for Resilience and Sustainability Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
Final Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
Abstract
The study of supply chains and the manufacture of finished goods is one of the
main topics related to the impacts of globalization. In the context of Latin
American and Caribbean regions, it is essential to understand the supply chain
impacts on sustainability and its resilience to exceptional events. The COVID-19
pandemic culminated in supply crises worldwide, including medicines and hos-
pital supplies. This problem embodies the need to identify and implement alter-
natives that allow for cost reduction and efficiency while maintaining a solid and
sustainable supply chain of this supply. This chapter elucidates the factors that
influence the sustainability and resilience of supply chains by modeling the chain
as a graph or network. The model allows the network visualization and the
G. Gonçalves de Misquita e Silva (*) · D. Stringhini

Universidade Federal de São Paulo – UNIFESP, São Paulo, Brazil
e-mail: giovanna.misquita@unifesp.br; dstringhini@unifesp.br

https://doi.org/10.1007/978-3-031-16017-2_68
76 G. Gonçalves de Misquita e Silva and D. Stringhini
generation and analysis of complex network metrics. Graph characterization uses

these metrics and provides attributes for resilience and sustainability analysis.
Considering the health crisis generated by the COVID-19 pandemics, the case
study was selected based on the production chain of one of the leading manufac-
turers and distributors of essential medicines of the Brazilian Unified Health
System (SUS) Fiocruz/Farmanguinhos laboratory. After presenting the proposed
methodology to approach the problem and practical application in the case study,
the benefits of modeling via graphs and complex systems are discussed, ranging
from greater visibility of chain flows, better comparison between different con-
figurations of supply chains, in addition to greater autonomy for decision-making
by industrial managers.
Keywords
Supply chain · Resilience · Sustainability · SDGs · Complex network
Introduction
Currently, the study of supply chains and the manufacture of products is one of the
key themes for the efficiency of companies. Increasingly, there is a focus on
developing and managing best practices related to the supply chain. This link is
vital to guarantee the delivery of products and services to the customer efficiently
and economically. One of the most used strategies to achieve the level of compet-
itiveness required in the market is to have a globalized chain, focusing on cost
reduction, in contrast to the strategies of using companies and local suppliers
previously adopted (Cohen and Mallik 1997).
In addition to issues related to cost reduction and competitiveness, companies
are also committed to meeting the UN’s sustainable development goals, the
so-called SDGs. Some plans mention the implementation of technologies to
strengthen distribution chains in the locality and the implementation of initiatives
to combat climate change, including reducing greenhouse gases and optimizing
logistical routes. Thus, studying and implementing technologies is imperative
research to help achieve these global goals. In addition, from a sustainability
point of view, it is possible to draw a parallel with studies related to smart cities.
In this approach, smart economy and environment models, which focus on the
location of the economy, pollution reduction, management of natural resources,
and efficiency of these resources, have a strong relationship with the industrial
supply chain (Bifulco et al. 2016).
Historically, the supply chain has been seen as a linear system: a sequence of
concatenated steps to originate a product or service to be offered and delivered to a
particular customer. Such an approach implies that if each of the agents involved
seeks to optimize its operation, seeking maximum efficiency in terms of resilience
and sustainability, as a whole, the chain will be more efficient. However, contem-
porary simulation and optimization approaches indicate that achieving a local
Analysis of Supply Chain Sustainability and Resilience 77
optimum in supply chains does not always mean gaining a global optimum, as
supply chains are complex systems (Juan et al. 2018).
Understanding the supply chain as a complex system implies that the supply
chain is composed of dynamically connected elements and that, despite being
autonomous, their interactions generate emergent systemic behavior. The concept
of emergence, when talking about complex systems, is related to the behavior that
emerges when the result of the parts is analyzed collectively. In supply chains, it is
also possible to practically observe the concept of feedback, also found in complex
systems, which is the causal nexus between the individuals in the system. This
concept is popularly known as the effect that the more positive or negative an impact
is, the more positive or more negative it will be over time, tending to stability or
chaos, depending on their interactions (Holland 2014).
Analysis, simulations, and optimization of supply chains are usually done via
mathematical modeling, using algorithms and nonlinear equations, as will be seen in
later sessions. The construction of an adequate interface makes analysis and decision-
making difficult for industrial managers. Therefore, it is necessary to develop meth-
odologies that allow simple, fast, and visual studies of different types of production
chains, mainly manufactured products, in terms of resilience, sustainability, and trade-
offs. In this way, it is possible to mitigate supply risks and environmental impact and
understand the best way to serve the customer in terms of cost and availability. The
main objective is to avoid situations of shortages and disruption, as happened with
products related to the prevention of the spread of COVID-19. In addition, it is crucial
to investigate how building more flexible and adaptable supply chains can contribute
to a stronger system that meets the global needs of reducing greenhouse gas emissions,
contributing to a more sustainable planet.
Supply Chain: Pandemic Crises and Resilience
The study of supply chains is currently one of the main topics for understanding the
process of distributing manufactured products worldwide. Despite being wide-
spread, the term “supply chain” has several formal definitions. In this chapter,
when we talk about “supply chain,” we will be using the definition of Christopher
and Ryals (1999), which indicates that the supply chain is a network of organizations
linked by a series of processes and activities to produce value to the consumer
through products and services, associated with the definition by Chopra and Meindl
(2002) that indicate that the supply chain encompasses all stages involved in the
manufacture and distribution of a product or service, including manufacturers,
transporters, warehouses, retailers, and consumers, being a dynamic organism that
involves the flow of goods and information. It is important to note that according to
these definitions, the record given in the chapter is not just logistical, but also for the
entire ecosystem of the manufactured product.
Since 2020, the world has been facing a global shortage crisis due to the spread of
COVID-19, which has directly influenced the daily lives of companies, including
production chains. Challenges faced by organizations include reducing their
efficiency, and performance and propagating supply chain disruptions that affect
their resilience and sustainability (Ivanov and Dolgui 2019). In pandemic periods,
prioritizing a global supply chain, prioritizing cost reduction can add weaknesses to
the system, leading to a shortage of essential items such as food, medicines, asepsis
materials, personal protective equipment, and inputs for the manufacture of vaccines
(Paul and Chowdhury 2020). A survey by McKinsey found that 94% of Fortune
1000 companies have experienced disruptions to their supply chains due to the
pandemic. This reinforces the need for leaders to make decisions to serve their
customers in the best possible way, using technology to generate alternative scenar-
ios. Another critical factor is how new technological tools can provide more intel-
ligence by analyzing risk factors, such as interruptions, from implementing machine
learning algorithms, in preventive and adaptive terms, evaluating how much they
imply for the operation.
Each company dealt with the supply crisis caused by the pandemic differently.
Some companies, which already used technological tools to map their supply chains,
could recover faster and more consistently after interruptions. Other companies, in
turn, were still in manual models or in the data collection and evaluation phase,
trying to identify on a case-by-case basis which of their suppliers had a blockage or
lack of raw material, causing a delay in the adequacy of the current supply to the
moment of the pandemic. As a consequence of these facts, there is pressure for
companies to build resilience along their value chains.
Resilience, applied in supply chains, is linked to studies on the risks of a
breakdown of the supply structure, interruptions, and recovery time after a distur-
bance. Good management related to resilience is critical to avoiding shortages at the
local and global level, keeping the operation and distribution of products and
services under control (Ponomarov and Holcomb 2009).
As a response to the need to build a robust structure with a certain degree of
flexibility and that includes a resilient operational capacity with an important trade-
off of costs and optimization (Choi et al. 2020), several studies suggest strategies on
how to minimize the impacts of COVID-19, making chains more resilient as a way
of recovering from the current pandemic and preparing for future disruptions. One of
the strategies is to work preventively by increasing production early to avoid deficits.
This decision can be made temporarily since demand peaks are short-term during a
disturbance, making it possible to remove nonessential operations and use distrib-
uted manufacturing systems. In addition, it is recommended to establish geograph-
ically dispersed manufacturing facilities, prioritizing the location close to the final
consumer and with the necessary logistical support. Another strategy is to improve
disaster response and recovery capacity by redesigning production facilities and
diversifying locations for essential items such as PPE, medicines, and food
(Chowdhury et al. 2021).
Another possibility is to work on preventing the interruption of the supply of raw
materials, working better on the relationship with suppliers, increasing visibility by
mapping all the supply network, and formulating strategies for diversifying suppliers
and working in their locations to avoid production disruptions in the event of any
type of blockage (Van Hoek et al. 2020). The COVID-19 crisis shows that during
periods of disturbance, it is more challenging to move raw materials and products;

therefore, even if companies decide for reasons of cost to internationalize their
production more, if they want to avoid shortages, there is a need for finding a
balance between domestic and international production, in addition to making the
links stronger, it reduces the distance between partners.
From the point of view of digitization, information about suppliers, often collected
empirically and manually, based on a bill of materials, can be replaced by more
in-depth and automated information, with a map of manufacturing and distribution
of raw materials and mapping of logistics flows and operating times (Choi et al. 2020).
It is also essential to use data tools that can accurately estimate the inventory along the
value chain in real time and better take advantage of the demand forecasting tool.
Obtaining critical data at all levels helps in scenario exercises financial and under-
standing of the operational implications of unforeseen events, whether internal or
external, to define more realistically the time horizon of decision-making. In addition,
simulating sourcing scenarios through influencer analysis improves visibility results,
adopting agile strategies, and risk mitigation (PWC 2021).
Using a complex systems approach to propose solutions to the problem of supply
chain resilience, Barbosa and Azevedo (2019) identified that the main determinants
of supply chain performance are the length of the chain (related to geographic
distance and number of nodes), concentration (dependence on suppliers and low
level of substitution), in addition to transparency and accountability performance
and accountability management systems, that is, there are reasonable indications that
the use of modeling via complex systems can help in addressing of the main
problems arising from disturbances (Fonseca and Azevedo 2020).
In summary, it is important to develop holistic and interdisciplinary approaches
that combine technology and visual tools to create a supply chain that is viable and
capable of modeling and implementation in the real world, and that is, all at once
agile, resilient, and sustainable, as a way of recovery considering the current crisis
but also as a way of preparing for future disturbances.
Supply Chain: SDGs and Sustainability
The most contemporary approaches to supply chains have a more holistic line and
connect the theme that, historically, is related to cost reduction and efficiency with
sustainability issues, socio-environmental responsibility, and carbon footprint reduc-
tion. The implementation of sustainable models, analysis, and initiatives help maintain
the operation, guarantee the supply of basic items, provide benefits to companies, and
mitigate the effects of raw material price increases (Garcia-Arca et al. 2017).
According to United Nation, in 2021, greenhouse gases reached a record and
continued on an upward trajectory, even with the economic slowdown caused by
COVID-19. Thus, it is increasingly important to pay attention to the issues and
articulation of the theme, focusing on sustainable development goals (SDGs).
Among the 17 proposed objectives, three are related to supply chains and their
relationship with resilience and sustainability. They are:
SDG 9: Building resilient infrastructure, promoting inclusive and sustainable indus-

trialization, promoting innovation.
SDG 12: Ensuring sustainable consumption and production patterns.
SDG 13: Take urgent action to combat climate change and its impacts.
Goal number 9 deals with issues related to infrastructure and the development of
countries, especially the so-called developing countries, increasing their autonomy
and sustainability. It also aims at strengthening more localized and accessible
industrialization, both in terms of credits and financial services, as well as regarding
Bruno’s domestic product, job creation, and access to goods for all. Another
important point addressed by this objective is investments in the development of
new technologies so that it is possible to provide industrial diversification, including
studies to make supply chains more resilient, with clear indications of a direct
relationship between location and availability of products, contributing to the devel-
opment of the local industry.
Goal number 12 has sustainability as its primary focus, aiming at more efficient
management of natural resources and treatment of waste products throughout the life
cycle, including encouraging companies to adopt sustainable practices, including
sustainable practices in everyday purchases, directly implying the search for sus-
tainable factors throughout the entire value chain, seeking green attitudes and
reducing greenhouse gases. Finally, objective 13 discusses the importance of
strengthening resilience in all countries regarding adaptations in the face of natural
disasters, but which can be generalized to other types of disturbances, such as
pandemic scenarios, promoting mechanisms to increase the capacity of planning
and management of climate change, supporting the need for studies of more resilient
supply chains, not only to avoid risks of shortages due to lack of raw materials or
logistical problems but also regarding unforeseen external factors. In addition, green
supply chain management directly influences the carbon footprint, one of the main
drivers of climate change.
In the connection between the effects of the pandemic, it became evident that the
three factors of sustainability (triple-bottom-line perspective, integrating economic,
environmental, and social perspective) are interconnected with the distribution
operations of manufactured products. In the post-pandemic world, there are indica-
tions of a trend toward the adoption of mechanisms to reduce carbon emissions with
energy generation, reduction of waste and better management of medicines and food,
and a more outstanding commitment of companies to sustainability, culminating in
better air quality, lower greenhouse gas emissions and reduced environmental
pollution (Dente and Hashimoto 2020). Such fronts will possibly be pulled together
with data-based decision-making and the application of new analysis methodologies,
in addition to the development of new collaborative initiatives to combat crises and
efforts to locate supply chains, culminating in lower energy consumption, better
carbon footprint, operational agility due to the shorter logistic distance, less waste
due to better inventory management and greater flexibility (Sarkis 2020).
Due to the factors described above, the strong relationship between sustainable
development objectives and the importance of studies for the understanding and
application of technologies to increase resilience and sustainability in production

chains is evident, especially in developing countries, as in regions of Latin America
and the Caribbean.
Resilience and Sustainability Analysis Methods in Supply Chains
When it comes to analyzing resilience and sustainability in supply chains, several

techniques and approaches can be used to analyze and solve problems in a
fragmented or joint way. Most methods seen in the literature are based on mathe-
matical equations in their different forms, which can be generalized to any config-
uration of chains. The more conservative approaches are linear equations, while the
contemporary approaches are based on nonlinear equations. They all have their
primary objective to arrive at a solution or a set of keys that satisfy or optimize a
particular condition. Usually, these approaches are tested and accompanied by a
computational product where it is possible to simulate some conditions from some
input variables and boundary conditions taken as system constraints.
This technique can be seen in previous works, such as that of Edwards et al.
(2018), where the differential equation approach is used to create a critical resilience
index and correlation with the stability of the supply index. The authors use the
support of a simulator to translate the modeling into equations for the industrial
environment. Budiman and Rau (2019) propose a mixed method for analyzing
sustainable chains, both in the planning and operational scope, using the separation
into modules and integration with speculation methodologies and uncertainty anal-
ysis based on mathematical equations. Tuni and Rentizelas (2019) focused their
work on developing a quantitative assessment of environmental performance and
sustainability based on data about nature and life. The method is demonstrated
through a numerical example with data from supply chains, where CO2 emissions
and water eco-intensity are calculated.
Jabbarzadeh et al. (2019) presented a robust optimization model with a
bi-objective function, focusing on minimizing costs and greenhouse gases for
integrated planning of production and distribution of supply chains, considering
modeling of risk and uncertainties. Vivas et al. (2020) proposed a sustainability
assessment and optimization method with a combination of analytical models
(hierarchy-based) and enrichment organization (Promethee), with multi-objective
optimization and computational interface.
Another possible approach is modeling the problem via networks, whether
complex or not, which are usually accompanied by computer simulation. More
recent references indicate the petri nets and complex nets model, specifically with
graph theory. Wang et al. (2013a, b) modeled in their work a network system to
represent a holistic supply chain based on petri nets, from the modeling in nodes and
edges, with the main advantage of being an adaptable model for any type of supply
chain, supplies or providers of the leading suppliers. Continuing the work with
PETRI nets, Wang et al. (2018) apply holistic supply chain modeling, specifically
managing proactively manage the resilience of these chains, understanding the term
to avoid disruption in the future. It is important to note that for this approach, not
only data from the leading company is collected and modeled but also from its
suppliers and customers.
Looking at the applications of complex networks, Chen et al. (2017) discuss the
fact that traditional methods of supply chain assessment and management do not
adequately discuss the interdependencies between supply chain nodes, making deci-
sion modeling unfeasible. Therefore, we propose the modeling in graphs, using a
unified structure that is flexible enough to capture the risks involved in supply,
demand, and external relations when considering some input parameters. Mikhail
et al. (2019) developed a tool that allows supply chain architects, that is, professionals
who create the best configuration of this chain, to design them in the most resilient way
possible. The approach used was graph modeling, indicating chain density and node
criticality as the main attributes that strengthen the supply chain. This work has a
significant contribution because it suggests that it is possible to associate indicators of
complex networks with characteristics of supply chains in a direct way.
Aguila and El-Maraghy (2019) propose an assessment framework based on
complex networks and graph modeling to quantify a supply chain’s resilience and
network topology. The main output of the method is the system impact cost and the
cost of the post-disturbance recovery effort suffered by the system. The network
topology in this sense is evaluated with density, scale, and centralization indices, all
of them based on indicators used for graph characterization. Finally, Li et al. (2020)
focused their efforts on understanding how the characteristics of a network can
influence and describe the resilience of a supply chain. It is understood that using
a shorter list of features can have the same effect as an extensive set of characteris-
tics. It is possible to apply complex network techniques to characterize and evaluate
supply chain resilience from the case study application.
Due to the factors exposed above, it is understood that in a more contemporary
and applicable way to the daily life of the decision-maker, the approach through
complex networks and graph theory proves to be viable and visual. However, it is
also observed that this technique is mainly used to study and manage resilience in
supply chains, leaving a gap for studies on applying similar techniques to study the
sustainability and carbon footprint of these chains. Based on the hypothesis that this
is possible, this chapter discusses a plan presented in the following sections. The
supply chain is modeled as graphs, and resilience and sustainability are evaluated
concomitantly, for the best service of SDGs, mainly in countries in Latin America.
Complex Networks as an Analysis Methodology
As indicated earlier, the application of complex network techniques for analyzing the
resilience and sustainability of supply chains can be an excellent way to observe the
applicability of the methodologies in the daily lives of companies. For this, it is
necessary to make some definitions related to the theme.
The first definition must be made about systems in general. According to Flood
and Carson (1993), a system represents a situation composed of elements that
interact in an organized way to fulfill a purpose or a function. Applying the

definition, a supply chain can be considered a system, as all its elements (suppliers,
manufacturers, logistics operators, and customers) work together to manufacture and
distribute a product or service, which is their function. Therefore, elements, connec-
tions, and attributes are part of the system. An element is a representation of some
phenomenon in the physical world and whose existence may be worth modeling.
Applying the definition to a supply chain, the elements can be manufacturers,
warehouses, suppliers, industries, ports, etc. A connection is a relationship between
elements A and B whose behavior is influenced or controlled by each other. The
relationships, applied to the supply chain, can be the flows of raw materials and/or
the distribution of manufactured products. Any characteristic, quality, or property
attributed to an element or relationship is called an attribute.
A system, in turn, can be linear or nonlinear. According to Lathi (2007), a linear
system meets some specificities:
Proportionality: The system output is proportional to its input. If multiple inputs are
acting on a system, then the total effect on the system is due to all these inputs,
each one at a time, so it is the sum of all the effect components (eq. 1). Therefore:
if x1 ! y1 and x2 ! y2 , then for all x1 and x2 , x1 þ x2 ! y1 þ y2 ð1Þ
Homogeneity: If the system input increases K times, then its effect will also increase
K times, which is:
if x1 ! y1 then f or all k, kx ! ky ð2Þ
However, it is known that the description of a linear system does not include all
the behaviors resulting from the interactions between the elements of a supply chain,
being necessary to define what makes a nonlinear system. According to Sterman
(2001), a complex system is not only in the number of components or possibilities
that lead to decision-making but also in dynamic behavior, suggesting conclusions
that are often counterintuitive over time. In addition, complex systems have the
following characteristics:
Constant change: Changes that occur on many time scales and often interact with
each other.
Coupling: The system elements interact strongly with each other and the rest of the
world.
Feedback: Due to the coupling characteristic, the actions between the elements’
feedback, positively or negatively, give rise to changes arising from the system
itself. Typically, negative ties represent stable, self-regulating systems, while
positive ties tend toward chaos (Jonhson et al. 2019).
Nonlinearity: The effect is usually not proportional to its cause, and what happens
locally in a system does not apply to the whole or other regions. This is
exemplified by the fact that an insufficient raw material stock can cause produc-
tion to increase. Still, the show can never go to zero, no matter how much excess
inventory. Nonlinearity also arises as several factors interact for joint decision-
making that does not correspond to the sum of the parts.
Dependency: Using one of the possible system paths prevents others and determines
the system’s behavior.
Self-organization: Systems dynamics arise spontaneously from their internal struc-
ture, and feedback structures often amplify minor disturbances.
Adaptability: Adaptation of capabilities and decision rules of system elements over
time according to the system’s internal and external conditions.
Emergence: The presence of new behavior, pattern, or structure resulting from
interactions between the system elements themselves (Johnson et al. 2019).
Resistance: Seemingly obvious solutions to problems in linear systems often fail or
worsen the situation since the sum of the parts does not correspond to the
behavior of the whole.
Supply chains have characteristics of complex systems, especially regarding

emergency behavior and self-organization, making it possible to be modeled as
such. There are a few techniques for modeling complex systems, and one of them,
which will be covered during this chapter, is via complex networks. The advantage
of using this technique is the possibility of identifying suppliers, manufacturers,
planning agents, and customers as discrete parts that connect, in addition to the fact
that they are generalizable, it is possible to apply them in different types of systems,
facilitating the characterization, analysis, and comparative decision-making (Ferreira
and Macau 2012). More formally, complex networks are graphs that depart from
regular or statistically regular graphs; they are representations that require the
specification of several properties and resources (Costa 2020). A chart, in turn, is
an abstraction that allows encoding the relationship between pairs of objects in the
form of vertices and edges.
A complex network can be static or dynamic. They are static when there is no
variation in the number of vertices, edges, or even configuration of connections over
time. They are dynamic when this type of variation (Rodrigues 2007). Supply chains
typically undergo modifications throughout their existence. Still, like any system, it
can be modeled in a more simplified way within a time interval where its variations
are small. Thus, with the time component out of the analysis, some analyzes become
simpler, although still powerful.
Another interesting point is that complex networks can have weights associated
with each connection. Weight represents the intensity of the relationship, whether
unidirectional or bidirectional (Boccaletti et al. 2006). It also adds one more piece of
information to the graph. It can give information about the importance of this
connection, distance, supply criticality, carbon footprint, sustainability, or represent
any other important parameter for the decision-making of supply chain manager or
designer.
Complex networks can also be classified into three distinct types: random net-
works, small-world networks, and free-scale networks. Random-type networks are
part of the simplest type of modeling that a complex network can assume. In this
model, undirected edges are added randomly among a fixed number of N vertices,
and each edge is independent and represented based on some probability p. The
expected degree of any vertex is defined by the equation below, where p is the
probability of a vertex connecting to another vertex, N represents the number of
vertices in the network, and k is the total number of edges that fall on a given vertex
(Metz 2007).
k ¼ pðN 1Þ ð3Þ
This network model is usually not the best representation for supply chains. A
random arrangement does not reliably represent the relationship between suppliers
and, consequently, raw materials, and product distribution flows.
Many networks have pattern concentration; they tend to form small amounts of
connections at each vertex. This is the main characteristic of small-world networks.
In this model, the average distance between any two vertices does not exceed a small
number of vertices, just that some random connections between groups are
established (Metz 2007). This effect is observed in some networks in the real
world, mainly in those where most vertices connect to the others through the shortest
path, as can be the case with supply chains.
Finally, scale-free networks were defined by Barabasi and Albert (1999) and are
characterized by the preferential connection phenomenon, that is, the tendency of a
new vertex to connect to a network vertex that has a high degree of connections,
causing there to be some hubs that concentrate connections and many vertices with
few connections. This type of network follows the power law (Eq. 4), as long as there
is a solution only for f(ax) ¼ bf(x).
y ¼ axk ð4Þ
where a is the proportionality constant and k represents the exponent constants.

According to Rodrigues (2007), in a scale-free network, in addition to
the emergence of preferential links, there is also the concept of growth, where the
network starts with a small number of vertices and with each vertex added, the edges
connect with vertices already present in the network, providing the growth of the
main network. Assuming that the main network, in the modeling, is composed of the
main industry and its primary suppliers, any additional agent in the chain will
connect to this base network, that is, most likely the supply chains will assume the
characteristic of free scale. In this configuration, the loss of a connection hub
presents a great risk to the entire supply chain, affecting its resilience.
In need to characterize a real network, it is important to analyze the occurrence of
order three loops. The understanding of these links is associated with the clustering
index, which, according to Boccaletti (2006), is an essential indicator of the dynam-
ics and robustness of this network. Looking from the point of view of the carbon
footprint and sustainability, measures related to the distance from the network take a
more significant role, especially path length metrics (Ferreira and Macau 2012).
Case Study Description
The COVID-19 pandemic has brought to light a particularly important question

about the impact of globalization on the global supply of essential medicines. Taking
a Latin American approach, specifically Brazilian, in the years 2020 and 2021 there
was a lack of medication for the treatment of cancer, syphilis, and COVID-19 (neuro
blocker and muscle relaxants used for intubation mechanical ventilation) (Biernath
2021). Although the problem has worsened due to the pandemic, the shortage of
essential medicines has continued for a long time. Until the 2000s, supply shortages
were seen as supply and demand problems; however, in 2017, the World Health
Organization (WHO) began to look into this issue more and concluded that one of
the main risk factors is the concentration of drug production around the world.
Most of the pharmachemical inputs come mainly from India and China; the
demand from all continents, including the Latin American and Caribbean region,
depends on what is manufactured in just two countries. In some specialties, such as
antibiotics, dependence is between 80% and 90% on all Active Pharmaceutical
Ingredients (APIs). This can be seen in 2016, when an explosion at a factory in
Shandong – China, interrupted the production of two drugs, piperacillin, and
tazobactam, antibiotics used to treat bacteria in the lung (Chaves 2020). Global
issues, from factories in a few countries, combined with the fact that older technol-
ogies are no longer profitable for companies, cause a lack of essential medicines,
such as the penicillin shortage crisis in Brazil in 2016 and 2017, essential for the
treatment of syphilis (Araujo et al. 2020).
The drug supply chain is complex, consisting of several elements that act in sync
to ensure the availability of drugs. When any of the links in the chain is affected
punctually and regionally, there is only damage locally and regionally. However,
when production is global, and there is a problem in some production units, there is a
generalized shortage, mainly of drugs with low commercial interest. Some institu-
tions try to mitigate these problems, such as the Instituto de Tecnologia em
Fármacos (Farmanguinhos/Fiocruz), which aims to adapt manufacturing plants
and start producing essential medicines for public health in Brazil (Chaves and
Souza 2021).
In this context and due to its importance for the mitigation of Brazilian drug
supply crises, the Farmanguinhos/Fiocruz supply chain, built from public data from
the Brazilian federal government, was used as a case study to evaluate the hypothesis
of being It is possible to model the supply chain as a graph and use graph charac-
terization metrics to assess the resilience and sustainability of this chain. Due to the
criticality and shortage crisis resulting from the pandemic, it was decided to work
with three drugs that appear in the List of Essential Medicines of 2020 and that are
distributed free of charge by the Unified Health System (SUS) in Brazil: Atorvastatin
Calcium, Lamivudine, and the compound Rifampicin + Isoniazid + Pyrazinamide +
Ethambutol.
Atorvastatin Calcium is a medicine used to treat isolated hypercholesterolemia
(increased amount of cholesterol in the blood), associated with hypertriglyceridemia,
or a reduction in blood levels of high-density lipoprotein (HDL). It is included in
RENAME because it contains highly specialized components. Lamivudine is an

antiretroviral agent that, in other agents, is indicated to treat human immunodefi-
ciency virus (HIV) infection in adult and pediatric use. The drug is considered
specialized and strategic. The compound Rifampicin + Isoniazid + Pyrazinamide +
Ethambutol is a drug used to treat pulmonary and extrapulmonary tuberculosis in the
most intensive phase of treatment and appears as a drug with strategic components
for the Brazilian industry.
Data Collection
The steps to obtain the necessary data for the construction of the case study go
through the visit to the website of the National Health Surveillance Agency
(ANVISA), where it is possible to consult the product leaflet and identify their
respective raw materials, whether the active ingredients, be the excipients. With this
list in hand, it is possible to consult each of the raw materials on the transparency
portal and obtain the list of approved suppliers to supply the raw material to
Farmanguinhos/Fiocruz, responsible for manufacturing medicines.
In possession of the list of suppliers on the federal government’s purchasing
portal, it is possible to obtain the address of each of the approved suppliers. Thanks
to a map application, it is possible to get the geographic coordinates of their facilities.
In more detail, the flow for receiving data and building information can be seen in
Fig. 1.
Modeling the Supply Chain as a Graph
As indicated earlier in this chapter, a supply chain, being a complex system, can
use graph theory to be modeled as a graph. In this configuration, any physical
structure of the supply chain, primary or secondary suppliers, warehouses, ports,
airports, distribution centers, customers, and industries, can be modeled as the
nodes of this network. The raw material flows between suppliers and the main
Fig. 1 Data collection fluxogram

industry, primary logistic flows (raw material supplier to industry), and secondary
logistic flows (industry to customers), in addition to information flows, can be
modeled as edges.
With the information obtained from the strategy described above, it was possible
to model the supply chain of the three drugs concomitantly. The nodes are: the
origins of raw materials, the ports of passage, ports of destination, and the main
industry itself, represented here by Fiocruz. To compare results, test the hypothesis
and applicability of the proposed technique, four variations of the same base supply
chain were built, as described below:
• Baseline Chain: network with all possible approved supply alternatives, whether
national or international.
• Max International Chain: network based on the preferential use of international
suppliers.
• National Max Chain: network using as preferred suppliers those operating on
Brazilian soil.
• 100% National Chain: a network of a fictitious scenario where it would be
possible to obtain 100% of the raw materials needed to manufacture the three
drugs, using only Brazilian suppliers.
The first step to modeling the above cases is the construction of two adjacent lists.
By definition, an adjacent list is a data dictionary where all network nodes and edges
are placed in an index list. The list of nodes contains a node identification, a title (for
network identification proposes), and its respective attributes that can help in
modeling or visualization, such as weight, location, and categories. On the other
hand, the list of edges indicates that for each node defined in the node’s adjacency
list, there is a list of all other nodes with which there is some relationship, that is, a
connection. As with the list of nodes, it is possible to indicate attributes to these
connections, whether distances, weights, or any other characteristic that helps in
modeling or visualization.
To build the networks, software called Gephi (2022) was used from the so-called
adjacency list, a list of nodes and edges. After construction, the four variations of the
chain output a file with a .gml extension that was used as input to a notebook
developed in Python at Google Colab (2022). The notebook was built from the
exploratory study on the metrics used for graph analysis that could indicate resilience
and sustainability in supply chains.
Supply Chain Resilience and Sustainability Indicators
Several metrics are used to characterize, classify, and analyze complex networks.
Some indicators focus on a network’s topology (such as indications that seek to
classify the structure), degrees of clustering, network sizes (such as diameter and
path length), hierarchy measures, and subgraphs. However, not all metrics can be
suitable to analyze a specific problem or even build an optimization method or tool.
For the analysis of the proposed problem – resilience and sustainability – five metrics
proved to be more adherent, as listed below:
Centrality: The degree of centrality assesses the importance of a node by analyzing

the number of nodes to which it is connected. The greater the number of nodes
connected to the node being investigated, the greater its importance to the
network (Furlan 2019). We can see this mathematically from the
expression below
n
ki ¼ Aij ð5Þ
j¼1
where Ki is the degree of node i and Aij are the elements of the adjacency matrix of
the complex network, and n is the number of vertices in the complex network.
Applied to the supply chain, the lower the degree of centrality of the node, the
lower its effect on the network as a whole, if there is a disturbance. This leads to a
shorter recovery time (Li et al. 2020). Knowledge of the most critical nodes, that is,
the network nodes that have a higher degree of centrality, can generate preventive
actions about the reliability and robustness of the network, together with a more
proactive analysis of resilience.
Mean path: A path of a network is defined as an ordered collection of n nodes i1,i2,. . .,

in that there is an edge to the next node in the sequence for each of these nodes. The
distance between i1 and in is the number of edges in this path, equal to n-1 for a
network where edges have no weight. For networks with weight, as in the case of
supply chains where the importance of the edges is proportional to the geographic
distance, the length is given by adding the weight of each of the edges analyzed. The
average path length is calculated according to the following expression:
1
<l>¼ d ð6Þ
N ðN 1Þ i, j y
where l is the average path length, N is the number of vertices in the network, and dij
is the shortest distance between the pairs of vertices with indices i and j.
Although the mean path is used for a more general network analysis, the shortest
path plays an important role in carrying information within a complex network.
When translating the concept to application in supply chains, this plays an important
role in transporting materials, both from a resilience and sustainability point of view.
The shorter the path taken by the materials, the smaller the carbon footprint associ-
ated (Ponnambalam et al. 2014).
Density: The network density is given by the number of connections in the graph
divided by the number of possible connections. In mathematical terms:
2m d0
δ¼ ¼ ð7Þ
nðn 1Þ n 1
The density indicates to what extent the graph is fully connected if all links exist
(Latapy and Magnien 2008). A denser network is more resilient in its structure since
there are fewer intermediate vertices for the supply and complete transit of raw
material. In addition, by having a higher density, the logistical paths are optimized,
causing a lower emission of greenhouse gases and, consequently, a higher sustain-
ability index (Ponnambalam et al. 2014).
The complexity of nodes and edges: The complexity measure, also known as the
scale measure, is a metric calculated by Aguila and Elmaraghy (2019), and its
purpose is to assess the resilience of the supply chain from its elements. It is
measured by dividing the number of nodes by the number of connections plus the
number of locality zones. Locality zones are geographic regions where raw
materials originate or where materials or products are destined. As the number
of nodes, edges, and locality zones increases, the chain’s complexity also
increases, augmenting its resilience since there are more supply options due to
the availability of different connections.
Number of nodes
SCS ¼ ð8Þ
ðNumber of locationsÞ ðNumber of tiesÞ
Clustering Coefficient: In several types of networks, it is possible to notice a

phenomenon based on connection patterns. Given that vertex, A is connected to
vertex B, and vertex B is connected to vertex C. There is a high probability that A is
connected to C. This phenomenon is called network transitivity and measures the
presence of triangles in the network (set of three interconnected vertices). One of
the consequences of transitivity is the clustering coefficient, which indicates the
fraction of triples of vertices that are effectively interconnected with each other:
3 ðNumber of graph trianglesÞ

C¼ ð9Þ
Number of triple nodes conected
This metric is important because it measures the tendency of network nodes to group
(Dahis 2022). From the point of view of analyzing logistical problems and optimizing
routes, having more clustered networks means the possibility of more optimized
logistical paths with less greenhouse gas emissions and, therefore, more sustainable.
Network Implementation
Although it seems complex, it is simple to model a supply chain as a graph. The steps
described below indicate how it is possible to start with some general information
about the supply chain structure and, adding some rules, apply complex network
premises to solve the problem at hand. First, the step-by-step process is shown on
what was considered for constructing the two adjacency lists, one of the nodes and
the other on the edges. Subsequently, to evaluate the analysis metrics defined above,
an algorithm was built in Python, with the support of the Google COLAB (2022)
tool and NetworkX (2022) library. To compare the values of the metrics applied to
resilience and sustainability in different chain configurations, a Kiviat chart was
used, facilitating the visualization by industrial managers and decision-makers.
As network modeling assumptions, the following were adopted for nodes and
edges:
Node’s Adjacent List

Each node list is composed of six columns, two of which identify the node (ID and
Label), and the others are the node attributes (Latitude, Longitude, Weight, and
Category):
• Label: includes the description of the node, which may be of location, supply, or
raw material.
• Latitude and Longitude indicate the geographic location of each of the nodes
listed.
• Category indicates the class of node, whether it is an active ingredient or
excipient, when it is a raw material node, or as a supplier, port, or main company
(object of analysis).
• Weight indicates the weight assigned to each of the nodes listed.
The weights were calculated according to the following rule:
• Raw materials: Combination between the weight of the raw material (if active
ingredient, weight 2; if excipient, weight 1) and the participation of the raw
material in the prescription of the medicines chosen for the case study, which
can vary between 1 and 3, for being three drugs addressed in the case study.
• Suppliers: Equivalent to the number of raw materials the company supplies to
manufacture medicines, with a weight 2 for each active ingredient and 1 for each
excipient.
• Ports are equivalent to the number of raw materials passing through that port, with
a weight of 2 for each active ingredient and 1 for each excipient.
• Main company: Sum of all weights related to raw materials.
Edge’s Adjacency List

Each list of edges is composed of three columns: Origin, Destination, and Weight.
• The source and destination are, respectively, given by the source node ID and the
destination node ID.
• The weight column indicates the weight of the edge, according to the following rule:
– Distance in KM between the latitude and longitude of the source node and the
latitude and longitude of the destination node, normalized to values between
0 and 1.
The list of nodes and edges was fed into the software GEPHI (2022) to
visualize the chain. Also, the software generated a .gml file that was the input of
the algorithm developed in Python with the help of the NetworkX library
(2022). The main objective was to quantify the metrics of complex networks
related to resilience and sustainability. The list of nodes and edges was fed into
the software GEPHI (2022), to illustratively observe how the supply chain after
modeling in networks and also to generate a file with a .gmll extension that
could be consumed by the algorithm developed in Python associated with
NetworkX library (2022), whose main objective is to quantify the metrics of
complex networks related to resilience and sustainability.
Case Study Main Indicator
Following the methodology described in the previous sections, from the list of
suppliers/manufacturers of raw materials used in the three selected drugs, the steps
of data generation in Gephi were followed. In Fig. 2, it is possible to observe the
typology of the network superimposed on the world map.
The results obtained after running the program code in Python constructed with
the NetworkX library can be seen in the summary table below (Table 1). Each given
data will be presented and interpreted in more detail in subsequent sections.
The approached metrics could help identify some convergence points as an
outcome of preliminary analyses. The first is related to the fact that the Port of
Santos, the leading Brazilian port which receives a significant amount of raw
materials, is, in fact, the most critical node in all chain configurations, except the
100% national one, which is a fictional case. This fact indicates a significant
dependence of Brazilian industry on international trade, when analyzing only the
Fig. 2 Graphical representation of a baseline supply chain, modeled in Graph software

Table 1 Consolidated and summarized case studies results

Mean Clustering
Case Critical node Complexity Density path coefficient
Baseline Port – Port of Santos 0.010 0.007 0.002 0.000
Max. International Port – Port of Santos 0.090 0.015 0.008 0.000
Max. Nacional Port – Port of Santos 0.090 0.017 0.007 0.000
100% Nacional Supplier – Sul de 0.010 0.018 0.003 0.000
(Fictitious case) Minas Ingredientes
Fig. 3 Graphical representation of the baseline case networks
proposed case study. The most critical node in maximizing Brazilian suppliers
remains the Port of Santos, indicating the lack of national alternatives for some
essential raw materials, especially active ingredients.
The other factor that calls attention is that the degree of clustering of the four
supply chains is zero in the modeling proposed for this specific case study. This is
because the typologies found in the three cases are of the star type; that is, there is a
central element that manages the data flow of the network. Therefore, the raw
materials do not pass between suppliers without at least passing through the main
industry; thus, they do not form triangular links. Therefore, the clustering coefficient
becomes null. However, this does not mean that the metric is not relevant and
important for understanding the system’s sustainability, as it can be used to analyze
other network architectures applied to other supply chains. It is also observed that
despite having different configurations, the chains submitted to the proposed meth-
odology have few variations regarding their metrics, which may indicate a more
homogeneous system. The following sections detail the four proposed cases.
Case 1: Baseline Supply Chain

The Baseline Case (Fig. 3) denotes a network built from detected raw material
supply possibilities, considering the suppliers approved and registered in the
purchase portal of the federal government of Brazil. In the case study discussed in
this chapter, the central node represents the main industry, FIOCRUZ. This pattern
will repeat itself in the other cases as well.
The circular pattern closest to the main node indicates Brazilian suppliers and raw
materials. Although suppliers have different distances, visually they appear to have a
certain symmetry. This is because the edges are proportional to their weights, and as
previously described, the weights are normalized between 0 and 1, according to the
edge with the greatest geographic distance.
The furthest part, the one that is attached to the central circle, indicates raw
materials and international suppliers. The formation of a structure displaced from the
main structure is due to more intermediate nodes necessary for the flow of raw
materials. The permanence of this structure in all tested cases may indicate a great
dependence on international trade for the manufacture of the chosen drugs.
Below, in Table 2, it is possible to get some insights related to this chain. It has
143 nodes and a center of 142 edges, indicating the proportion of N vertices for N-1
connections. Four vertices indicate ports (the United States, Europe, India, and
Brazil); 58 different suppliers, spread in different locations and 80 raw materials,
with 67 excipients and 13 active principles. It is important to observe a significant
number of raw materials than suppliers, indicating that, on average, the chain has
less than one supply option for each of the raw materials, an important factor for
analyzing network resilience.
Concerning node centrality and importance for the supply chain and the central
node itself, represented here by Fiocruz, the Port of Santos is the biggest bottleneck
in supply for this chain. If there is any disturbance that affects this node temporarily
or permanently, the entire receipt of international raw materials would be
compromised. This can be seen mathematically from the combined weight of 0.37.
The other metrics: average length (0.002), density (0.007), complexity/scale (0.010),
and clustering coefficient (0.00), can be seen in Fig. 4.
Case 2: Max International Chain

The chain called “Max Internacional” is built on the possibility that, if there are
alternatives for the supply of the same raw material with national and international
suppliers, the manager will make a conscious decision to make the international
Table 2 Summary of the composition of nodes and edges in each case

Max. 100% Nacional
Baseline International Max. Nacional (Fictitious case)
Nodes Edges Nodes Edges Nodes Edges Nodes Edges
Total 143 142 65 64 59 58 55 54
Ports 4 – 4 – 4 – 0 –
Suppliers 58 – 25 – 21 – 21 –
Excipients 67 – 29 – 27 – 27 –
Active Principle 13 – 6 – 6 – 6 –
Fig. 4 Kiviat Chart – Graphical representation of baseline complex network metrics
Fig. 5 Graphic representation of the Max International network
purchase. Usually, in these cases, the manager decides based on costs, as it is known
that materials from Asia, for example, are often cheaper than those found nationally.
The graphic representation of this network can be seen in Fig. 5.
As observed in Table 2, there is a decrease in the number of vertices and nodes

relating to the baseline case. This condition is natural since we restrict supply
Fig. 6 Kiviat chart with the results of the metrics of the Max International case
alternatives by modeling the predilection for international suppliers. There is also a

reduction in the number of vertices referring to raw materials, not because there is
effectively a reduction in medicines, but because of alternative raw materials (since
each of them is linked to a specific supplier). As expected, limiting for the chain, the
most important node continued to be the Port of Santos. The other metrics – average
path length (0.008), density (0.015), complexity/scale (0.009), and clustering coef-
ficient (0.000), can be seen in Fig. 6.
Case 3: National max Chain

Similar to the Max International chain, the national Max chain is built from the
possibility that, if there is an alternative supply of the same raw material by a national
or international supplier, there will be a choice for the manager to opt for raw
materials manufactured nationally. This choice is usually accompanied by a prefer-
ence for jobs with shorter inventory, shorter supply lead times, or even motivated by
sustainability and resilience factors. The graph representation of this network can be
seen in Fig. 7.
It is important to note that the structure representing the transit of international

raw materials remains even in the “Max Internacional” case. This indicates the
dependence and lack of supply alternatives for some raw materials on national
soil. This can be a strategic choice by the manufacturers, or even reflect some
public policies. The factors and reasons will be discussed in the later section.
Fig. 7 Graphic representation of the Max National network
However, one of the alternatives to mitigate this concern would be to work on the
development and approval of national suppliers as an alternative for these raw
materials, aiming to reduce the risk of disruption and reduce the supply chain’s
carbon footprint.
Although like the Max International case, there is a decrease in the number of
nodes and edges regarding the baseline case, there is no decrease in the number of
vertices that represent ports, and the most critical node in the supply chain also
continued to be the Port of Santos, both points being another indication of depen-
dence on international trade. The other metrics – average path length (0.007), density
(0.017), complexity/scale (0.009), and clustering coefficient (0.00), can be seen
graphically in Fig. 8.
Case 4: 100% National Supply (Fictitious Case)

As described in case 3, the national max chain is still heavily dependent on
international supply for the proposed case study. Therefore, and given the impor-
tance of analyzing a case where there was the possibility of a 100% national supply, a
fictitious case was created, which in this chapter is called a 100% national case, for
purely didactic and simulation purposes, not having applicability in real life since
there is not a range of approved suppliers to enable this condition. The graphic
representation can be seen in Fig. 9.
This configuration has a more restricted number of nodes and edges than the
baseline case. However, in terms of typology, the difference is clear. The chain
loses its appendicular structure and becomes a purely star-connected network.
Given that there is no longer international supply, there is also a shift toward the
most critical node in the chain. In this scenario, the most critical node is “Sul de
Minas Ingredients” since it is the provider of four raw materials classified as
excipients.
Fig. 8 Kiviat Chart – Graphical representation of Max National complex network metrics
Fig. 9 Graphic representation of the 100% national chain – fictitious
There was also a noticeable change in the other metrics, such as decreasing the
average path size (0.003) and increased density (0.018). This is because the distances
to be covered by the raw material are small when the international supply is
interrupted, increasing the network density. There is also the maintenance of the
network complexity level (0.010) and the clustering level (0.00), as seen in Fig. 10.
Fig. 10 Radar chart with the results of the 100% national chain – fictitious
Networks for Resilience and Sustainability Analysis
As seen in the previous sections, it is already possible to draw some conclusions

from quantitative data analysis, even if preliminary. Following the deepening of the
knowledge, it is possible to identify that the methodology proposed in this chapter is
valid for assessing both resilience and sustainability when both factors are concom-
itant. This conclusion is interesting since the main related works had not yet used an
approach based on complex networks for sustainability analysis, and there was no
evidence of joint research. In a combined analysis of resilience and sustainability,
there is a more straightforward comparison between different supply chain config-
urations, facilitating decision-making by operations managers and making it possible
to analyze tradeoffs more efficiently to meet the main SDGs.
It is important to note that although the methodology has been applied in a
reduced case study, it is possible to expand the analysis of the complete Fiocruz
chain and expand to other types of industry and even other regions. However, the
focus of resilience and sustainability here is in Latin America and the Caribbean,
which feel a little more the impacts of globalized supply chains and have greater
space for developing a national industrialization policy that facilitates the supply
chain’s geographic concentration, making it possible more localized.
Regarding quantitative aspects, the low variability in terms of complexity/scale of
the supply chain can be observed in the case study. Since complexity is a relational
metric, it is concluded that the networks are equivalent in their typology. It is
important to note that this is a particular condition for the presented case study.
When applied to supply chain configurations that eventually have more nodes and
edges, or even different connection relationships between nodes, this condition may
or may not be true, requiring some other tests and observations. In networks where
transitivity, there is a tendency to connect triples of nodes. There is greater flexibility
between alternative connection paths, which can change the complexity configura-
tion depending on the case studied.
It is also observed that among the four supply chains tested, the one called
baseline is the one with the lowest density value. It has more sparse nodes and
connections, indicating a less sustainable and less resilient network. From a sustain-
ability point of view, the result is more intuitive, as a sparser network indicates
longer logistical paths and, therefore, a greater carbon footprint. However, from a
resilience point of view, a baseline chain built from multiple supply alternatives
having a lower resilience may seem counterintuitive. Although there is a consensus
on the importance of having different alternative suppliers to purchase raw materials,
this is one of the preventive measures buyers take to avoid supply chain disruptions,
adding redundancy to the system. However, when moving from planning to execu-
tion, splitting the supply volume to more than one provider simultaneously does not
improve supply chain resilience. Still, regarding density, it is observed that the more
localized, that is, nationalized, the chain, the denser it is and, therefore, associated
with other indices. This indicates a more resilient and sustainable chain.
Regarding the length of the chain, it is observed that the 100% national chain
(fictitious case) has the shorter mean path among the four tested chain configura-
tions, indicating a more sustainable chain. This result is intuitive due to the locality
factor explained above. However, we see the opposite effects when looking at the
baseline chain. This may be because there are many more national connections than
international connections. Therefore, there is a distortion of the average path metric,
which analyzes the network as a whole. This brings to light the question of
contextualizing the metrics and results of the analytical models, which must always
be interpreted according to a certain circumstance. In this case, the baseline chain has
a shorter mean path due to the number and diversity of suppliers involved, not
necessarily because it is denser and more sustainable.
In a more generalized analysis, but still, within the boundaries of the case study,
there are strong indications that more localized chains, that is, whose constituent
elements of the chains are closer in geographic terms to the main industry, in this
case Fiocruz, present better resilience and sustainability indices. This is in line with
the theories of localized economy present in studies of Smart Cities and the SDGs
themselves, as can be seen in goal 9, where there are specific objectives for the
development of regional and cross-border infrastructure to support the local econ-
omy in addition to promoting of industrialization to significantly increase the share
of national industry in GDP, especially in developing countries.
In association with the facts described, another important point indicates that
when choosing to work with a national max chain over an international max, there is
a marginal increase in sustainability and resilience in this case study. The main raw
materials, called active ingredients, are still present only in international suppliers.
This fact is corroborated by the indication of a critical node. Except the 100%
national chain, the most important node continued to be the Port of Santos, the main
point of arrival of international goods.
These associated points show Brazil’s dependence on the international market in
general, the countries of Latin America and the Caribbean. Although more studies
are needed, it is already possible to indicate the need for a public policy focused on
the national diversification of the supply of raw materials for the manufacture of
essential medicines for the treatment of cholesterol, HIV, and Tuberculosis, which
are distributed via the Unified Health System (SUS) and are considered essential and
strategic.
Final Remarks
The COVID-19 pandemic has demonstrated the possible results that a non-robust
and unsustainable chain can cause in global shortages of essential products, includ-
ing food, medicines, and personal protective equipment. From this perspective, the
need to deepen studies on the resilience and sustainability of production chains in
Latin America and the Caribbean is indisputable, especially in achieving the UN’s
sustainable development goals. From the perspective of the sustainability paradigm,
one can no longer think of a world where small, isolated, and individual initiatives
will, together, achieve more sustainable development. Mainly in countries like
Brazil, which generally have their economy based on the extraction of raw materials
and export of agricultural commodities and that still have a lot of dependence on the
import of technology and invoiced products, it is necessary to change the strategy to
a more holistic approach whether in global terms or focused on supply chains.
Although several approaches for developing methodologies for analyzing resil-
ience and sustainability in supply chains, the solutions are invariably complex from a
mathematical point of view, involving programming, simulation of systemic distur-
bances, or even analysis of matrix equations, and difficulty in making autonomous
decisions. Few methods provide graphical visualization, so the development of
methodologies based on complex networks, where it is possible to identify the
chain’s behavior in a localized graph, is very useful and extremely useful in applying
the theory to the real world. The topic becomes especially relevant when it comes to
sustainability, although the approach through graphics is not normally found for
analysis with this specific purpose, the technique makes it much easier to analyze the
carbon footprint along the entire production chain. Although it helps in this sense,
the methodology presented still makes static situational analysis, leaving space for
future studies that investigate the resilience and sustainability factors located in time
and in a dynamic way, with room for the development of optimizers with
bi-objective functions.
The technique developed and tested via a drug supply chain case study in one of
the main companies aimed at developing the Brazilian pharmaceutical industry, to
guarantee the supply of essential drugs shows promise in providing a graphical view
of the supply chain. However, there is still a need to submit the method to different
types of chains, whether in terms of typology, products, or industries. In addition, it
would be interesting to introduce the method to production chains located in other

Latin American and Caribbean countries, considering the cuts related to economic
activity, embargoes, sanctions, infrastructure, transport, and distribution limitations,
and public policies to strengthen national industry and incentives for sustainability.
Another interesting analysis to be carried out by future works is comparing the
associated implementation of locally optimized actions in each of the links in the
chain compared with the comprehensive approach proposed via complex systems
modeling, thus contributing to the sustainability paradox.
Acknowledgments This research is part of the INCT of the Future Internet for Smart Cities funded
by CNPq proc. 465446/2014-0, Coordenação de Aperfeiçoamento de Pessoal de Nível Superior –
Brasil (CAPES) – Finance Code 001, FAPESP proc. 14/50937-1, and FAPESP proc. 15/24485-9.
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Amazon 4.0: Ways to Sustainable
Development
G. A. Melo, S. B. Barbosa, M. G. M. Peixoto, M. C. A. Mendonça, and

José Baltazar Salgueirinho Osório de Andrade Guerra
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
Amazon: Challenges and Conservation Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
Sustainable Development in the Amazon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
Materials and Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Amazon 4.0: Critical Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
Abstract
This chapter aims to review the sustainable development project of the Amazon
biome, called Amazon 4.0. That way, their challenges and benefits of implemen-
tation were exposed, contributing to opinion formation and knowledge generation
in this field. The study is characterized as an exploratory applied research, based
on a qualitative approach. A bibliographic research was used for obtaining
information. Benefits were verified through the application of sustainable man-
agement techniques grounded on the Fourth Industrial Revolution (4RI) both for
the improvement of already domesticated crops and for the discovery of new
biological assets. Furthermore, this process contributes to the reduction of the
G. A. Melo
Management and Markets Intelligence Center, Federal University of Lavras, Lavras, Brazil
S. B. Barbosa (*) · M. G. M. Peixoto
Institute of Exact Sciences and Technology, Federal University of Viçosa, Rio Paranaíba, Brazil
e-mail: samuel.barbosa@ufu.br
M. C. A. Mendonça
Department of Agro-industrial Management, Federal University of Lavras, Lavras, Brazil
J. B. S. O. de Andrade Guerra
Centre for Sustainable Development, University of Southern Santa Catarina, Florianópolis, Brazil

https://doi.org/10.1007/978-3-031-16017-2_113
106 G. A. Melo et al.
environmental impact on the forest, helping in the process of capturing carbon

from atmosphere and, consequently, to the reduction of global climate change
across the globe. However, the study reiterates the importance of inspection
practices developed from parallel practices to sustainable management in order
to obtain greater control and punish those who use irrational exploitation as the
only way to take advantage of the biome.
Keywords
Amazon 4.0 · Climate change · Sustainable development
Introduction
In the current context, debates regarding the importance of preserving biomes have
become frequent and presented in a more incisive manner, since the regulation of
their exploitation can reduce the impacts already observed in global climate analyzes
and contribute to the maintenance of the remaining fauna and flora (Ribeiro 2018;
Strand 2018; Dominguez et al. 2022). In this connection, the discussions on ways to
use the Amazon rainforest should be inserted, as its exploitation was largely based
on archaic methodologies that accelerate the process of climatic imbalance
(De Oliveira 2019; Rajão et al. 2020; Nobre and Fabrício-Neto 2021). However,
the struggle based on economic interests among high-ranking Brazilians represents a
bottleneck for the progress of measures aimed at the preservation and rational use of
the biome (Lovejoy and Nobre 2019; Leite-Filho et al. 2021).
In this framework, the Amazon forest stands out as an important component of
the Brazilian territory, extending over nearly half of the country and being concen-
trated in the North and Center-West regions (TerraBrasilis 2020; UN 2021). In
addition, its vegetation cover strongly contributes to the fullness of rainfall cycles
in the country from evapotranspiration processes in rivers and trees that populate this
territory, which determines the region’s climate, which is characterized by low
thermal amplitude and high humidity (Brasil 2008; Dominguez et al. 2022). It is
worth mentioning the existing fauna, comprising a diversity of species that depend
on the conservation of virgin forests for their growth and preservation (Strand 2018;
Barroso and Mello 2021; Siqueira-Gay and Sánchez 2021).
In this framework, the creation and development of sustainable production
methodologies represent a prudent way of exploiting resources without massive
degradation of the biodiversity present in the forest (Medeiros and Pantoja 2016;
Lopes 2019). In this context, it is worth mentioning the importance of forest
resources in the Amazon biome for mitigating the impacts of climate change in
other areas of the planet, given that their rational exploitation constitutes an advance
in the economic, social, and environmental spheres (Leite-Filho et al. 2021). This is
justified because such resources are capable of generating income for the survival of
local peoples, a fact that encourages regional economic development, guarantees
food and nutritional security, and weakens the advance of deforestation, land
Amazon 4.0: Ways to Sustainable Development 107
grabbing, and burning (Nobre and Fabrício-Neto 2021). In addition, the biome’s
rational exploration project shows a visible commitment to maintaining the water
and carbon cycle, since deforestation is no longer the main economic activity, which
directly influences the conservation of springs, reserves, and the capture carbon from
the atmosphere (Rajão et al. 2020; Siqueira-Gay and Sánchez 2021).
In general, from the twenty-first century onwards, discourses on sustainability
become intense and started to compose the different existing sectors based on
programs, plans, and policies (Bratman 2019; Leite-Filho et al. 2021). However,
with regard to sustainable development and production applied to the Amazon
forest, it is important that the measures adopted in this connection are effective in
including small farmers’ families and extractivists who are marginalized, as well as
in reducing the environmental degradation of the territory (De Oliveira 2019; Nobre
and Fabrício-Neto 2021).
It is also important to emphasize the importance of preserving the Amazon biome
from the point of view of the Sustainable Development Goals (SDGs), established
by the United Nations 2030 Agenda (UN 2021). With regard to environmental
aspects, it is possible to associate the preservation of Amazon to SDGs 13 – Climate
Action, 14 – Life Below Water, and 15 – Life on Land. When dealing with the
sustainable development of the Amazon, in a broader way, through the Amazon 4.0
project, we can also consider the economic and social benefits of its preservation,
involving other SDGs (UN 2021). This chapter also seeks to list the main SDGs that
can be related to the Amazon 4.0 project, thus presenting the environmental,
economic, and social benefits of this new perspective for this region (Barroso and
Mello 2021).
Knowledge of the productive potential corresponding to each area of the Amazon
forest, combined with sustainable development methodologies that respect the
natural limits of each region, represents important aspects for the successful imple-
mentation of projects in this category (Nobre and Nobre 2018; Ribeiro 2018; Rajão
et al. 2020; Nobre and Fabrício-Neto 2021). Therefore, this chapter aimed to analyze
the sustainable development project for the Amazon forest, called Amazon 4.0,
exposing the challenges and benefits of its implementation for the region, besides
contributing to the formation of opinions and generation of knowledge in the area.
Amazon: Challenges and Conservation Measures
The Amazon forest corresponds to the largest biome in the Brazilian territory, in
addition to being considered the largest tropical forest on the planet (TerraBrasilis
2020). With a surface extension of approximately 5.5 million km2, of which about
60% is distributed in Brazilian states, namely, Acre, Amazonas, Rondônia, Roraima,
Pará, Mato Grosso, Amapá, Tocantins, and Maranhão (TerraBrasilis 2020). In this
framework, the term Amazônia Legal began to be used in 1953 in order to refer to
the entire extension of the forest, thus, parts of other countries were also included,
namely, Peru, Colombia, Venezuela, Ecuador, Bolivia, Guyana, Suriname, and
Fig. 1 Location of the Amazon Basin. (Source: Authors 2022)
French Guiana (Imazon 2020; TerraBrasilis 2020). Figure 1 shows the location of the
Amazon basin in South America.
The biome hosts more than 30,000 species of plants comprising three main
groups, namely, igapó, floodplain, and land forest (TerraBrasilis 2020). In addition,
its area includes the largest hydrographic basin in the world, covering approximately
6 million km2 (TerraBrasilis 2020). It is worth remembering its important participa-

tion and contribution to the region’s climate due to the formation of large volumes of
rain (Nobre and Nobre 2018). This occurs since rivers and trees have the ability to
return to the environment a portion of their moisture obtained through rainfall,
according to the dynamics of the water cycle (Nobre 2016). This fact allows the
formation of humid corridors in Brazil, which is very important for agricultural
production in the country (Costa 2019).
When it comes to activities with economic purposes developed in the region to
support existing communities, plant and mineral extraction, as well as industry and
fishing, should be mentioned. Plant extractivism focuses on the exploration of rubber
and Brazil nuts (Ecoamazônia 2016). On the other hand, mineral extraction is mostly
based on the exploration of limestone and tin (Ecoamazônia 2016). However, among
the extraction venues, the mining sector as well as the agricultural sector has a high
capacity to modify the vegetation cover, being responsible for a considerable portion
of deforestation, burning, and degradation of the biome (Ecoamazônia 2016). The
Amazon forest is also the target of irrational logging, where land is exploited without
a prior study of its production and exploitation capacity, being later abandoned
(Lovejoy and Nobre 2019).
In this framework, the relentless and abusive search for economic growth as well
as meeting the ideals of a specific set of individuals correspond to the greatest
impasse for the preservation and sustainable development of the region (Medeiros
and Pantoja 2016; Lovejoy and Nobre 2019). According to data from the Instituto
Nacional de Pesquisas Espaciais (INPE – National Institute for Space Research),
deforestation rates in the Legal Amazon in the period from 2005 to 2012 showed
large reductions year after year, after recording periods of strong impact on the
degradation of the biome, such as in the years of 1995, 2003, and 2004 (INPE 2020).
In 2004, more than 27,000 km2 of deforested area were recorded, with about 70% of
this area being located in the Mato Grosso and Pará States. Such data were obtained
from the Projeto de Monitoramento da Floresta Amazônica Brasileira por Satélite
(PRODES, Brazilian Amazon Forest Monitoring Project by Satellite) which has
been carried out in continuous flow since 1988 (INPE 2020).
Therefore, the monitoring of deforested areas proved to be effective, as it
encouraged the development of new programs for the preservation of the biome,
such as the Plano de Ação para Prevenção e Controle do Desmatamento na
Amazônia Legal (PPCDAM, Action Plan for the Prevention and Control of Defor-
estation in the Legal Amazon) (Governo Federal 2021). The Action Plan, which was
launched in 2004, was responsible for a significant drop in the deforestation area in
the Amazon in the order of 71% by the year 2016 (TerraBrasilis 2020). Therefore,
the PPCDAM is structured on four strategic bases, namely, the promotion of
sustainable productive activities, environmental monitoring and control, land and
territorial planning, and, finally, normative and economic instruments (TerraBrasilis
2020). This last base was created in 2016 with its focus on economic, productive
incentive, and minimal impact on the forest (TerraBrasilis 2020).
In addition, in parallel to the PPCDAM, the Estratégia Nacional para Redução
das Emissões Provenientes do Desmatamento e da Degradação Florestal,
Conservação dos Estoques de Carbono Florestal, Manejo Sustentável de Florestas e

Aumento de Estoques de Carbono Florestal (ENREDD+, National Strategy for
Reducing Emissions from Deforestation and Forest Degradation, Conservation of
Forest Carbon Stocks, Sustainable Forest Management and Increase of Forest
Carbon Stocks) was developed in 2015 (MMA 2021). The plan aims to reduce
climate-related changes by eliminating illegal deforestation, preserving and restoring
forest ecosystems, as well as implementing a sustainable low-carbon forest economy
(MMA 2021). In view of this, with a vision focused on sustainable development, the
Plano Amazônia Sustentável (PAS, Sustainable Amazon Plan) was launched in 2008
based on the guidelines for territorial planning, sustainable production with innova-
tion and competitiveness, infrastructure for development, and social inclusion and
citizenship (Brasil 2008; Governo Federal 2021).
However, we can observe, according to recent data of the National Institute for
Space Research – INPE, from PRODES, a periodic increase in deforestation from
the year 2013, reaching the mark of 10,129 km2 of deforested area in 2019
(TerraBrasilis 2020). This reveals the impact of the enhancement of false discourses
in favor of serving Brazilian society, for example, the need to expand agricultural
production in these areas to supply the population, as a way to mask individual
economic interests (Lovejoy and Nobre 2019). In addition, this quantity represents
an expressive value that deserves attention, since, an area above 10,000 km2 of
deforested land had not been observed since 2008 (TerraBrasilis 2020).
It is worth emphasizing the magnitude of the Brazilian timber industry, which is
the world’s largest producer and consumer of wood from tropical forests (Santos De
Lima 2018). Furthermore, it is an activity that significantly contributes to the
generation of direct and indirect jobs in the region (Medeiros and Pantoja 2016).
However, it is also an activity that requires attention as irrational exploitation is
confused with rational exploration methodologies and sustainable management
plans (Lovejoy and Nobre 2019). According to TerraBrasilis (2020), on average,
about two-thirds to three-quarters of the wood extracted come from native forests,
which characterizes a predatory practice. This fact represents a challenge and
justifies the importance of creating new sustainable development methodologies
using existing preservation programs combined with inspection practices in these
areas.
Sustainable Development in the Amazon
The uncontrolled expansion of the use of the Amazon rainforest areas for agricultural
production, construction of hydroelectric plants, as well as for the advancement of
mining projects has represented a concern for environmental preservation entities
(Medeiros and Pantoja 2016). This is because the development of these activities has
led to deforestation and degradation of native forest areas, without plausible justifi-
cations and sustainable management methodologies to support this activity
(TerraBrasilis 2020). In addition, the sale of wood from the forest has represented
an easier alternative of making profits, which worsens the situation and intensifies
the importance of changing the biome patterns of use (Lovejoy and Nobre 2019).
In this connection, the Amazon Fund was developed, managed by the Banco
Nacional de Desenvolvimento Econômico e Social (BNDES, National Bank for
Economic and Social Development), which corresponds to yet another measure to
contain the predatory exploitation of the forest (Fundo Amazônia 2021). However,
this measure stands out for raising funds from different parts of the world for the
implementation of projects based on sustainable development in the region (Fundo
Amazônia 2021). Therefore, the projects to be supported by the measure must first
be aligned with the program’s policies and guidelines, in addition to presenting well-
grounded objectives based on planned actions that comply both with the budget and
the implementation schedule (MMA 2021). Thus, the measure has more than
100 supported projects, distributed in different possible analysis subjects, namely,
indigenous lands, conservation units, Cadastro Ambiental Rural (CAR, Rural Envi-
ronmental Registry), settlement, and fighting fires (Fundo Amazônia 2021).
Another aspect to be highlighted regarding the issues of sustainable production
includes the issue of social inclusion in extractive activities in the Amazon forest. To
a large extent, the predatory practice of the bioma exploitation is marked by the
economic benefit of a restricted group of individuals, which generates negative
environmental and socioeconomic impacts for the region (Medeiros and Pantoja
2016). In this way, in addition to the preservation focus, programs were launched
that encourage sustainable development in the region, in order to also promote the
economic growth of indigenous peoples (MMA 2021). An important measure
adopted in 2011 was the Support Program for Environmental Conservation known
as Bolsa Verde (CEF 2020).
With regard to the Bolsa Verde program, this consists of a credit line intended for
families who are in precarious situations of extreme poverty and who carry out
environmental conservation activities in areas of national forests, extractive reserves,
territories occupied by riverside dwellers, among others (MMA 2021). In general,
families are identified through a registry carried out by the Ministry of the Environ-
ment (MMA), with the benefit lasting 2 years for each family consisting in an
allowance in the amount of R$300.00 paid quarterly (CEF 2020; MMA 2021).
However, it is still a measure of low impact when considering other existing social
problems such as irregular documentation and lack of internet access that make it
difficult for all families to participate.
Materials and Methods
The scientific research methodology includes the application of procedures and

techniques aimed at building knowledge, proving its validity and usefulness in
different spheres of society (Koche 2016; Zangirolami-Raimundo et al. 2018;
Kumar 2019). According to Kumar (2019), science corresponds to a systematization
of knowledge, that is, a set of correlated propositions of the behavior of certain study
Fig. 2 General structure of the research method. (Source: Authors 2022)
phenomena. In this way, the scientific method refers to the line of reasoning adopted
in the process of scientific construction, being the result of a set of intellectual and
technical procedures applied in the search for knowledge (Koche 2016; Kumar
2019). In view of this, the scientific method used in this study can be verified by
analyzing Fig. 2.
Also according to Fig. 1, the content of this study focused on the Amazon biome
as an object of study in the first two phases. Thus, the characteristics and aspects
related to the biome and its conservation were elucidated. From the third stage
onwards, an analysis of sustainable management techniques was carried out consid-
ering some examples of non-timber forest products – NTFPs. Finally, in the fourth
stage, the challenges and benefits related to the creation of Amazon 4.0 were
presented.
Given this, the present study was characterized as an applied exploratory
research. According to Zangirolami-Raimundo et al. (2018), an applied research is
based on the generation of knowledge for practical application in order to solve
specific problems. On the other hand, an exploratory research, according to Kumar
(2019), aims to promote more information on a specific subject, enabling its defini-
tion and design. In terms of the research approach, this study presented a qualitative
approach. According to Glesne (2016), qualitative research is characterized by the
interpretation of phenomena and the attribution of meanings. Furthermore,
according to Glesne (2016), this type of approach does not require the use of
statistical analysis techniques.
Therefore, this chapter was based on bibliographic research as a technical proce-
dure for obtaining results. According to Kumar (2019), bibliographic research is
based on information that has already been published, and it is necessary for the
investigator to check information about the veracity of the data. Thus, five steps were
developed until the construction of this study: (i) the choice of the topic of analysis,
(ii) the preliminary bibliographic survey, (iii) the preparation of the provisional plan
and logical organization of the subject, (iv) reading of the material, and finally
(v) writing of the text.
Amazon 4.0: Critical Analysis
The incorporation of sustainable management methodologies to the new technolog-

ical level introduced by the Quarta Revolução Industrial (4RI, Fourth Industrial
Revolution) represents an opportunity for development focused on the low level of
environmental degradation (Galford et al. 2013; Bratman 2019). In a recent histor-
ical context, sustainability has assumed an important role in promoting feasible
routes for development and growth of the Amazon regional economy (Medeiros
and Pantoja 2016; Bratman 2019). However, even though the topic has been widely
discussed, the data presented by the National Institute for Space Research (INPE)
still portray another reality, that is, the low effectiveness in the dissemination and/or
replacement by techniques based on the rational exploration of the forest’s biodi-
versity (TerraBrasilis 2020).
Irrational exploitation, again, has been the target of great concern for environ-
mental agencies, given the new growth in the level of deforestation in the Legal
Amazon in the last 7 years (Souza-Rodrigues 2019). Furthermore, there are few
studies that provide a detailed economic measurement of the production of non-
timber forest products (NTFPs), which makes the path uncertain (Nobre and Nobre
2018). In this way, the search for quick and assured earnings drives towards
inadequate exploitation practices that generate the degradation of the biome (Costa
2019).
In addition, it is worth emphasizing the importance of including information on
differences in land use and ecological systems between regions in related studies
(Nobre and Nobre 2018). This fact can contribute to the generation of a greater
number of followers of sustainable development practices, thus creating solid bases
in sustainable programs and plans (Goulart et al. 2016). Thus, a reduction in the
number of deforestation activities and forest fires is expected, as well as an effective
boost in the local economy (Strand 2018). This is due to the greater credibility given
to studies in this category, which are responsible for generating knowledge in the
area (Lopes 2019).
Environmental services are also a great benefit derived from the Amazon forest.
Maintaining biodiversity, recycling water, and maintaining carbon stocks that pre-
vent global warming are all provided by the Amazon forest. Environmental services
refer to functions of the environment that are of value to human society, but which
are not physical products with traditional markets, such as the sale of timber or
non-timber forest products (Fearnside 2018).
The concept of “environmental services” has different definitions. We can con-
sider the wide range of values, including value added to properties based on scenic
beauty, tourism value, etc. (Costanza 1997). The term “ecosystem services” is also
often used to include “provision” services, i.e., the provision of products such as
timber, fish, game meat, rubber, nuts, and other forest products (MEA 2005).
However, measuring the value of ecosystem services still represents a challenge
for the planet, given the existence of biodiversity in the Amazon rainforest unknown
by researchers (Nobre and Nobre 2018). Research in the territory on the properties of
different plant species has been frequent; however, the lack of resources and support
for the academic community end up making it difficult to quickly obtain results and
progress in projects of this magnitude (Ribeiro 2018; Strand 2018). Given this,
investments in research to detect natural substances and assets, as well as in studies
aimed at classifying land based on its productive potential, are necessary, in order to
interrupt the destructive cycle of the forest and open new paths to its conscious use
(Medeiros and Pantoja 2016; Bratman 2019).
It is worth mentioning the impasse existing in some regions of the biome
regarding the differences between the proportion of individual and collective gains
arising from extraction practices (De Oliveira 2019). In these cases, the considerable
growth in GDP of each region is notorious, but they do not correspond to their
socioeconomic reality (De Oliveira 2019). In this way, those are regions character-
ized by low productivity levels in the education and health sectors, for example, but
which have a general income above the national average (Nobre and Nobre 2018).
This fact reveals one of the challenges for the creation of an Amazon 4.0, such as
equal distribution of resources and generation of local income (Galford et al. 2013;
De Oliveira 2019).
When it comes to the climate, the irrational exploitation of the Amazon has
approached an almost irreversible turning point. That is, such exploitation has
generated the loss of an area of more than 800,000 km2 to the practices of logging,
agriculture, mining, and the construction of dams and, consequently, the increase in
global temperature of 0.6 C in a period of 50 years (The Economist 2019). On the
other hand, during this period, important measures were also implemented, such as
PRODES and PPCDAM, which partially contained deforestation and the biome
degradation between 2004 and 2012 (MMA 2021; TerraBrasilis 2020). Thus, what is
observed is a great fragility of the biome, marked by a sequence of high and low rates
of irrational exploitation (TerraBrasilis 2020).
Furthermore, with regard to the regions most affected in this exploitation process,
the states of Pará and Mato Grosso in Brazil ought to be mentioned (INPE 2020).
According to data from INPE (National Institute for Space Research), considering
the territory of the Legal Amazon, the two states account for almost 67% of the
accumulated deforestation rate (INPE 2020). In the case of the state of Pará, the
situation is more critical for the municipalities of Altamira and Novo Progresso,
which registered marks of 111 km2 and 65 km2 of deforested area from the end of
2017 to the second quarter of 2018 (G1PA 2018; Imazon 2020). This fact intensifies
the importance of debates towards Amazon 4.0, where aspects of socioeconomic and
environmental development are approached in a friendly manner (Ribeiro 2018;
Imazon 2020).
According to Nobre and Nobre (2018), the existing challenges for sustainable
development in the Amazon fall into three categories of failures, namely, conceptual,
knowledge, and implementation. Conceptual flaws refer to the challenges of creating
alternative paths for bioindustrial production. The knowledge gaps correspond to the
research and information challenges represented by the lack of investments in these
areas, which makes it difficult to carry out innovative research and discover new
biological assets of high economic and social value. Implementation failures, on the
other hand, are related to governance and policy impasses, as well as aspects inherent
to the lack of business capacity for the equal distribution of resources (Nobre and
Nobre 2018; De Oliveira 2019).
In this connection, the history of practices of use of the Amazon forest has
evidenced two main routes, namely, the route of conservation and the route of
intensive resource development, both characterized by Nobre and Nobre (2018) as
“First route” and “Second route,” respectively. However, there is a proven impossi-
bility to follow each one separately, as well as a successive failure of environmental
organizations to join the two routes based on sustainable intensification techniques in
agricultural production (Medeiros and Pantoja 2016). Thus, the introduction of
technologies from the Fourth Industrial Revolution (4RI) emerges as a possibility
to improve extraction techniques based on the effective use of Amazonian biodiver-
sity, characterizing itself as a “Third route” to reach an Amazon 4.0 (Galford et al.
2013; Strand 2018).
It is worth remembering that activities with sustainable purposes still have little
influence on the forest territory. This is partly due to the difficulties encountered by
sustainable producers in acquiring market support (Medeiros and Pantoja 2016;
Muzell 2019). In large part, the current sustainable production in the Amazon forest
is the result of a small-scale extractive activity and in many cases of a family nature
(Ecoamazônia 2016; Muzell 2019). As an example, the Apuí agroforestry coffee can
be cited, which is produced by families in the south of the state of Amazonas in
degraded forest areas (Muzell 2019). An important and necessary aspect regarding
the coffee species includes its adaptation to the climate, that is, it is a type of cultivar
that adapts to areas of native vegetation, benefiting from the shade cast by the
treetops (Muzell 2019).
The growth of sustainable production in the Amazon also generates positive
returns in terms of carbon capture from the atmosphere, mitigating the impacts
generated by activities such as animal husbandry, agriculture, mining, and construc-
tion of dams that induce deforestation of the forest substrate (Merry and Soares-Filho
2017; Bratman 2019). However, the importance of the union of countries for the
preservation of the biome must be emphasized, since the generation of carbon credits
can represent a weapon for countries that do not support the sustainable cause,
generating an opportunity to increase the rates of terrestrial heating (Ecoamazônia
2016). In this context, the application of technologies from the Fourth Industrial
Revolution (4RI) represents an opportunity for facilitated expansion for sustainable
development, solving the growth difficulties experienced by the forest communities,
in addition to strengthening the bases of bioindustrial culture (Ribeiro 2018).
In the current context, there are different possibilities for existing crop chains that
can be introduced in large-scale extraction practices in the Amazon, provided that
management techniques, propagation methods, fertilization, nutrition, and produc-
tion systems are improved (Embrapa 2016). With regard to tropical fruit species,
around 44% of the 500 native species existing in the country are concentrated in the
Brazilian Amazon (Embrapa 2016). Among these, some deserve to be highlighted
for the domestication already carried out in the forest using sustainable management
practices and not just extractive ones, namely, guaraná, bacuri, cupuaçu, açaí, in
addition to other crops such as Brazil nuts and peach palm (pupunha) (Embrapa
2016; Nobre and Nobre 2018).
According to information from Embrapa (2016), açaí has been domesticated
since 2002 in the Amazonian territory in the states of Amapá and Pará. In addition,
the production process takes place through the minimal impact management tech-
nique of native açaí trees (Embrapa 2016). In this process, the distribution of açaí
trees combined with other native species occurs, contributing to the improvement of
fruit quality, greater pulp yield, and facilitating the maintenance of clean açaí
plantations (Embrapa 2016). Also according to Embrapa (2016), açaí production
grew by more than 75% in the period between 2009 and 2013, which corresponds to
255% increase in sales.
However, even with the expansion of açaí cultivation in recent years on degraded
lands in the biome, many extractivists still consider livestock as the only promising
source of profits (Lopes 2019). In a study by Lopes (2019), two groups of settlers
from the Feijó region in the state of Acre were analyzed, verifying, for example, the
leadership of agricultural practices in relation to sustainable management techniques.
This fact indicates the immediate need for government support through subsidies and
sustainable programs in order to reverse the productive awareness of people in these
regions (Ribeiro 2018).
In addition, in crops such as bacuri and Brazil nuts, the extractive practice still
prevails in Amazonian territory (Embrapa 2016). However, Brazil nuts domestica-
tion accounts for 3–5% of the total produced in cultivated Brazil nuts (Embrapa
2016; Nobre and Nobre 2018). On the other hand, the production of bacuri,
concentrated in the northern region of the state of Pará, has shown a continuous
growth in sustainable management, with a considerable economic return given the
great value associated with its pulp (Embrapa 2016). Regarding the cultivation of
palm trees such as tucumã-do-amazonas and peach palm, domestication has been
more active for peach palm (Embrapa 2016). However, cultivation techniques to
facilitate the germination of tucumã seeds have been implemented in order to support
its domestication and sustainable production (Embrapa 2016).
It is worth mentioning the lack of appreciation of some crops native to the
Amazon region in the face of logistical issues, pricing policy, and consumer prefer-
ence (Nobre and Nobre 2018). Over time, these crops ended up losing market and
being replaced by crops from other countries, such as oranges and apples (Embrapa
2016). In this connection, murici, bacuri, and pequiá can be highlighted, which in
addition to losing prominence, their production is also hampered by deforestation, as
they are trees with a greatest potential for timber (Embrapa 2016). On the other hand,
there are other crops native to the Amazon forest that are widely consumed in Brazil,
namely, pineapple, cocoa, cashew, and passion fruit (Embrapa 2016; Nobre and
Nobre 2018). Furthermore, even in these crops where sustainable domestication is
already a consolidated reality, the aid proposed by technologies from the Fourth
Industrial Revolution (4RI) offers benefits in terms of greater productivity, adapta-
tion, and final product quality (Embrapa 2016; Strand 2018).
In addition to the benefits brought to the food industry, Amazonian biodiversity
has a high potential to contribute to the pharmaceutical, chemical, and cosmetic
industries (Embrapa 2016; Muzell 2019). In the case of tucumã-do-Pará, its almond
oil has a rich property for the production of biodiesel (Embrapa 2016). Oil palm,
although native to West Africa, is a type of palm that has shown good adaptation to
the climatic conditions of the American continent, being an interesting crop option in
degraded areas of the Amazon biome. Among the benefits obtained from its culti-
vation, its high productivity stands out: one hectare of the cultivar can generate about
five tons of oil per year, surpassing the productivity of castor bean crops by 86% and
soybeans by 90% (Embrapa 2016).
Hence, oil palm has a wide application possibility and may be used for the
production of food such as ice cream, cookies, margarine, and other products such
as soaps, detergents, lubricants, and even in the production of biofuels (Embrapa
2016). Other positive aspects inherent to the cultivar include its contribution to the
process of carbon sequestration from the atmosphere, as well as its proven high
economic and productive efficiency when used in banana, cassava, and pineapple
intercropping (Embrapa 2016). Also according to Embrapa (2016), the palm/pine-
apple, palm/banana, and palm/cassava systems showed a reduction in production
costs of 100%, 86.7%, and 64.5%, respectively. In addition, in intercropping with
beans, corn, and peanuts, the palm tree presented a great vegetative growth
(Embrapa 2016).
Furthermore, in recent studies, crops such as uxi, rosewood, camu-camu, abiu,
and cajá are also being incorporated into the dynamics of sustainable development in
degraded forest areas (Embrapa 2016; Nobre and Nobre 2018). In this way, the
plenitude of cultivation in native areas seeks to combine the curbing of irrational
exploitation of the biome with sustainable production techniques aimed at local
environmental and socioeconomic support (Nobre and Nobre 2018; Muzell 2019).
Thus, the expansion of the productive vision of the forest community consolidates a
new stage of development focused on the bases of the Fourth Industrial Revolution
(4RI) (Galford et al. 2013; Ribeiro 2018).
Finally, it is important to highlight the existing challenges in the productive
expansion of NTFPs in sustainable plans that prevail most in changing the produc-
tive consciousness of individuals (Strand 2018). Currently, measures to implement a
sustainable culture have generated little impact, which can be demonstrated by the
increase in deforestation rates in the Amazon biome in the last 7 years (TerraBrasilis
2020). This is due to the lack of new programs focused on solving logistical issues,
supporting the research of biological assets, as well as those related to training and
empowering local people (Ribeiro 2018). In addition, the lack of incentives on the
part of the government and of the consolidated institutions ends up minimizing the
great productive potential of the biome and, above all, the possibility of greater
profits compared to irrational extraction practices (De Oliveira 2019; Lopes 2019).
Figure 3 presents the main benefits obtained with the development of the Amazon
4.0 proposed in this study, showing the benefits broken down into social, environ-
mental, and economic dimensions.
It is possible to see that from the social perspective, the sustainable development
of the Amazon will promote greater social equality, improved quality of life, the
creation of new jobs, and greater educational opportunities for local indigenous
Fig. 3 Benefits of the Amazon 4.0 development and its relations with the SDGs. (Source: Authors
2022)
peoples. The social development obtained through the exploration of NTFPs is

directly related to the reduction of poverty and hunger (SDG 1 and SDG 2), the
improvement of the population’s health and well-being (SDG 3), and the improve-
ment of education (SDG 4). The economic benefits are linked to the creation of new
economic activities and, consequently, the generation of income for indigenous
peoples.
The creation of decent work and economic growth (SDG 8), industry, innovation,
and infrastructure (SDG 9), reducing inequalities (SDG 10), and developing sus-
tainable cities and communities (SDG 11) are the SDGs that can be achieved locally
with the development of the Amazon 4.0. In this context, the implementation of the
Amazon 4.0 project can positively impact the reduction of social inequality (SDG
10) through the inclusion of local peoples in extraction activities, so that they also
benefit economically in order to raise the levels of quality of life. In terms of
economic growth (SDG 8), NTFP extraction activities are capable of providing
satisfactory gains for local communities, since many of the forest resources are
unique to the biome and have high added value. In this way, the possibility of
partnerships between companies in the food, cosmetics, pharmaceuticals, and hand-
icrafts sectors with local people arises. Such a measure generates beneficial conse-
quences for the environment, for example, by making it a sustainable environment
(SDG 11) based on rational extraction techniques.
Finally, the creation of environmental services, the reduction of deforestation and
illegal logging, the reduction of extractive activities, the reduction of forest fires, and
the preservation of fauna are the benefits obtained from an environmental perspec-
tive. The SDGs related to environmental aspects are: responsible consumption and
production (SDG 12), action against climate change (SDG 13), preservation of life
under water (SDG 14), and preservation of life on earth (SDG 15).
It is important to emphasize the relationship between sustainable development in
the Amazon and the creation of a new economy focused on NTFPs and climate
change. Mitigation and adaptation to climate change are of utmost importance today,
especially for this region. In recent years, the Amazon has been under scrutiny for
the increase in forest fires and for the increase in deforestation and illegal logging.
These activities contribute to the emission of carbon dioxide into the atmosphere,
contributing to global warming. In the framework of this study, it is important to
emphasize that the Amazon 4.0, the sustainable development of the Amazon, and the
creation of NTFPs will promote the preservation of the Amazon biome, collaborat-
ing with the fixation of carbon dioxide and, consequently, with the mitigation and
adaptation of global climate change.
Conclusions
This chapter addresses the challenges and benefits existing in the development of
Amazon 4.0 based on the application of technologies from the Fourth Industrial
Revolution (4RI) for the improvement of sustainable management techniques. In
addition, the study was effective in reaching its objective, analyzing routes focused
on the sustainable development of the forest, in addition to contributing to the
formation of opinion and generation of knowledge. In view of this, it was observed
that the use of technologies from the Fourth Industrial Revolution (4RI) can con-
tribute both to crops already domesticated from sustainable development techniques
and in the improvement of production quality, as well as in the discovery of new
unexplored biological assets.
With regard to the local community of the Amazon rainforest, it is marked by a
lack of information and knowledge of the productive potential of the biome’s
biodiversity. Thus, the creation of solid bases for a sustainable model such as the
Amazon 4.0 model indicates the realization of important transformations in the
social and technological contexts. Therefore, the need to change the productive
awareness of local extractivists is a reality that can be obtained from the strength-
ening of sustainable management practices supported by the scientific community
with evidence of quantitative data and with the intensification of government
inspection practices for a greater control of irrational exploitation.
Regarding the contributions achieved with this chapter, it is worth mentioning the
benefits associated with the implementation of sustainable management for the local
society, given the possibility of combining cultures without losing their productivity
and generating income and decent work for their livelihood. From an environmental
point of view, the study emphasizes some of the direct benefits of implementing the
Amazon 4.0 project, such as capturing carbon from the atmosphere and reducing
levels of deforestation, land grabbing, and forest fires. Finally, the theoretical
contribution of this study corresponds to the discussion of a third way for the
sustainable development of the Amazon biome and its relationship with the SDGs.
The manuscript also had some limitations, such as the difficulty in acquiring
relevant material, the fact that it is still a recent topic, which makes this issue even
more difficult. In addition, another limiting factor corresponded to the research
method, given the possibility of interference by the researcher’s opinions in carrying
out the research. It is worth mentioning the instability suffered by some sites in a few
days regarding the information on the current levels of deforestation in the biome, a
fact that hampered the progress of the research causing delays. When it comes to
proposing an agenda for future studies, one possibility would be to carry out a study
aimed at each state in Brazil where the Amazon biome is present, in order to clearly
discuss the situation of each one facing the exploration project.
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Sustainability Approach at the Chilean
Constituent Assembly
Eduardo Ordonez-Ponce
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
Sustainability in Chile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
Abstract
After more than 40 years, Chile started a process to remove its current constitu-
tion designed during the Pinochet dictatorship to what some expect to be a more
inclusive, representative, and democratic constitution. Despite remarkable pro-
gress in reducing poverty, economic development, and access to health and
education, many challenges still remain, and most Chileans voted in 2020 for a
new constitution that would shape a new future for Chile. To achieve this purpose,
Chileans elected mostly nonpartisan citizens from all over the country, including
an equivalent number of men and women and indigenous peoples for the first
time, to discuss and present a new constitution proposal to be voted on in a
referendum in September 2022, which was rejected. Will Chile’s new constitution
have a broad or narrow sustainability focus? Will there be a short- or long-term
sustainability approach? Which are the sustainability challenges that the new
constitution should prioritize? Will the new constitution propose a social, envi-
ronmental, or economic emphasis for Chile’s future? Will the new constitution
address Chile’s current sustainability challenges? To answer these questions, this
chapter explores Chile’s potential new constitution by qualitatively assessing
E. Ordonez-Ponce (*)
Faculty of Business, Athabasca University, Athabasca, AB, Canada
e-mail: eduardo.ordonez@athabascau.ca

https://doi.org/10.1007/978-3-031-16017-2_23
124 E. Ordonez-Ponce
what the 155 elected constituents proposed for a new constitution, using the UN
Sustainable Development Goals (the SDGs) as a sustainability framework. This
chapter contributes to understanding how fundamental legal principles could
shape a more sustainable future for society.
Keywords
Chile · Constitution · Constituent assembly · Constitutional constituents ·
Sustainable Development Goals · Sustainability
Introduction
In the last 30 years, Chile has reduced poverty by 72% (Ministerio de Desarrollo
Social y Familia 2017), increased its economy by 664% (The World Bank 2021), and
reached a very high Human Development Index (UNDP 2020), but inequality
remains high (The World Bank 2021). Table 1 shows the evolution of these indica-
tors throughout the last 30 years, highlighting sharp increases in GDP and declines in
Table 1 Evolution of GDP, GDP per capita, poverty, and HDI (1990–2020)
GDP GDP per capita GDP Poverty lines
(current (current growth (% of Gini
Year US$1010)α US$103)α (annual %)α population)β HDIγ Indexα
1990 3.3 2.5 7.8 38.6 0.706 57.2
1992 4.6 3.4 6.6 32.9 54.8
1994 5.7 4.0 8.9 27.6 56.4
1995 7.3 5.1 6.8 0.728
1996 7.8 5.3 7.4 23.2 54.9
1998 8.2 5.4 0.4 21.7 55.5
2000 7.8 5.1 3.3 20.2 0.756 52.8
2003 7.6 4.8 7.2 18.7 51.5
2005 12.3 7.6 6.3 0.791
2006 15.5 9.5 4.9 13.7 47.3
2009 17.2 10.2 5.8 11.4 47.0
2010 21.9 12.8 6.1 0.803
2011 25.2 14.6 5.3 10.9 46.0
2013 27.8 15.8 1.8 7.8 45.8
2015 24.4 13.6 1.7 11.7 0.842 44.4
2016 25.0 13.8 1.2 0.845
2017 27.7 15.0 3.7 8.6 0.847 44.4
2018 29.8 15.9 0.9 0.849
2019 27.9 14.7 5.8 0.851
2020 25.3 13.2 10.8δ
α (The World Bank 2021); β (Ministerio de Desarrollo Social y Familia 2017); γ (UNDP 2020);
δ (Ministerio de Desarrollo Social y Familia 2020)
Sustainability Approach at the Chilean Constituent Assembly 125
poverty in the 1990s and early 2000s, indicators that have been more unsteady
during the last years. All these indicators based on the same model of development
designed and implemented during the Pinochet dictatorship (Cristi 2000), which left
thousands dead and disappeared (Panizo 2020) and a neoliberal constitution fraud-
ulently imposed in 1980 (Richards 1997; Cristi 2000). However, despite the progress
achieved by the country that was recognized by some as a “miracle” (Richards 1997)
and joining the OECD as a peer of selected countries (OECD 2010), Chileans are not
satisfied with what their country currently offers (Bakamjian 2009; Siavelis 2010;
Benedikter and Zlosilo 2017). After 30 years of relative democratic stability,
Chileans took to the streets in October 2019 with the aim of changing the model
under the motto “neoliberalism was born and will die in Chile” (Fábrega 2019). This
chapter aims to understand the potential new future for Chile under a new constitu-
tion by assessing what the constituents brought to the table with the purpose of
understanding whether sustainability would be at the core of Chile’s new
constitution.
Chile’s current constitution was designed by a small group of right-wing collab-
orators of Pinochet (Cristi 2000), whose regime and free-market economic vision for
the country were based and supported by the dogma of Milton Friedman and later
implemented by the Chicago Boys, a select group of Chilean students disciples of
Friedman during the 1970s (Richards 1997). As stated by Richards (1997), the basis
of the Constitution of 1980 was the subsidiary role of the state leaving all that it
could to the private sector and the forces of the market. The Constitution of 1980 was
the way for Pinochet to establish in Chile a market-oriented model of development
with limited government involvement, and reversing the structural reforms
implemented by the previous government they overthrew via a coup d’état in
1973. While the new model tried to give certainty to businesses and investors
promoting and diversifying exports, its macroeconomic performance was poor
(Richards 1997) leaving Chile by 1990 with higher rates of poverty (40%) and
inequality as well as lower real wages than those from 1970 (Oppenheim 1993;
Marcel and Solimano 1994). While the economic model provided subsidies and tax
credits to exporting sectors, it was also responsible for social exploitation and
environmental harm including the use of nonunionized and temporary labor to
reduce wage costs, the application of chemicals with little concern for the health
of workers and their families, or the livelihood of native species, as well as the
damaging impacts of overfishing (Collins and Lear 1995).
Once the civic-military dictatorship led by Pinochet ended in 1990, a coalition of
center-left parties governed the country for 20 years doing better in economic and
social terms (Richards 1997; Siavelis 2010). Thanks to the policies of the new
governments, GDP started growing and poverty decreasing; however, high levels
of inequality remain and environmental issues endured (Ordonez-Ponce 2014),
ranking Chile among the worst in CO2 emissions per capita (Yale University
2012). Chile’s exporting vision positioned it among the countries with the most
free trade agreements, highlighting those signed with the USA, Canada, the
European Union, China, and Japan, among many others (International Trade Admin-
istration 2021). The social and economic policies of the new governments helped
grow the economy, generated employment, reduced poverty, increased life expecta-
tions, and created the infrastructure that the exporting economy needed transforming
Chile in a way never seen before (Ordonez-Ponce 2014). Chile had become the Latin
American Jaguar (Richards 1997), mimicking the Tigers of South East Asia. Exports
of timber, fruits, fish, and minerals surged as well as per capita income and access to
universities, highways, malls, cars, international trips, and appliances (Richards
1997), all certainly with important social and environmental implications
(Ordonez-Ponce 2014). Chile became the envy of Latin America, especially consid-
ering the usual instability of neighboring countries (Martins and Rugitsky 2018;
Yakovlev 2018). As an example, the number of immigrants from Latin America
increased dramatically from the late 1990s until now (Servicio Nacional de
Migraciones 2021). In economic terms, the 1990s were Chile’s wonder years, but
then during the 2000s things were a bit slower (Ffrench-Davis 2016). More impor-
tantly, Chileans started to question the system. Hidden corruption started to come up,
economic scandals emerged, inequalities remained, environmental problems started
to be on the agenda, etc. (Ordonez-Ponce 2014). People realized that the Chilean
miracle was not such a wonder and that although their economic situation was
relatively better than in the 1980s, they were breaking their backs to pay highway
tolls, education and health bills, housing and renting expenses, and security services
to live in a country that was fair for a few and very unjust for most (Richards 1997;
Winn 2004).
Anger, resentment, and distrust were accumulating and growing over the years.
Arauco, the successful Chilean forestry, was found guilty of the death of black swans
due to industrial wastewater from one of their cellulose plants in one of Chile’s most
touristic cities (CNN Chile 2013). Agrosuper, a Chilean agribusiness multinational,
ended up closing a recently opened plant processing half a million pigs in Freirina, a
township of just 6000 people who alleged they could not breathe because of the
company’s poor management of smells and vectors (BBC News 2012). The
Universidad del Mar, one of the many private educational institutions created during
the 1990s, had to shut its doors after allegations of corruption with accreditations
leaving thousands of students in debt with unfinished or questionable degrees
(González Meza 2018). The three largest pharmacies controlling the market were
discovered colluding and their executives sentenced to take ethic classes (Cruz),
toilet paper manufacturers were also found guilty of collusion (Fiscalía Nacional
Económica 2020), the largest supermarkets were discovered agreeing over the price
of chicken (Fiscalía Nacional Económica 2019), and just recently authorities have
started investigating LPG producers for low competitiveness and possible risks of
collusion (Cortés Madrid 2021), just to name a few examples. Additionally, politi-
cians, authorities, and businesspeople were caught with dirty money several times
(Orellana Vargas 2012; El País 2017; El Mostrador 2020), being mostly not penal-
ized in Chile but overseas (Epstein 2017). President Piñera used privileged infor-
mation to buy stocks (SVS 2007), and President Bachelet’s son and daughter-in-law
were accused of lobbying to change regulations that would benefit their housing
sector business (BBC News 2018); in both cases not much happened.
Then, in October 2019, the price of the Metro fare, the rapid transit system
serving Santiago, went up by merely CLP$30 (US$0.042) leading to massive pro-
tests in the capital city after people just decided to jump barriers and not pay their
tickets. First, it was a small group of high school students, and then hundreds and
regular working people followed suit. The government did not know how to manage
the situation, and chaos as well as hope reigned. Thousands of people marched on
the streets of Chile’s major cities manifesting their tiredness of abusive policies and
demanding a better and fairer future, while Metro stations, buses, buildings, and
churches were burned down, and delinquents started looting whatever and wherever
they could. The chaotic situation lasted for about a month all over the country on a
daily basis, leading to what was called the largest protest ever conducted in Santiago
on October 25, 2019, when about a million people took to the streets demanding a
change to the system, a new constitution, and the government to resign. Finally, after
looting, deaths, and curfews, a political agreement across most parties was reached
on November 15, 2019, calling for a referendum to decide whether Chileans wanted
a new constitution and through it a new future (Urrejola 2019). The referendum took
place a year later, and the proposal for a new constitution was approved by 78%
leading to the election of a constituent assembly in May 2021 that ended up being
formed largely by independents (Mussa 2021). This assembly of 155 constituents,
including 37 conservatives, 77 favoring a change to the model, and 17 indigenous,
was in charge of designing the basis of a new constitution, proposal that was voted
and rejected in September 2022 (Gobierno de Chile 2021).
Sustainability in Chile
Sustainability can be understood as the result of achieving sustainable development,

i.e., the conjunction between social equity, environmental degradation, and eco-
nomic development (Mebratu 1998; Dresner 2008). Sustainable development
includes human and social progress beyond the environment and economics
(Kates et al. 2005) implying the need for economic progress so the poorest would
have access to a fair stake of resources, equity through political systems allowing
citizen participation, and democratic decision-making processes between and within
generations (Dresner 2008). To achieve a sustainable world, the United Nations
together with 195 countries agreed in 2015 on the Sustainable Development Goals
(SDGs) as part of an international agenda for sustainable development (UNDP
2019). The SDGs include 17 different but related sustainability challenges composed
of a total of 169 targets (UNDP 2019).
Chile, the only South American country member of the OECD, with important
progress in economic terms, poverty reduction, and more than doubling its per capita
income in the last 20 years (OECD 2021), faces increasing social pressure to solve
sustainability challenges that despite its progress it has been unable to solve. As
reported in the Sustainable Development Report 2021, Chile ranks 30th among
165 countries in the SDG Index with several of the sustainability challenges still
remaining (Sachs et al. 2021). Chile has not only been unable to reduce inequalities
Table 2 Chile’s SDG dashboard and trends (Sachs et al. 2021)

Dashboard Trend
SDG achieved 0% On track or maintaining SDG achievement 18%
Challenges remain 18% Moderately improving 59%
Significant challenges remain 47% Stagnating 6%
Major challenges remain 35% Decreasing 12%
Information unavailable 0% Information unavailable 6%
significantly (SDG#10), but its performance is decreasing, just like with respect to
sustainability challenges associated with biodiversity (SDG#15). Particularly
concerning is how Chile’s Gini coefficient remains stagnant, its Palma ratio and
elderly poverty rates are worsening, and how the protection of terrestrial and marine
areas remains frozen (Sachs et al. 2021). Similarly, the major challenges persist
without improvement concerning the performance of Chile on the climate emer-
gency (SDG#13), with CO2 emissions from fossil fuel combustion and cement
production static (Sachs et al. 2021), despite being already hit by climate change
(Fernández et al. 2019). On a better note, Chile is on track to achieving SDG#5
Gender Equality, SDG#6 Clean Water and Sanitation, and SDG#17 Partnerships for
the Goals, although all with significant challenges remaining (Sachs et al. 2021).
Other worrying tasks include eliminating hunger (SDG#2) with increasing obesity
rates and human trophic levels and the development of industry, innovation, and
infrastructure (SDG#9) as expenditure on R&D has decreased and as the percentage
of GDP and the number of researchers and the female share of graduates from STEM
fields are frozen. The achievement of Peace, Justice and Strong Institutions
(SDG#16) shows a stationary rate of homicides, and there are increasing numbers
of unsentenced detainees and people feeling unsafe walking alone at night (Sachs
et al. 2021). Table 2 summarizes these challenges, highlighting that no SDG has been
fully achieved and 82% of them remain either significant or major challenges.
Furthermore, Chile is decreasing its performance on 12% of the goals; it is static
on 6% and improving on 59% of them (Sachs et al. 2021).
Methods
To achieve the purpose of this chapter, the political programs proposed by Chile’s
elected constituents were assessed through qualitative content analyses using the
SDGs and their targets as codes (UNDP 2019). Qualitative content analysis is
commonly used for interpreting information presented in verbal, visual, or written
formats (Patton 2002; Elo and Kyngäs 2008), through a methodical process that
comprises coding and categorization of data for discovering patterns according to
themes or concepts (Hsieh and Shannon 2005; Schilling 2006; Elo and Kyngäs 2008).
As mentioned above, the SDGs are organized into 17 goals with a total of
169 targets. Hence, 17 sets of concepts were used to analyze the content of the
Table 3 SDG concepts and keywords

SDGs SDG conceptual codes
SDG#1 – No Poverty Poverty, housing, basic services
SDG#2 – Zero Hunger Undernourishment, obesity, human trophic, cereal yield,
nitrogen management, hazardous pesticides
SDG#3 – Good Health and Well- Mortality, tuberculosis, HIV infections, death rate, life
being expectancy, fertility rate, health personnel, vaccines, health
coverage, well-being, smokers
SDG#4 – Quality Education Primary enrollment rate, secondary completion rate, literacy
rate, tertiary education attainment, PISA score, science
performance, students in science
SDG#5 – Gender Equality Family planning, female education participation, female
labor force participation, women in parliament, gender wage
gap
SDG#6 – Clean Water and Drinking water services, sanitation services, freshwater
Sanitation withdrawal, wastewater treatment, water consumption, water
services
SDG#7 – Affordable and Clean Access to electricity, clean fuels and technology, CO2
Energy emissions from fuel combustion, renewable energy
SDG#8 – Decent Work and GDP growth; modern slavery; bank accounts; labor rights;
Economic Growth work-related accidents; employment; youth not in
employment, education, or training (NEET)
SDG#9 – Industry, Innovation Access to the Internet, mobile subscriptions, quality of
and Infrastructure infrastructure, top universities, scientific and technical
journal articles, expenditure on R&D, researchers, patents,
females in STEM fields
SDG#10 – Reduced Inequalities Gini, Palma, elderly poverty rate, inequality
SDG#11 – Sustainable Cities and Urban population living in slums, concentration of
Communities particulate matter, access to improved water sources,
satisfaction with public transport, rent overburden
SDG#12 – Responsible Electronic waste, SO2 emissions, nitrogen emissions,
Consumption and Production non-recycled municipal solid waste
SDG#13 – Climate Action CO2 emissions from fossil fuel combustion, CO2 emissions
from cement production, CO2 emissions from imports, CO2
emissions from fossil fuel exports, carbon pricing
SDG#14 – Life Below Water Marine sites protected for biodiversity, clean oceans,
overfishing
SDG#15 – Life on Land Terrestrial sites protected for biodiversity, freshwater sites
protected for biodiversity, species survival, deforestation
SDG#16 – Peace, Justice and Homicides, unsentenced detainees, population feeling safe,
Strong Institutions property rights, birth registrations, corruption, child labor,
exports of weapons, press freedom, access to and
affordability of justice, people in prison
SDG#17 – Partnerships for the Government spending on health, government spending on
Goals education, official development assistance, corporate taxes,
financial secrecy, profits of multinationals, statistical
performance
constituents’ programs and determine their focus on sustainability issues. Table 3

shows the list of 17 concepts and keywords.
The constituents’ programs were downloaded from the Servicio Electoral website
(Electoral Service of Chile), which were submitted by the constituents when regis-
tering their postulations to the constituent assembly. All the constituents’ programs
were presented in the Spanish language so the concepts and keywords from the
Spanish version of the SDGs (Naciones Unidas) were used for analysis. The total
number of constituents, and as a result of assessed proposals, is 155, 50.3% who
were male and 49.7% female. They represented 28 districts plus an especial repre-
sentation of 17 indigenous people. The proposals added 1585 pages with a total of
2322 excerpts. Dedoose Version 9.0.18 was used for assessing the focus of the
elected constituents as proposed in their programs concerning the SDGs as a
sustainability framework.
To contrast the constituents’ sustainability foci with Chile’s sustainability perfor-
mance, the work led by Professor Jeffrey Sachs was used as a reference. Prof. Sachs
and colleagues publish every year a global assessment of 165 countries’ progress
towards the achievement of the SDGs presenting the countries’ SDG dashboard and
trends. Through the dashboard, the SDGs are identified as having major, significant,
or just challenges remaining, along with those SDGs achieved. And for trends, the
report classifies SDGs as on track or maintaining SDG achievement, moderately
improving, stagnating, or decreasing (Sachs et al. 2021).
Results
As shown above, Chile still has many sustainability challenges. Results show that
although a new constitution could certainly help to the improvement of sustainability
standards in Chile, it could end up being focused on just a few SDGs, leaving
important sustainability tasks with little attention. Based on the focus proposed by
the constituents for a new constitution, three groups of SDGs can be identified
(Table 4). The most relevant sustainability challenges for the constituents were
two – Reducing Inequalities (SDG#10) and Peace, Justice and Strong Institutions
(SDG#16) – which account for about a third of the sustainability challenges identi-
fied by the constituents as relevant to be addressed. The second third of SDGs
includes four goals: SDG#5 Gender Equality, SDG#3 Good Health and Well-being,
SDG#14 Life Below Water, and SDG#15 Life on Land. And the final third groups
the other 11 sustainability goals, including eliminating poverty (SDG#1), economic
growth (SDG#8), quality education (SDG#4), clean water (SDG#6), affordable
energy (SDG#7), and tackling the climate emergency (SDG#13).
As examples of what some constituents proposed for the new constitution,
Dayyana González Araya was concerned about the poverty levels and exclusion
the country has faced since its origin that according to her will be further deepened
due to the climate emergency. Rossana Vidal Hernández ensured that Chile must
respect human dignity, the right to good quality and humanized health, respect for
diversity, protecting the elderly, and guaranteeing access to water as a basic universal
right. Ricardo Montero Allende pleaded for the restitution of the constituent power
Table 4 Chile’s SDG challenges and constituents’ sustainability foci

Constituent
Priority SDGs Dashboardδ Trendδ assembly foci
High #10 Reducing Inequalities Major challenges Decreasing 18.3%
remain
#16 Peace, Justice and Major challenges Moderately 14.6%
Strong Institutions remain improving
Middle #5 Gender Equality Significant On track 10.4%
challenges
remain
#3 Good Health and Well- Significant Moderately 8.1%
being challenges improving
remain
#14 Life Below Water Significant Moderately 7.7%
challenges improving
remain
#15 Life on Land Major challenges Decreasing 7.7%
remain
Low #1 No Poverty Challenges Moderately 6.4%
remain improving
#8 Decent Work and Significant Moderately 6.2%
Economic Growth challenges improving
remain
#4 Quality Education Significant Moderately 5.4%
challenges improving
remain
#9 Industry, Innovation and Major challenges Moderately 3.8%
Infrastructure remain improving
#6 Clean Water and Challenges On track 3.4%
Sanitation remain
#13 Climate Action Major challenges Stagnating 2.6%
remain
#12 Responsible Significant Information 1.6%
Consumption and challenges unavailable
Production remain
#17 Partnerships for the Significant On track 1.1%
Goals challenges
remain
#2 Zero Hunger Major challenges Moderately 1.1%
remain improving
#11 Sustainable Cities and Significant Moderately 0.9%
Communities challenges improving
remain
#7 Affordable and Clean Challenges Moderately 0.6%
Energy remain improving
δ: (Sachs et al. 2021)
to the people based on the principles of equality, freedom, peace, fraternity, and
solidarity, aspiring to build a social and democratic state with a wide system of social
protection that guarantees constitutional recognition of economic, social, and cul-
tural rights. Constanza Hube Portus claimed for the right to life and physical and
psychological integrity, to security and to live in peace, equality before the law, and a
due legal process, as well as freedom of education, liberty of entrepreneurship, and
economic freedom. Finally, Renato Garin González called for gender parity, trans-
parency and participation, territorial equity, strong institutions, and a constitution
that ensures health, education, pensions, and housing for all Chileans. A summary of
the constituents’ proposals as weighted against the SDGs can be seen in Fig. 1.
When matching the constituents’ sustainability foci and Chile’s sustainability
performance (Table 4), out of the six major challenges remaining, two of them are
prioritized by the constituents: Reducing Inequalities (SDG#10) and Peace, Justice
and Strong Institutions (SDG#16); however, the trends for SDG#10 and SDG#15
(Life on Land) are negative. The other three major challenges that remain (SDG#9
Industry, Innovation and Infrastructure; SDG#13 Climate Action; and SDG#2 Zero
Hunger) are moderately improving or stagnated, which, due to being less important
for the constituents, may lead them to remain at their current levels. Three of the
SDGs that remain with significant challenges are somehow prioritized: Gender
Equality (SDG#5), Good Health and Well-being (SDG#3), and Life Below Water
(SDG#14); however, only SDG#5 is on track, and the others are moderately improv-
ing. Among the least prioritized SDGs with significant challenges remaining,
SDG#17 Partnerships for the Goals is on track, and SDGs#4, #8, and #11 are
moderately improving. Finally, three SDGs remain with challenges: SDG#1 No
Poverty, SDG#6 Clean Water and Sanitation, and SDG#7 Affordable and Clean
Energy, only the former being relatively prioritized and moderately improving, while
Fig. 1 Packed Code Cloud (Dedoose Version 9.0.18)

the two others are either on track (SDG#6) or moderately improving (SDG#7), with
relatively little concern on them by the constituents.
Discussion
Results show that although Chile’s proposal for a new constitution could focus on its
sustainability challenges as proposed by the constitutional constituents, their pro-
posals were very focused on specific sustainability issues, without having a more
integrated sustainability approach and long-term vision for the country. While
certain basic issues must be immediately addressed, this short-term approach could
be interpreted as a missing opportunity for the sustainable development of Chile as
the constituents mainly focus on the many urgent and short-term issues that still need
to be resolved. Although a new constitution is an invitation to think about the future,
it seems that if the proposal would have been approved, Chile would have to shift its
focus leaving perhaps for a later discussion a longer-term approach to development.
Perhaps this is one of the reasons why Chilean rejected the proposal.
Based on the results obtained from the conducted analysis, it can be said that any
new Chilean constitution could have a strong social and institutional focus with
some environmental emphasis, particularly addressing the current existing inequal-
ities, health and well-being, and peace, justice, and strong institutions and to a lesser
extent addressing its marine and terrestrial life. This rejected approach was certainly
well aligned with some of Chile’s current challenges, mainly the high levels of
inequality that obstruct sustainable development (Ordonez-Ponce 2021) with limited
access for people to political and economic power (Gallego et al. 2018), the
institutional conundrum the country has been in for the last years (Siavelis 2020),
and the current environmental crises (Fernández et al. 2019). Nevertheless, despite
tackling key issues, which is a positive sign, challenges that usually require a longer-
term commitment were left aside. For example, the development of affordable and
clean energy sources represents a great opportunity for the sustainable development
of Chile, having access to the clearest skies in the Northern regions to produce solar
energy and strong winds across the Pacific Ocean and Patagonia to develop eolic
farms (IEA 2018). Working towards sustainable cities and communities was another
challenge not prioritized, which is something that Chileans require as they deal with
crowded cities, poor transport systems, and limited services especially outside the
capital city (Donoso et al. 2012; El Mostrador 2017; Montiel 2020). Similarly,
partnering for the achievement of the SDGs was another task not identified as a
key by the constituents, which reflects the current polarized political environment,
something seen in the presidential campaign that took place in 2021 (Malinowski
and Bronner 2021). Climate action and water were other challenges poorly
addressed, a disappointing result as the country faces a decade-long drought with
almost half a million people receiving water in tanker trucks, a situation that
according to scientists is likely to spread and worsen across the country (Medel
2021). Similarly, although not to the same extreme, poverty has increased back to
2011 levels (Ministerio de Desarrollo Social y Familia 2017; Ministerio de
Desarrollo Social y Familia 2020), economic growth has slowed lately (The World
Bank 2021), quality of education is still a challenge (Douillard 2018), and the
development of industry and innovation (The World Bank 2021) are remaining
issues that will unlikely be considered properly any time soon. Following a similar
rationale, Chileans elected a new President in December 2021, the 35-year-old lower
house deputy and former student leader Gabriel Boric, who was voted on a platform
focused mainly on the reduction of inequalities, the decentralization of Chile, the
improvement of social services, and the inclusion of women, indigenous people, and
immigrants as well as the LGTBQ+ community (Vizcaino and Maki 2021). At the
end, the proposal for a new constitution and the new government aim to shift the
power from just a few to the people, away from the neoliberal socioeconomic model
implemented in the 1980s and deepen once Chile recovered its democracy. However,
their short-term focus aims to tackle the urgent matters that Chileans daily suffer, not
only a noble but also an urgent challenge, which however may leave a longer-term
vision for future discussions. Perhaps, foundational tasks must be accomplished first
before Chile is ready to discuss an integrated sustainability perspective for the
country, a necessary first step to have strong foundations that later will allow
Chileans to focus on other sustainability goals.
Despite the limited sustainability scope of the proposed new constitution, that
was rejected the implications of this shift are several and not less relevant. What
many consider the successful model of development implemented through the 1990s
and 2000s is likely to change, which is concerning for many. The model designed
during the dictatorship and deeply implemented later on has undoubtedly created
stability for markets, businesses, and investors, who have already taken important
sums of money away from the country due to what they consider are leftist anti-
private approaches (Fuentes and Cancel 2021). The change to the model implies a
shift from a private focus with minimal state intervention in markets to a state much
more present not only regulating but also ensuring Chileans have access to quality
products and services that today are accessed by those with money to pay. This
implies a shift not only of power from a few to many but also of dignity and hope in
the future as the new constitution aims to guarantee access to basic rights for all.
While the economy and the economic resources Chileans currently have shape their
present under an extremely competitive environment, a new constitution would shift
its focus mainly to all people by reducing current inequalities and improving the
services they need to live a decent life, with concern for the environment and strong
institutions that will support these endeavors. Nevertheless, resources to achieve the
constitution’s, as well as the new government’s, aims will be necessary, and the
economy nor collaborative approaches seem to be prioritized, a potentially huge
problem Chileans will need to face to accomplish their sustainability goals.
Conclusion
Since its independence more than 200 years ago from the Spanish Crown, Chile has
had 4 constitutions lasting on average of 39 years (minimum 1 year, maximum
92 years). The potential new constitution is expected to last many years; therefore, it
should be a long-term process of reflection towards not only the present but also the
future of the country and the new Chilean generations. It cannot be said that the
constituents did not have in mind a long-term future for Chile as it can be understood
from those SDGs least prioritized. The problem is that, despite the important
improvements achieved by Chile during the last 30 years or so, many basic rights
remain unsolved. Inequalities, health and education of quality for all, reducing
poverty, and addressing the environmental challenges the country faces are founda-
tional areas of development that Chile has not totally addressed properly and which
Chileans demand action on. Certainly, the development of the local industry that the
country lost during the dictatorship, focusing on affordable energy, water, or the
effects of climate change, is necessary, but Chileans expect their new constitution to
address their daily pains first. As reflected by the results presented in this chapter,
several key issues affecting Chileans today must be solved first so the country can
have a more sustainable future. Once those key and basic sustainability challenges
are properly addressed and Chileans can finally live their lives with more dignity,
perhaps the country can look to the future and focus on other longer-term sustain-
ability challenges such as climate change or developing their industry. It seems that
while a new constitution should be able to help Chile move closer to the desired
sustainability state, it will not be able to address sustainability as an integrated
challenge, and the conversation will remain for years to come.
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Mining Industry and the Sustainable
Development Goals in Brazil’s Amazon
James Thiago Leite Cruz
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
The Sustainable Development Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
Mining Development in Parauapebas and Canaã dos Carajás (Pará, Brazil) . . . . . . . . . . . . . . . . . 143
Mining Industry as a Tool to End Poverty and Establish Successful Partnerships
to Accomplish the SDGs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
Partnerships with Local Governments: The Use of Mining Taxes to Promote (Sustainable)
Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
The Use of CFEM and SDG 4: Quality Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
The Use of CFEM and SDGs 3, 6, and 9: Health; Clean Water; and Industry, Innovation,
and Infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
Mining Influences on Climate Change and Environmental Impacts: SDGs 13 (Climate
Action), 14 (Life Below Water), and 15 (Life on Land) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
Mining Industry, Environmental Impacts, and Social Conflicts in Brazil’s Amazon . . . . . . 160
Parauapebas and Canaã dos Carajás (Pará, Brazil): Social Perceptions Regarding
Environmental Impacts and Climate Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
Abstract
In developing nations such as Brazil, the mining industry generates benefits such
as jobs and income generation, but also environmental degradation. The Sustain-
able Development Goals (SDGs), implemented in 2015 by the United Nations,
provide a framework through which mining companies and the government can
guide their actions to be environmentally sustainable, economically responsible,
and socially sensitive. There is an urgent need for strengthening the commitment
of mining companies and municipal governments in Brazil to the SDGs, because
J. T. L. Cruz (*)
Faculdade de Direito, Universidade Federal do Pará, Belém, Brazil
e-mail: thiago.james@live.com

https://doi.org/10.1007/978-3-031-16017-2_106
140 J. T. L. Cruz
of the severe environmental and social impacts of the industry, especially in the
Brazilian Amazon region. The present research aimed at analyzing the relation-
ship between the mining industry and some SDGs in the municipalities of
Parauapebas and Canaã dos Carajás, the most prominent mining municipalities
in Brazil’s Amazon. It is discussed that the municipal governments in both
municipalities need to significantly improve their use of mining taxes, to effec-
tively engage with the SDGs and improve local quality of life in the long term.
Mining environmental impacts negatively and significantly affect people’s lives
in the Amazon region, especially in indigenous and rural communities. Busi-
nesses, governments, and civil society must join forces to monitor each other to
achieve together the SDGs.
Keywords
Environmental impacts · Mining industry · Local governments · Sustainable
Development Goals · Brazil · Amazon region
Introduction
Ending poverty is a very complex global task, as it involves much more than finance.
In fact, Sen (2011) highlighted that poverty is the lack of true freedom, which only
exists when citizens have access to civil rights, health, education, and sanitation.
Engagement with such issues is critical for sustainable development nowadays, as
society is increasingly demanding from businesses and industries an active engage-
ment with social affairs, demanding respect for human rights and improvement in
local quality of life in exchange for the exploration of local natural resources
(Boutilier and Thomson 2018).
In 2015, the United Nations (UN) implemented the 2030 Agenda for Sustainable
Development, including 17 Sustainable Development Goals (SDGs) that 193 UN
Member States agreed to meet until 2030. The SDGs consist of a list of objectives
that aims to end poverty, reduce environmental degradation, promote gender equal-
ity, improve the quality of education, and address climate change (UN 2019). It is
clear that achieving such multidisciplinary goals requires a holistic approach that
needs the involvement of the whole society in order to succeed. Therefore, busi-
nesses, industries, governments, NGOs, and social movements must work in tandem
to accomplish the SDGs by 2030.
Indeed, the UNCTAD (2018) acknowledges that the SDGs pose a greater chal-
lenge for developing countries, such as Brazil. There, a significant portion of the
population lives in extreme poverty and does not have access to basic services such
as sewage (Cruz and Santos 2021). In fact, 33,129,083 Brazilians do not have access
to clean water and 94,734,344 do not have adequate sewer systems in their homes
(Trata Brasil 2018). Despite such figures, the Brazilian economy is not weak.
Industry plays a key role in the country’s GDP, especially mining production
which had a share of 4.69% of the GDP in 2017, totaling over US$300 billion.
Mining Industry and the Sustainable Development Goals in Brazil’s Amazon 141
In 2018, over US$49 billion were exported in mineral production, equivalent to a

share of 20.8% of total exports (MME 2019).
Paradoxically, the two main mineral producers in Brazil, the municipalities of
Parauapebas and Canaã dos Carajás, collect large sums in taxes from the mining
industry but the local inhabitants are very dissatisfied with their current quality of
living. Despite the intense population growth since the beginning of mineral explo-
ration in the region and significant growth in the municipal GDP, unemployment
rates and poverty are currently high in both municipalities. The inhabitants in such
regions complain about water and air pollution, dust emissions, and soil degradation
(Cabral et al. 2011; Cruz 2021a).
During the years 2015 and 2019, in the Brazilian municipalities of Mariana and
Brumadinho (state of Minas Gerais), respectively, the tailings dams broke and took
the lives of more than 200 people, destroying villages and seriously damaging the
environment in the short and long term due to the toxic pollution of the rejects (BBC
2020). Unfortunately, Cambridge and Shaw (2019) highlight that those were not
isolated cases. Rather, three other tailings dam disasters occurred in the same region
within an 18-year period. Therefore, there is an urgent need for the mining industry
to engage with ecological and social issues, in order to mitigate its negative impacts
and effectively contribute to the social welfare in its exploration regions.
In fact, its profits could be invested to produce eco-friendlier technology and
improve social wellbeing through corporate social responsibility (CSR) programs.
Cruz (2021b) also demonstrated that taxes collected from mineral exploration by
governments have a huge potential for improving people’s quality of life through
investment in social infrastructure, education, and health. In Brazil, mining compa-
nies must pay a percentage of their profits to the municipal governments where their
activities take place, through the Financial Compensation for Exploration of Mineral
Resources (CFEM).
According to the current legislation, the government should invest in strategic
areas to generate social welfare and sustainability in the long term, because such
taxation is temporary and its collection shall finish once mineral exploration is over.
Therefore, investments in education, health, science, technology, and economic
diversification should be priorities. Unfortunately, recent studies indicate that it is
not the case, at least in two of the largest CFEM recipients in the country: Canaã dos
Carajás and Parauapebas, in the state of Pará (Cruz et al. 2021; Cruz 2021b).
Considering the importance of the mining industry to the Brazilian economy and
its undeniable influences in environmental, economic, and social issues in local,
regional, and national dimensions, such an industry is crucial to achieving the SDGs
in the country. The Amazon region plays a strategic role in this context, due to its
international reputation as a crucial hotspot of biodiversity, whereas it suffers the
environmental impacts of the world’s largest mines which are hosted in the region
(Silva et al. 2014).
At first sight, it is clear that mining production is directly linked at least to SDGs
6 (ensure access to water and sanitation for all), 10 (reduce inequality within and
among countries), 11 (make cities inclusive, safe, resilient, and sustainable), 13 (take
urgent action to combat climate change and its impacts), and 15 (protect, restore, and
142 J. T. L. Cruz
promote sustainable use of terrestrial ecosystems, sustainably manage forests, com-

bat desertification, and halt and reverse land degradation and halt biodiversity loss),
due to its environmental, economic, and social influences (UN 2022). Nonetheless,
the WEF (2016) considers that the mining industry plays an important part in every
single SDG.
Thus, the present research aims at analyzing the environmental, economic, and
social impacts of the mining industry in the Brazilian Amazon region, assessing how
such matters can help society understand the current status of the SDGs in the region.
Each SDG is analyzed and its relationship with the mining industry is explained,
using examples from studies in Brazil’s Amazon, especially in the municipalities of
Parauapebas and Canaã dos Carajás, in the state of Pará.
This chapter is divided into six sections, including this introduction. In section
“The Sustainable Development Goals” the origins and purposes of the SDGs are
explained. Section “Mining Development in Parauapebas and Canaã dos Carajás
(Pará, Brazil)” briefly discusses the implementation and repercussions of the mining
industry in Brazil’s Amazon, focusing especially on the municipalities of Para-
uapebas and Canaã dos Carajás. Section “Mining Industry as a Tool to End Poverty
and Establish Successful Partnerships to Accomplish the SDGs” analyzes how
the mining industry contributes to SDGs 1 (no poverty) and 17 (partnerships for
the goals), focusing on the partnerships with local governments and their use of the
Financial Compensation for Exploration of Mineral Resources (CFEM).
Section “The Use of CFEM and SDG 4: Quality Education” relates the use of the
CFEM to SDG 4 (quality education), whereas section “The Use of CFEM and SDGs
3, 6, and 9: Health; Clean Water; and Industry, Innovation, and Infrastructure”
focuses on the CFEM and SDGs 3 (good health and wellbeing), 6 (clean water
and sanitation), and 9 (industry, innovation, and infrastructure). Section “Mining
Influences on Climate Change and Environmental Impacts: SDGs 13 (Climate
Action), 14 (Life Below Water), and 15 (Life on Land)” discusses SDGs 13 (climate
action), 14 (life below water), and 15 (life on land), analyzing the environmental
impacts of the mining industry in Brazil’s Amazon, especially in Parauapebas and
Canaã dos Carajás, the most prominent mining municipalities in the country. Finally,
section “Conclusion” presents the concluding remarks and discusses prospects for
future studies in the region.
The Sustainable Development Goals
In September 2000, the international community gathered at the United Nations

Headquarters in New York to discuss how to tackle important global challenges by
2015. Such a meeting led to the establishment of the Millennium Goals, a set of eight
objectives that aimed at improving the global quality of life, ranging from reducing
extreme poverty to providing universal primary education. Unprecedented efforts
from civil society and governments were galvanized to meet that ambitious agenda.
Then, after 15 years, the Millennium Goals evolved into the Sustainable Develop-
ment Goals (UN 2015).
Around 193 countries gathered again at the United Nations HQ in September

2015, and the 2030 Agenda for Sustainable Development was implemented,
establishing the 17 Sustainable Development Goals (SDGs) that should be achieved
by 2030. The World Economic Forum defined the 2030 Agenda for Sustainable
Development as a global plan of action to promote economic development, envi-
ronmental sustainability, and social inclusion (World Economic Forum 2016).
The main purposes of the SDGs are to significantly reduce inequalities and
improve environmental conditions worldwide, benefiting all social groups, espe-
cially the most vulnerable ones. In fact, “Leave no one behind” is the central,
transformative promise of the 2030 Agenda for Sustainable Development
(UN 2019). The SDGs are especially relevant when one considers global crises,
pandemics, and exposition to hazards from great industrial projects, as the most
vulnerable social groups (low-income families, people with disabilities, etc.) are
exposed to more risks (UN 2020).
All SDGs are interconnected. For example, Cruz and Santos (2021) highlighted
how clean water and sanitation access (SDG 6) influence good health and wellbeing
(SDG 3), as contaminated water and poor sanitation lead to diseases such as diarrhea,
which causes 1.5 million child deaths each year. SDG 6 is an asset to decent work
conditions (SDG 8) and reduces inequalities (SDG 10). It is also a key component of
sustainable cities and communities (SDG 11), and it is directly related to life below
water (SDG 14) and balances life on land (SDG 15).
Furthermore, WEF (2016) demonstrated how the mining industry, specifically, is
directly connected to each and every SDG, due to its intrinsic characteristics. Mining
can drive innovation, provide opportunities for decent job generation, create infra-
structure, and bring investments to municipalities and countries through increased
fiscal revenues. But it can also increase conflicts due to population displacements,
environmental degradation, and land possession issues. But when mining operations
are managed properly, their benefits can surpass their negative impacts. The World
Economic Forum listed some examples of good practices that could be replicated in
the mining industry worldwide, to help achieve all 17 SDGs (WEF 2016). Acting
accordingly, mining companies strengthen trust in the business, so it can be consid-
ered an effective force for good that promotes thriving economies, good quality of
life, and a healthy environment for all (RMF 2020).
Mining Development in Parauapebas and Canaã dos Carajás

(Pará, Brazil)
Silva et al. (2014) explain that the huge potential for mineral and ore exploration in
the southeast of the Brazilian state of Pará was firstly discovered in the 1980s, around
the municipality of Marabá, in the region known as Carajás. Such discovery
encouraged the Federal and local governments to invest in the construction of
infrastructure to support the implementation of the industry in the region. Some
examples include the construction of roads, the Carajás railroad, and the Tucuruí
Dam. Despite attracting domestic and international capital, and paving the road for
144 J. T. L. Cruz
the development of the region, such projects caused several environmental impacts
and sociodemographic changes in their influence zone. Cabral et al. (2011) highlight
that migration was officially encouraged by the national government in order to
attract workers for construction, and farmers to produce crops to feed the growing
population.
Thus, Parauapebas was originally just a small farming settlement that belonged to
the municipality of Marabá. The peasant families worked together in settlements
donated by the government, focusing first on agriculture as their main activity to
meet the demands for food in the region. Deforestation through loggings and
burnings was very intense at the time, to generate space for cultivation. Naturally,
at some point, it led to soil exhaustion, as the peasant families did not have the
adequate techniques and technology to overcome such a situation and use the soil
efficiently. Then, agriculture was gradually replaced with livestock production, as
the families started planting grass to support cattle raising and earn their living
(Cabral et al. 2011).
It is important to note that there were also larger farms in the region, whose
owners had the financial resources to invest in the production. They contributed to
the intense increase in milk and meat production from cattle raising. However, the
small farmers could not keep pace with the competition against larger farms, as
livestock demanded less labor force, and the soil could no longer be used for crops
other than grass. Besides, the price of milk fluctuated often, and it reached such low
levels that small farmers could not depend upon it for a living and started to migrate
to urban areas of the municipality (Cabral et al. 2011).
Due to the intense migration of workers to the many development projects in the
area and the dynamization of the local economy, Parauapebas was finally founded as
a municipality in 1988, 3 years after the implementation of the Projeto Ferro Carajás
(Carajás Iron Ore Project) that explored iron ore in the region. Currently, local
mineral and ore production includes copper, manganese, bauxite, and others,
which are exported to countries such as Mexico, the USA, Canada, China, and
many others (Silva et al. 2014; SIMINERAL 2013).
In a similar fashion, Canaã dos Carajás was also an ordinary farming settlement
that grew steadily after the implementation of the first mining projects in the region.
It previously belonged to the newly founded municipality of Parauapebas, and it
became an independent municipality in 1994 (Cabral et al. 2011; Cruz et al. 2021).
Bandeira (2014) indicated that around 6200 people lived in the municipality during
its foundation, occupying approximately 582 km2. The first extraction project in the
municipality, the Sossego Project, was implemented in 2002 to explore copper and
intensified the local structural changes (Dos Santos 2002). Today, it hosts the largest
iron ore mine in the world, the S11D Iron Ore Mine (Duddu 2018).
Cruz et al. (2020, 2021) identified that, in 1999 and 2003, the sector of agriculture
and livestock had a share of 55% and 33%, respectively, in the GDP of Canaã dos
Carajás. On the other hand, the industry share went from 7% in 1999 to 38% in 2003.
Such a trend was intensified in the following years, as agriculture and livestock
decreased from 6% in 2004 to 1% in 2013. Within that timeframe, the share of
industry in the local GDP raised from 80% to 84%.
The economic changes had positive effects on some development indicators, such as
the FIRJAN Municipal Human Development Index (IFDH-M). This indicator is
somehow similar to the UN’s Human Development Index. It was created in Brazil by
the Industrial Federation of Rio de Janeiro in order to monitor the human, economic,
and social development of the Brazilian municipalities, based on official statistics whose
data are collected yearly (FIRJAN 2022). The performances of Parauapebas and Canaã
dos Carajás in the FIRJAN Index throughout the years indicate that education, health,
and the economy have improved in both municipalities (Tables 1 and 2).
The mining industry also promoted changes in the population growth, which
grew at a rate of around 9% from 13,035 inhabitants in 2004 to 33,632 inhabitants in
2015. Over the same period, the growth rates in Brazil, the state of Pará, and the
municipality of Parauapebas were, respectively: 1%, 1.6%, and 7.2% (IBGE). The
phenomenon of high annual growth rates for the population in small towns whose
economy is based on the exploration of natural resources has already been studied by
Jacquet and Kay (2014). They acknowledged that the rapid and intense migration
due to economic opportunities significantly harms the wellbeing of the residents,
calling this effect as boomtown impact.
Indeed, despite those apparent improvements in the indicators, Cabral et al.
(2011), Silva et al. (2014), Cruz et al. (2020, 2021), and Cruz (2021a) reported
that people’s satisfaction with the local quality of life is remarkably low. In fact,
Alkire et al. (2015) demonstrated that poverty is not limited to financial issues.
Rather, it involves other important social and even environmental aspects of life and
fairness in the distribution of the wealth. The Gini index measures income inequality,
varying from zero to one. The higher the index, the higher the income inequality. The
Gini index reduced from 0.63 in 2000 to 0.55 in 2010 in Canaã dos Carajás, and from
0.65 in 2000 to 0.53 in 2010 in Parauapebas (Atlas Brasil 2022). It demonstrates that
income inequality has reduced since the implementation of mining projects in the
region, but only slightly.
People’s satisfaction tends to be higher during the construction phase of mines,
when the work demands more labor force and there is plenty of job opportunities as
identified by Cruz et al. (2021) in a study conducted in Canaã dos Carajás in 2016.
More than 15,000 jobs were created during the construction phase of the newest
mine in Canaã dos Carajás. Nonetheless, in 2020, only 2,300 people were directly
employed during the operation phase of the aforementioned mine, due to the
reduction of simultaneous activities (Vale, 2016b). Consequently, people’s satisfac-
tion with the mining industry dropped sharply (Cruz 2021a).
Cabral et al. (2011), Silva et al. (2014), and Cruz et al. (2021) identified other
issues related to the boomtown impact and the mining industry in Parauapebas and
Canaã dos Carajás, such as the intensification of real estate speculation and the
multiplication of slums in urban areas. Such findings reveal that the mining industry
can, indeed, generate more income and improve development indicators in munic-
ipalities, but the benefits may not be fairly distributed among all social groups.
Therefore, it is clear that local governments play a key role in this context, as
important mediators between the positive and negative impacts from the industry,
and the needs and expectations of the local communities (UN 2019).
146
Table 1 FIRJAN Municipal Human Development Index in Canaã dos Carajás, in 2000 and 2016 (Pará, Brazil)
Ranking IFDH-M in Canaã dos Carajás IFDH-M, employment/
National ranking State ranking IFDH-M income IFDH-M, education IFDH-M, health
2000 2016 2000 2016 2000 2016 2000 2016 2000 2016 2000 2016
4408 2503 82 8 0.406 0.683 0.338 0.613 0.375 0.770 0.505 0.666
Adapted from (FIRJAN 2022)
J. T. L. Cruz
Table 2 FIRJAN Municipal Human Development Index in Parauapebas, in 2000 and 2016 (Pará, Brazil)
Ranking IFDH-M in Parauapebas IFDH-M, employment/
National ranking State ranking IFDH-M income IFDH-M, education IFDH-M, health
2000 2016 2000 2016 2000 2016 2000 2016 2000 2016 2000 2016
3161 1788 24 7 0.495 0.740 0.549 0.624 0.367 0.750 0.570 0.845
Adapted from (FIRJAN 2022)
Mining Industry and the Sustainable Development Goals in Brazil’s Amazon
147
148 J. T. L. Cruz
Mining Industry as a Tool to End Poverty and Establish Successful

Partnerships to Accomplish the SDGs
Goal 1 aims at ending poverty in all its forms everywhere. One of its targets relates to
eradicating extreme poverty, which is currently measured as people living on less
than $1.25 a day. Goal 17, on the other hand, aims at fostering partnerships at global,
regional, national, and local levels to effectively promote and achieve economic,
social, and environmental sustainability. Its specific targets involve capacity build-
ing, mobilizing financial resources, and transferring technology to developing coun-
tries, to help in the implementation of the SDGs (UN 2022). Besides, it also involves
strengthening ties between the industry and local governments through the adequate
payment of taxes and royalties, to foster public investments in key sectors for
development (RMF 2020).
In the context of the mineral exploration in Brazil’s Amazon, SDGs 1 and 17 are
connected. The population of developing regions is more dependent on assistance
from local government, as they usually lack basic infrastructure and the poverty level
is high. Likewise, the pressure on mining companies is more intense as well, because
the inhabitants demand from the business all the benefits and infrastructure that the
government fails to provide (Boutilier and Thomson 2018). Therefore, governments
and companies must work in tandem in order to adequately address people’s needs
and expectations and accomplish the reduction of poverty.
In fact, the implementation of mineral exploration projects in underdeveloped
regions changes dramatically the local economy and social life (Cabral et al. 2011).
It usually causes significant population growth due to the intense migration of people,
attracted by the generation of jobs and income opportunities (Silva et al. 2014; Cruz
et al. 2020, 2021). Cruz et al. (2020, 2021) and Cruz (2021a) identified a similar
pattern in Brazil’s Amazon, where the implementation of the first mining projects
attracted migrants from other parts of the country due to income opportunities, directly
and indirectly, related to the mining exploration. In turn, such intense migration and
the impacts from mineral and ore exploration caused issues that last until today (Cabral
et al. 2011; Silva et al. 2014; Cruz 2021a, b; Cruz et al. 2020, 2021).
Partnerships with Local Governments: The Use of Mining Taxes

to Promote (Sustainable) Development
Boutilier and Thomson (2018) commented on the main differences between developed
and developing nations regarding the exploration of mining resources. In developed
countries, the companies are pressed to commit to global agreements on the environ-
ment and climate change, to act accordingly to the national and international standards.
On the other hand, developing nations usually have poorer social and urban infra-
structure, and the local population tends not to trust their politicians. Thus, companies
are pressed to provide them what the government fails to provide: health facilities,
good quality education, development opportunities, and proper infrastructure.
So, it is very clear that strengthening ties with local governments and other stake-
holders is crucial to achieving the SDGs. The government should adequately manage
the dramatic and fast-paced changes that come with mineral and ore exploration in the
territory, in order to assure a transition as smooth as possible for the environment and
the population (UN 2019). In fact, the RMF (RMF 2020) produced a set of recom-
mendations and guidelines to help the mining industry effectively engage with each
SDG. SDGs 1 and 17 both share the same recommendation: strengthen the relation-
ship between mining companies and the government, publicly disclosing the payments
of taxes and royalties that could be invested into basic public goods.
Analyzing the current scenario in Canaã dos Carajás, Cruz (2021b) concluded that
merely diligently paying all the mandatory taxes and royalties is not enough – neither is
maintaining a good reputation for a mining company nor ensuring the wellbeing of the
population. It was found that the government must invest such resources properly,
according to the law and under sustainable principles. Otherwise, the population hardly
feels the benefits of the presence of mining operations in their territory, and their
dissatisfaction may harm the reputation of the companies. When people are displeased
with mining activities, conflicts usually arise and interrupt production, generating
financial losses for the business and social distress (Silva et al. 2014; Cruz 2021a).
In Brazil, the mining industry is subject to specific taxation based on their mineral
and ore production. Companies are entitled to pay the Financial Compensation for
Exploration of Mineral Resources (CFEM) to national, state, and municipal govern-
ments, to compensate for the temporary exploration of mineral resources in their
territory. The government should, in turn, invest in projects that promote wellbeing
for the population and diversify the local economy in the long term (Brasil 2017).
According to the Constitution of Brazil (1988), all municipalities, states, and the
federation must benefit from the exploration of mineral resources in their territories.
In order to ensure it, Law 7990/1989 created the Financial Compensation for
Exploration of Mineral Resources (CFEM), which is a tax that only mining compa-
nies are entitled to pay to the government entities in which they explore mineral and
ores. Even entities that are merely affected by mining activities must collect the
CFEM, in compensation for the inconveniences. Cruz (2021b) indicated that the
calculation bases, rates, and percentages of tax distribution, based on the gross
revenue of the production, were defined by Law 13540/2017. Each mineral sub-
stance is subject to a different tax rate (Table 3), and each federative entity collects
the tax under a specific percentage (Table 4).
Table 3 Mineral substances and their respective tax rate, according to Law 13540/2017 (Brasil
2017)
Tax rate (%) Mineral substance
1 Rocks, sands, gravels, ornamental rocks, mineral and thermal water
1.5 Gold
2 Diamonds and other mineral substances
3 Bauxite, manganese, niobium, and halite
3.5 Iron ore
Adapted from: Cruz (2021b)
150 J. T. L. Cruz
Table 4 CFEM distribution to federative entities, according to Law 13540/2017 (Brasil 2017)
CFEM
distribution Federative entities
10% Federation
15% States and federal district
60% Municipalities (where there is mining production)
15% Municipalities and federal district (directly or indirectly affected by mining
production)
Adapted from: Cruz (2021b)
Table 5 List of highest CFEM collecting municipalities in 2021

Five highest CFEM collectors in 2021
Parauapebas – Pará R$ 2,457,515,481.42
(US $ 492,746,279.64)
Canaã dos Carajás – Pará R$ 1,857,040,185.99
(US $ 372,347,458.12)
Conceição do Mato Dentro – Minas Gerais R$ 668,792,431.34
(US $ 134,096,808.30)
Congonhas – Minas Gerais R$ 569,516,002.51
(US $ 114,191,301.56)
Itabirito – Minas Gerais R$ 522,713,821.21
(US $ 104,807,189.48)
Adapted from (ANM 2022)
It should be noticed that the government is not free to use the collected tax at will.
The purpose of the CFEM is to reduce excessive economic dependence on the
mining industry in the long term; thus, Law 13540/2017 suggests that around 20%
of it should be invested in economic diversification, sustainability, and scientific and
technological development projects (Brasil 2017; Enríquez 2018). There are also
some legal restrictions regarding its use, according to article 8th of Law 7990/1989
and article 26 of Federal Decree 01/1991. It is strictly forbidden to use the CFEM in
payments directed to human resources, ordinary public expenses, and public admin-
istration debts (Brasil 1989, 1991).
Therefore, Cruz (2021b) acknowledged that the CFEM can be used as an
important tool to promote sustainability in municipalities directly and indirectly
affected by mining activities. After all, it is a temporary tax. When the mineral and
ore resources are extinguished, its collection shall end. The municipalities should
invest it properly to generate income even after the end of mining activities.
Parauapebas and Canaã dos Carajás were the top two highest CFEM collectors in
2021 (Table 5). Considering that the largest iron ore mine in the world has just
started operations in the municipality of Canaã dos Carajás, its CFEM collection
shall definitely increase in the upcoming years as it is expected to produce around
90 million metric tons of iron ore annually, reaching 230 million metric tons at the
peak of operation (Vale 2016b).
In 2019, the industry sector had a share of 74.2% and 81.1% of the GDP in
Parauapebas and Canaã dos Carajás, respectively. Regarding the annual municipal
budget of Parauapebas, the CFEM had a share of 40% in 2019, and 42.6%, in 2020.
In Canaã dos Carajás, it had a share of 60% and 64.3% in the annual municipal
budget (Fig. 1).
Thus, the heavy dependence of the aforementioned municipalities on the mining
industry is very clear, especially in Canaã dos Carajás, where it accounts for over
60% of the total income. Local governments should seize the opportunities to
enhance present and future sustainability by investing the large sums they collect
in economic diversification, education, technology, and infrastructure so the munic-
ipalities may prosper even in post-mining scenarios. Indeed, the IMF (2002) empha-
sizes that the governmental commitment to sustainability must extend to the treasury
because economic resources such as the CFEM are finite and need sustainable
management.
Nonetheless, previous studies have identified some problematic issues regarding
the governmental expenses using the CFEM in Parauapebas and Canaã dos Carajás
(INESC 2019; Cruz 2021b; Oliveira et al. 2021). In 2020, Cruz (2021b) conducted
in-person interviews with people from Canaã dos Carajás, to assess their perceptions
of the government administration of the CFEM.
A total of 200 people participated in the study, which included members of
different social groups: students, teachers, politicians, religious leaders, journalists,
members of NGOs and trade unions, public service, private sector, and industrial and
rural workers. According to the opinion of 67% of the participants, the government
was not transparent in the public disclosure of the collection and the investments of
CFEM share in the municipal income
Canaã dos Carajás
Parauapebas
0% 10% 20% 30% 40% 50% 60% 70%
2020 2019
Fig. 1 CFEM share in the annual municipal budgets of Parauapebas and Canaã dos Carajás (Pará,
Brazil) from 2019 to 2020. (Source: Created by the author, using data from Portal da Transparência
de Parauapebas (2021) and Portal da Transparência de Canaã dos Carajás (2021))
152 J. T. L. Cruz
the mining taxes, even though transparency regarding the CFEM resources is
mandatory, according to the 2nd article, § 13 of Law 13240/2017 (Cruz 2021b).
In fact, Canaã dos Carajás started collecting the CFEM in 2005, but Enríquez
(2018), Cruz et al. (2019), INESC (2019), and Cruz (2021b) point out that it was
only in 2018 that the municipal government started to publicly announce how
much it shall collect and invest using the CFEM. Before 2018, the CFEM could not
be tracked at all, because it was included among the general expenses of the
government (INESC 2019). In 2018, the CFEM descriptions were informed at
the Annual Municipal Budget Law. In the following years, it was described on the
Municipal Transparency website (INESC 2019; Angelo 2019; Cruz 2021b). It
explains why so many participants in the study did not trust the transparency of
the government at all, as for many years such important information was hidden
from the population.
It was also found that 68.5% of the respondents do not trust that the municipal
government adequately invests the CFEM it collects. The population felt that the
government could use such important economic resources more prudently (Cruz
2021b). In fact, studies by Enríquez (2018), Cruz et al. (2019), INESC (2019), Cruz
(2021b), and Oliveira et al. (2021) confirmed such assumptions, indicating that the
governments in Canaã dos Carajás and Parauapebas did not comply with the laws
that regulate governmental expenses using the CFEM. Moreover, their investments
were found to be not sustainable at all.
From 2018 to 2019, Cruz (2021b) revealed that the government expenses with
public administration in Canaã dos Carajás, using the CFEM, reached around 30%
of its collection (Fig. 2). Besides other irregular expenditures, such a share was used
in payments of the government’s amortized loans (Enríquez 2018; Cruz et al. 2019).
In 2020, such a figure increased to 38%, not complying with the 8th article of Law
7990/1989 and article 26 of Federal Decree 01/1991, which forbid using the CFEM
for ordinary public administration expenses (Brasil 1989).
The use of CFEM for government expenses with public administration was even
more prominent in Parauapebas, where 49% of the CFEM was spent on public
administration (Fig. 3). Curiously, Oliveira et al. (2021) indicated that R$
118,544.36 (around US$ 23,174.47) was used for expenses of the Mayor’s Official
Residence in Canaã dos Carajás. In Parauapebas, R$ 16,839,881.80 (around US$
329,231.98) was spent on the Mayor’s Office.
The Use of CFEM and SDG 4: Quality Education
Cruz (2021b) indicated that from 2018 to 2019, the government expenses with
education in the municipality of Canaã dos Carajás had received the smallest share
of investments from CFEM resources in 2018: a share of 2%, but then it increased to
13.11% in 2019 and remained 13.6% in 2020 (Cruz et al. 2017; Cruz 2021; Oliveira
et al. 2021). In Parauapebas, education had the second-largest share of the CFEM in
2020 (17.8%), which is still not enough considering the huge investments in public
administration.
CFEM investments in Canaã dos Carajás - 2020
Agriculture and
Livestock Others
1.60% 3.20%
Environmental
Management
0.20%
Public Administration
Social Assistance 38.30%
18.20%
Sanitation
2.50%
Urban Infrastructure
4.00%
Health
18.40% Education
13.60%
Public Administration Education Health

Urban Infrastructure Sanitation Social Assistance
Environmental Management Agriculture and Livestock Others
Fig. 2 Investment shares (%) of the CFEM in different economic sectors, in Canaã dos Carajás
(Pará, Brazil) in 2020. (Created by the author, using data from Portal da Transparência de Canaã dos
Carajás (2021))
Oliveira et al. (2021) highlighted that the investments in the sector were used to
maintain projects that were already running; thus, the municipal governments failed to
expand and improve education in the municipalities through new projects. Nonethe-
less, they highlighted the importance of one specific project that provides financial aid
to college students. This initiative contributes to the professional qualification of the
local students and financially supports them during their studying years.
This single project is in line with the recommendations by the RMF (2020)
regarding SDG 4 (quality education). The Responsible Mining Foundation and the
Columbia Center on Sustainable Investment encourage mining companies and local
governments to establish partnerships aimed at improving the quality of education in
the municipalities, by training and educating the workforce in technical and man-
agement skills at all levels and across all backgrounds.
One common complaint among the residents, as identified by Cruz (2021a), is
that despite all the training provided by educational institutions in the municipalities
154 J. T. L. Cruz
CFEM investments in Parauapebas - 2020

0,60%
Agriculture and 16,50%
Livestock Others
1,10%
Environmental
Management
3,00%
Social Assistance
Sanitation 49,10%
0,30% Public Administration
5,30%
Urban Infrastructure
6,30%
Health
17,80%
Education
Public Administration Education Health

Urban Infrastructure Sanitation Social Assistance
Environmental Management Agriculture and Livestock Others
Fig. 3 Investment shares (%) of the CFEM in different economic sectors, in Parauapebas (Pará,
Brazil) in 2020. (Created by the author, using data from Portal da Transparência de Parauapebas
(2021))
of Parauapebas and Canaã dos Carajás, the mining companies usually hired more
outsiders, to the detriment of local workers. Even though that is a common practice
in developing locations that host large mining projects, as local citizens tend not to
be qualified enough, even qualified local people are left behind. The RMF (2020)
strongly advises against such a practice because local inhabitants may hold grudges
against the companies. Then, it may exacerbate social conflict and local inequalities.
In the study that was conducted with 200 inhabitants in the municipality of Canaã
dos Carajás, Cruz (2021b) identified that despite the apparent lower share of CFEM
investments in the important sector of education, 49.5% of the respondents consid-
ered that the quality of education had, indeed, improved in the municipality due to
the use of CFEM. Around 21.5% of the respondents disagreed, revealing to believe
that the improvements in education were due to direct investments from the mining
companies, without the government as a mediator.
Cruz (2021b) also emphasized how education plays a crucial role in promoting
long-term economic growth. Besides leading to higher individual incomes, as IIASA
(2008) indicates, it also contributes to increasing nations’ capacities to create and
transfer knowledge, leading to new technologies, products, and services (Barro and
Lee 2010; World Economic Forum 2016; Grant 2017). For every US$ 1.00 a country
invests in education, around US$ 10.00 to US$ 15.00 returns in economic growth
(UNESCO 2012).
Nonetheless, Grant (2017) highlights that one should notice that it is not enough for
a country, region, or municipality to invest solely in education. It ought to join forces
between public and private sectors in order to promote economic diversification and
thus create more job opportunities. It is an essential strategy to provide better prospects
for a better-qualified workforce and even improve other economic sectors, as educa-
tion in all knowledge areas is the foundation of a developed society. The UNESCO
(2010) indicates that investments in good quality education have positive influences
on other important aspects of life, reducing child mortality, increasing birth control,
and also improving parenting and self-care as people become more empowered.
Even the RMF (2020) recommends investing in diverse and sustainable education
curricula that may provide professional opportunities beyond mining activities,
encouraging economic diversification in the municipalities. It opens up new oppor-
tunities that may be very beneficial for everyone involved, considering that minerals
and ores are limited resources that shall be depleted someday. The main purpose of
the CFEM is, after all, to financially compensate the municipalities for the explora-
tion of such resources. Investing in good quality education is a key strategy that
municipal governments should use to improve social and economic prospects in
Parauapebas, Canaã dos Carajás, and all cities directly and indirectly affected by
mining operations (RMF 2020; Oliveira et al. 2020; Cruz et al. 2019, 2021).
The Use of CFEM and SDGs 3, 6, and 9: Health; Clean Water;

and Industry, Innovation, and Infrastructure
SDG 9 aims at building resilient infrastructure, promoting inclusive and sustainable

industrialization, and fostering innovation (UN 2022)). In the context of Para-
uapebas and Canaã dos Carajás, it is directly related to promoting sustainable
development and long-term prosperity for the local population through economic
diversification and improvements in urban infrastructure.
Most people, however, resented that the companies apparently dedicate their best
efforts in infrastructure construction for selfish purposes. The average citizens that
participated in Cruz’s (2021b) study felt that the mining companies segregated their
workers from the rest of the population in Canaã dos Carajás. When the data
collection took place (February 2020), the local main mining company had just
constructed a whole new district in town that had good infrastructure, plenty of
services, commerce, and a very good school. However, only mining workers and
their families were allowed to live there, to the dismay of the rest of the inhabitants.
Regarding the financial approach to the government of the CFEM in urban
infrastructure in Canaã dos Carajás, the investments went from 39% in 2018 to
30.10% in 2019. In fact, the municipality really needed infrastructure to assure a
proper and timely distribution of the production for mining logistics. Thus, it focused
mainly on asphalt roads, pavements, and constructions. Nonetheless, it sharply
reduced in 2020–4% in Canaã dos Carajás and a level of 5.3% in Parauapebas.
156 J. T. L. Cruz
Oliveira et al. (2021) highlight that most of that small share in Parauapebas was
directed to the maintenance of the governmental department of urban services, not to
implementing new infrastructure. On the other hand, in Canaã dos Carajás that share
was directed to repair, construct, and pave roads in the municipality. Cruz (2021b)
pointed out that the current infrastructure in Canaã dos Carajás is still very poor, even
after some years of mineral exploration. Therefore, the municipality really needs to
focus on SDG 9, because basic infrastructure directly and indirectly influences other
important aspects of a decent life.
A good infrastructure is essential to attract new investments and industries to the
municipalities, encouraging economic diversification. It also contributes to the
logistics of mining and other industries, to transport raw materials and goods.
Besides, it is directly related to the quality of life and health, as it involves important
matters such as housing, sanitation, and clean water access. Thus, its connection with
SDGs 3 and 6 is undeniable (UN 2022).
SDG 3 aims at ensuring healthy lives and promoting wellbeing for all at all ages.
Naturally, it requires constructing hospitals, investing in good quality medical
schools, and even improving sanitation and assuring clean water access to all,
because waterborne diseases are serious threats, especially for very young people
and seniors. Indeed, SDG 6 encourages countries to assure the availability and
sustainable management of water and sanitation for all.
In an important intersection with SDG 5, which aims at achieving gender equality
and empowering all women and girls, the UN (2019) emphasizes that access to clean
water and sanitation is of ultimate importance in the lives of millions of women and
girls, to properly manage issues related to menstruation and maternity chores.
Besides, water is a critical component of food production and healthy ecosystems,
being also paramount for human survival, consumption, and hygiene routines.
Unfortunately, the JMP (2020) estimates that approximately 40% of healthcare
facilities worldwide are deprived of soap, hand sanitizers, and basic water services.
In around 50% of the schools in the world, students do not have access to water and
soap. The UN (2020) estimates that at least 2.4 billion people worldwide are
deprived of basic sanitation facilities at home, and around 1.8 billion people drink
water exposed to fecal contamination, as 892 million people have no option but to
practice open defecation, polluting local water sources. Without tackling SDG
6 (clean water), it is impossible to achieve SDG 3 (good health and wellbeing) due
to the transmission of waterborne infectious diseases.
Cruz and Santos (2021) related the current situation of Brazil regarding SDGs
3 and 6 to the SARS-CoV-2 pandemic, concluding that the Brazilian Amazon region
was, indeed, the most vulnerable in the country due to the current lack of access to
clean water and sanitation by most of its residents. Consequently, it contributed to
intensifying the spread of the pandemic among its inhabitants.
Thus, it is clear how crucial health and clean water access are in the lives of every
human being. Unfortunately, both are very problematic matters in Brazil. Official
national data indicates that more than 33 million people do not have access to clean
water, and more than 94 million citizens are deprived of adequate sewer systems at
home. The northern region of Brazil, where the municipalities of Parauapebas and
Canaã dos Carajás are located, is the most vulnerable one when it comes to clean
water access and sanitation. Around 43% of the residents do not have access to clean
water, and only a small portion of 10.5% of total inhabitants in the region have
proper sewer systems, concentrating mainly on urban centers (Brasil 2019).
An analysis of the 2010 census indicates that the population in Canaã dos Carajás
faces even worse conditions than in Parauapebas. Around 11.6% of the residences in
Canaã dos Carajás had access to sanitation conditions that were considered adequate,
whereas 75.2% of them were mildly adequate; and 13.2% were classified as inadequate.
Although the figures were slightly better, the conditions in Parauapebas were still poor.
Just 38.5% of the residences had adequate sanitary conditions, 58.7% were classified as
mildly adequate, and 2.8% were considered to be inadequate (IBGE 2010).
Recent data that is publicly available online reveals that just 2.77% of the homes
in the municipality of Canaã dos Carajás have access to sewer systems, while
rudimentary septic systems are present in 91.93% of the homes, and open sewers
are present in 5.30%. In Parauapebas, proper sewer systems are present in the homes
of 14.78% of the families in the municipality, whereas 82.51% of them have access
to rudimentary septic systems. On the other hand, 2.69% of the families use open
sewers (DATASUS 2015).
However, Cruz (2021b) demonstrated that in Canaã dos Carajás, investments in
that area reduced sharply from 14% in 2018 to 4.61% in 2019. It reduced even more in
2020, reaching just 2.5% of the CFEM. In Parauapebas, the situation is even more
alarming. Oliveira et al. (2021) revealed that only 0.3% of the CFEM was invested in
sanitation in 2020. In contrast, health was the second-largest recipient of the CFEM
investments in Canaã dos Carajás in 2020, with a share of 18.4%. In Parauapebas, it
was a smaller share of 6.3%. Oliveira et al. (2021) indicated that a significant portion
of the investments in health was used for contingency care due to the COVID-19
pandemic that took the lives of thousands of citizens and demanded immediate action.
The UN indicated that for every US$ 1.00 that is invested to improve sanitation,
around US$ 9.00 is generated in return especially in less developed regions which
shall benefit the most. Therefore, more investments in that sector would make a huge
difference in the lives of the inhabitants and even contribute to reducing mortality
rates due to waterborne diseases and other infections. Indeed, the health of the
population and their access to clean water are also directly related to environmental
impacts caused by the mining industry, which have been largely described in the
literature.
Mining Influences on Climate Change and Environmental

Impacts: SDGs 13 (Climate Action), 14 (Life Below Water),
and 15 (Life on Land)
National awareness of the harmful effects of mining on the environment led the
Legislative Assembly of El Salvador to pass a law completely banning metal mining
from the country in March 2017. Both left and right parties voted unanimously,
representing a historic landmark in which commercial interests were overtaken by
158 J. T. L. Cruz
concrete concerns about environmental impacts. This measure is the result of a long
process, based on scientific studies and on the social perception of climate change
already experienced by the population of El Salvador (The Guardian 2017; The
New York Times 2017).
In fact, previous research demonstrates that, in addition to being a crucial cause of
conflict (Mancini and Sala 2018; Cruz et al. 2021; Cruz 2021a) the mining industry
has significant negative impacts on the environment, on the future prospects of
climate change, and even on social welfare (Odell et al. 2018). Environmental
studies have already indicated that vulnerability to water scarcity tends to increase
in some developing countries due to its intense use by the mining industry (Moran
2005; TAU 2011; Broad and Cavanagh 2015; Bebbington et al. 2015).
However, Odell et al. (2018) indicate that there are still few studies which
specifically address the relationship between mining and climate change. Thus,
they carried out a literature review focused in studies published in English. They
have found that most of the published research focused on Australia and Canada,
countries that have been traditionally associated with mining. Indeed, environmental
concerns are significant in both countries, as intense temperatures and water scarcity
are very significant in Australia, whereas in Canada, there is great concern about
melting glaciers and permafrost. It was also identified that the literature review did
not find studies that investigated the matter in countries outside the Organisation for
Economic Co-operation and Development (OECD) and the BRICS, even though
none of them addressed Brazil despite the significant importance of mining in the
Brazilian economy and its impacts on the local natural resources, especially in the
Amazon region (Silva et al. 2014; Cruz et al. 2021; Cruz 2021a).
Academic (Mudd 2010) and industrial (ICMM 2009, 2012) studies alike have
shown that the mineral exploration in locations where the iron grades are declining
requires more resources such as energy and water, intensifying the environmental
degradation and pollution. Indeed, estimates by ICMM (2012) suggest that 2% of
global greenhouse gas emissions derive from the mining industry. Irarrázabal (2006)
demonstrated that the emission of greenhouse gases in mineral exploration can either
happen directly, through the CO2 released by trucks that carry raw materials in a
mine, or indirectly, through mines powered by coal plants, for example.
Negative influences of mining on water resources, mostly due to pollution, were
deeply discussed by Rayne et al. (2009), Singh et al. (2010), Anawar (2013), Foulds
et al. (2014), and Phillips (2016). It has been demonstrated that floods and leaks can
carry contaminants from the machinery to surrounding river basins, harming the
balance of the ecosystem and also human health. Likewise, the literature also
assesses the phenomenon of acid mine drainage (AMD), which leads to soil and
water contamination due to the oxidation of metal sulfides through contact with
water. This process has severe consequences for human health and aquatic and
terrestrial ecosystems.
González-Alcaraz et al. (2015) and Barmentlo et al. (2017) focused their studies
on soil erosion and contamination, and soil fertility decline, due to the impacts of
the mining activities. The researchers found that the toxicity of tailings from
mineral exploration altered the temperature, pH, and humidity of the soils,
significantly modifying the life cycle of annelids such as Enchytraeus crypticus.

The annelids are important ecotoxicological models that play a crucial role in
maintaining soil quality. Hancock et al. (2017) reiterate that the impacts of mining
on the soil can go beyond erosion, even after mine closures. Usually, plans for mine
closure do not take into account the impacts of climate change and its repercus-
sions on soil erosion.
Ford et al. (2010, 2011), Pearce et al. (2011), and Phillips (2016) demonstrated
that climate change can also harm industrial productivity itself, as mining ventures
are designed for long-term exploration, under stable weather conditions. However,
changes in hydrological and geological cycles increase the vulnerability of this
industry. For instance, rising sea levels can flood coastal operations, and water
scarcity in some regions can further exacerbate conflicts with local stakeholders,
who share the same water sources used in mining ventures. Bebbington et al. (2015)
also point out that the higher frequency of storms as a result of climate change would
exacerbate the risk of dam failures and other industrial structures, generating catas-
trophes similar to those that occurred in Mariana and Brumadinho, in the Brazilian
state of Minas Gerais in 2015 and 2019, respectively (Demajorovic et al. 2019; BBC
2020).
It should be noticed that very few studies on mining and climate change address
their social repercussions, which can be quite severe (Odell et al. 2018). Edwards
(2014) discusses an extreme case, in which a disaster at a phosphate mine on Banaba
Island in the South Pacific made the island uninhabitable. As a result, 450 local
residents had to be compulsorily relocated to Rabi Island, Fiji, in 1945. Considering
that mining is still quite significant in many Pacific islands, this case cannot be
considered an isolated episode.
In a study conducted with rural workers from seven communities in the depart-
ment of Apurímac, in Peru, the social repercussions of environmental impacts from
the mining industry were deeply analyzed by Odell et al. (2018). Rural residents
were interviewed regarding their perceptions of mining impacts on local lifestyles.
The participants declared they were aware that climate change, over the years, was
harming their abilities to harvest different native potato varieties, which were an
important source of local livelihood. They perceived that those changes were related
to the activities at the nearby Las Bambas mine, one of the largest copper producers
in the world. In addition, they also attributed the mine as the main cause for the
strong inflation that devastated the region and increased the wage labor, making it
more expensive to hire more workers to help in the harvest.
Therefore, one can notice the dual vulnerability of certain groups, environmen-
tally and economically – most notably, the rural population, due to their geographical
proximity to mines and dams and heavy dependence on land use for their subsistence
and generation of family income. The taxes and royalties collected should be
invested in infrastructure and strategies for adapting to environmental impacts.
The fiscal governance should be improved, and economic diversification should be
encouraged and promoted in order to mitigate the current and future economic
impacts of the mining activity. Otherwise, Odel et al. (2018) indicate that mining
can become a factor that aggravates vulnerabilities.
160 J. T. L. Cruz
Mining Industry, Environmental Impacts, and Social Conflicts

in Brazil’s Amazon
Although Parauapebas and Canaã dos Carajás are the most prominent municipalities
in the southeast of the state of Pará due to their impressive mining production, there
are three other municipalities in the region whose economies are also heavily based
on the exploration of mineral and ores: Curionópolis, Tucumã, and Ourilândia do
Norte. These municipalities host the largest and most relevant mining ventures in the
north of Brazil, which explore manganese, copper, iron ore, gold, and nickel, among
others, over 40,000 km2 (Palheta et al. 2017; Matlaba et al. 2018).
The territory of the municipality of Curionópolis suffered intense migration at the
end of the 1970s, motivated by the implementation of the Carajás Iron Ore Program
(PFC) and the construction of the Carajás Railroad (EFC). The location also hosted
the workers and their families, similarly to Canaã dos Carajás and Parauapebas
(Cabral et al. 2011). Curionópolis was officially founded as a municipality in 1988,
after emancipation from Marabá (IBGE).
The Serra Leste Project explores iron ore in the municipality. Its construction
started in 2006, and in 2014 it started operating (Vale, 2016a). But still in 2014, the
company Serra Pelada Companhia de Desenvolvimento Mineral (SPCDM), which
operated the mine, was dissolved and investigated for evasion and smuggling of gold
and embezzlement (Begonha 2014; Rocha 2018). The mine soon resumed operations,
but in June 2019, mine workers blocked the PA-275 highway for 6 months. The
protesters demanded the conduction of deeper ecological analyses of the impacts of the
activities and the emission of new environmental permits (G1 PA 2019a).
Despite the large share of the mining industry in the local economy, the primary sector
is still quite relevant in generating jobs and income. The main temporary agricultural
items produced in the municipality are Brazil nuts, pineapple, cassava, and corn.
Permanent agriculture produces bananas, coconuts, passion fruits, guavas, cajás, and
avocados. Livestock includes cattle, horses, and poultry. Agro-industrial processing
focuses on cow’s milk, eggs, bee honey, guavas, and cashew pulps (FAPESPA 2016).
The occupation of the municipality of Tucumã began at the end of the 1970s,
through the incentive of the federal government to occupy large empty locations in the
region with settlements of migrants coming from the south of Brazil. However, with
the discovery of gold in the region of Serra Pelada, there was a great disordered
migration to the region. In 1989, Tucumã became an independent municipality, after
emancipation from the municipality of São Félix do Xingu (IBGE). In 2006, the Onça
Puma Project was implemented to explore iron-nickel, and in 2011 it began operations.
Currently, it is one of the largest iron-nickel mines in the world. Besides Tucumã,
where the Guepardo mine is located, the Onça Puma Project is also under the influence
of the municipalities of Ourilândia do Norte and Parauapebas (VALE 2015).
At first, similarly to the municipality of Tucumã, Ourilândia do Norte was part of
the municipality of São Félix do Xingu. It was implemented in 1983, to be occupied
by mining employees and other workers from different developing projects. Its
emancipation took place in 1988 (IBGE). Recently, the municipalities of Tucumã
and Ourilândia do Norte have hosted intense and frequent conflicts involving local
indigenous populations, namely, the Xikrins and Kayapós. The indigenous commu-
nities complain about health issues such as fetal malformation and serious diseases,
which they relate to the pollution of the Cateté River due to 14 mining projects in the
region. In 2016, the Brazilian Court ordered the main mining company operating in
the region, Vale S.A., to pay R$3 million monthly to the Xikrin indigenous com-
munity in reparation for the environmental and health impacts caused by the Onça
Puma Project (G1 PA 2016a).
The Onça Puma Project is a very controversial venture. From 2016 to 2018, rural
workers and other residents of Tucumã and Ourilândia do Pará blocked the road
access to the mine. The protesters were very dissatisfied because the companies hired
mostly people from other cities, and local families forced to relocate were not being
paid enough (G1 PA 2016b, 2017, 2018a). However, in 2017, a judicial decision had
determined the suspension of the activities of the Onça Puma Project. Nonetheless,
local residents protested against the Brazilian Court, asking for the return of the
activities, because of the jobs it created (G1 PA 2017).
Indeed, another judicial suspension of the Onça Puma Project in March 2019, due
to negative impacts on indigenous lands, had negative economic outputs on the
region (G1 PA 2019b). Around 250 employees were dismissed and the closure of a
school and two health facilities was imminent. The interruption of mine activities
leads to a loss of R$ 2 million collected monthly by the municipal government of
Ourilândia, which makes it impossible to maintain the jobs of public servants and
other important services (G1 PA 2019c).
It is important to highlight that artisanal and illegal gold mining are also extremely
harmful to the economy of the municipalities and the quality of life of the indigenous
population. Its undeniable negative environmental impacts contribute to keeping its
status as an illegal activity (Souza 2017). Likewise, cases of clandestine extraction of
manganese are currently under investigation in that region (G1 PA 2018b).
The wide use of mercury to promote the extraction of gold by illegal miners has
heavily contaminated the waters of the Branco and Xingú rivers, which are used by
indigenous, rural, and urban communities alike. Furthermore, the illegal extraction
of gold contributes to intensifying the process of deforestation. Indeed, the Brazilian
Federal Police estimates that an area equivalent to 4682 soccer fields of native forest
has already been devastated due to illegal gold mining in this region (G1 PA 2018c).
Parauapebas and Canaã dos Carajás (Pará, Brazil): Social Perceptions

Regarding Environmental Impacts and Climate Change
Considering that Parauapebas and Canaã dos Carajás are the top two mineral pro-
ducers in Brazil, inevitably most studies focus on those two municipalities. Cruz and
Pinto (2022) conducted further studies in such locations and assessed the population’s
perceptions of the environmental impacts they experience daily. The study focused on
the rural communities, which Silva et al. (2014), Hoelscher and Rustad (2019), and
Cruz et al. (2021) considered being among the most vulnerable social groups.
In fact, the benefits of mining in infrastructure tend to concentrate in the urban
regions, for logistic reasons to transport materials and goods. On the other hand, the
162 J. T. L. Cruz
negative environmental impacts concentrate in rural areas (Hoelscher and Rustad

2019). Cruz (2021a) also concluded that the rural population feels isolated and
depreciated, as they are not heard. Mining companies’ contacts with communities
are limited to the urban residents, communicating with just a few community leaders
in the rural zones. Therefore, most of the rural population feels that protests and
conflicts are their only tools to be seen and heard.
Cruz and Pinto (2022) interviewed 120 rural workers. Sixty of them lived in
2 rural communities in Parauapebas (Palmares I and II), and 60 of them lived in
3 rural communities in Canaã dos Carajás (Serra do Rabo, Vila Bom Jesus e Vila
Planalto), where violent conflicts against the mining companies usually occur
(Cabral et al. 2011; Cruz 2021a). The participants were asked about their perceptions
of the environmental impacts they experienced, to check whether they related it to
the mining activities or not (Fig. 4).
Environmental impacts of the mining industry

53.3%
68.3%
Totally agree
54.2%
61.7%
28.3%
12.5%
Agree
11.7%
28.3%
10.0%
15.8%
Neutral
27.5%
4.2%
6.7%
1.7%
Disagree
5.8%
0.8%
1.7%
1.7%
Totally disagree
0.8%
5.0%
Mining intensifies climate change
Mining industry harms the quality of the air (pollution, dust emissions etc)
Mining industry contributes to deforestation and harms the soil quality
Mining industry harms the local water resources
Fig. 4 Social perceptions of some aspects regarding the environmental impacts of the mining
industry in Parauapebas and Canaã dos Carajás (Pará, Brazil). (Source: Adapted from Cruz and
Pinto (2022))
Cruz and Pinto (2022) found that the rural communities strongly associated the
environmental impacts they experienced with the mining activities in the region,
especially regarding the water resources. Around 90% of respondents feel that
mining activities in the region harm the local groundwater and rivers. In fact, Silva
et al. (2017) identified that the rivers in the Carajás region are especially vulnerable
to mining and its rejects, due to large-scale ventures, and illegal and artisanal mining
by small producers. Indeed, Cruz (2021a) identified reports of contamination of
water courses by mining tailings in rural communities in Parauapebas.
The findings also confirm that the rural communities associate mining to air
pollution, as 80.8% of the respondents agreed that the industry had somehow
worsened the air conditions in the region. Cabral et al. (2011), Silva et al. (2014),
Cruz et al. (2021), and Cruz (2021a) had already reported that dust emissions bother
many people in Parauapebas and Canaã dos Carajás, affecting their homes and
public spaces. However, more than an aesthetic and hygiene issue, the constant
dust from the mining production and logistic processes can also cause harm to the
respiratory system and cause serious health damages (Cabral et al. 2011). Thus, the
findings are coherent with the existing literature. As a matter of fact, Cruz and Pinto
(2022) reported that many older residents spontaneously declared that, before the
implementation of mining activities in the region, there was not so much dust
everywhere, and the air was more pleasant to breathe.
Around 66% of the participants considered that mineral exploration had
expanded deforestation and negatively affected the soil quality in town. This result
is also consistent with the reviewed literature, which demonstrated that, in fact,
mineral exploration can harm soil fertility and productivity (Gonzalez Alcaraz et al.
2015). But in Parauapebas and Canaã dos Carajás, some forest protection units are
maintained by the large mining companies in the region. They explore and deforest
some areas but keep the forest standing in specific sectors of the territory (Cruz et al.
2021). However, the negative effects on the quality and fertility of the soil for
planting were not disregarded by the respondents.
Other effects, such as changes in rainfall frequency and average temperature,
were spontaneously cited by respondents when asked about the influence of mining
on climate change. Although such effects can be attributed to many other socio-
environmental factors, 81.6% of the participants did consider that mining contributes
to this process.
The literature review did demonstrate that this perception is, in fact, coherent.
Although rural workers may not have technical or scientific knowledge on this
specific topic, they live in greater contact with the land and its natural resources.
Therefore, they understand tacitly the nuances and changes in the biostructure in
which they are inserted. Leff (2009), Batterham (2016), and Suopajarvi et al. (2016)
consider the environment as an essential component in industrial sustainability
analyses, because of the strong relationship of the local population with the territory
and its natural resources. Communities that depend on these resources for their
livelihood are heavily impacted by any environmental change as a direct or indirect
result of mineral exploration.
164 J. T. L. Cruz
Cruz and Pinto’s (2022) study demonstrated quantitatively what most studies
demonstrate qualitatively. It measured how the rural communities feel the impacts
and how they perceive the mining industry. Considering that no similar studies were
conducted in this specific region, Cruz and Pinto’s (2022) study constitutes an
important baseline that encourages future research to compare the evolution of social
perceptions about the impacts of mining over time.
People need to be seen and heard, especially when their livelihoods are under
threat. The study can support public policies and business strategies for sustainabil-
ity and public relations, as they reveal exactly the desires and concerns of the rural
population of Parauapebas and Canaã dos Carajás, guiding decision-makers to
improve the local quality of life effectively and efficiently.
Conclusion
Achieving the SDGs is no ordinary task. Aware of such a fact, the UN urged the
commitment of countries, businesses, and civil society to end poverty and improve
the quality of life for everyone, leaving no one behind. Nonetheless, some countries
and regions pose more challenges to achieving the SDGs than others, due to their
peculiar characteristics. The Brazilian Amazon region, for instance, is pivotal to the
world because it is a global biodiversity hotspot. Nonetheless, the quality of life of its
inhabitants needs several improvements, especially in the rural and indigenous
communities.
The exploration of its rich reserves of natural resources, such as minerals and
ores, can generate long-term prosperity as long as they are explored in a sustainable
manner. Therefore, the importance of achieving the SDGs in the Amazon region is
very clear. The present research aimed at analyzing the relationship between the
mining industry and some SDGs in the Brazilian Amazon region, especially in the
municipalities of Parauapebas and Canaã dos Carajás, in the state of Pará.
It was found that the mining industry generates a very significant amount of
income for the municipalities where its operations take place. Besides job genera-
tion, it is mandatory for mining companies to pay taxes that compensate municipal-
ities for the inconveniences of the activities. If local governments used such taxes
properly, almost every single SDG could be achieved at least in their municipalities.
Nonetheless, the studies reviewed in this study revealed that it is not the case neither
in Parauapebas nor in Canaã dos Carajás.
The municipal governments disobey the Brazilian legislation and use the CFEM
to pay ordinary governmental expenses, whereas essential sectors such as education,
health, and science and technology receive very small shares of investment. It is
necessary to change such paradigms, in order to use such a financial resource
strategically. After all, the CFEM shall no longer be collected once the mineral
resources are depleted, within some years.
Considering that developing countries need more support to build infrastructure
and improve the population’s quality of life, businesses and governments must
establish strategic partnerships to deliver better results. The companies and the
civil society should monitor more closely the government expenses using taxes from
the mining industry, and the government should monitor the mining companies, to
hold them accountable for their environmental impacts, which negatively affect the
livelihoods of thousands of people.
The present study highlights that the SDGs do not represent an additional set of
rules and requirements for mineral exploration. Rather, they constitute an important
international framework through which mining companies and the government can
guide their actions to be environmentally sustainable, economically responsible, and
socially sensitive. Civil society must learn about the SDGs, to learn how to engage
with them to build a better present and a brighter future for everyone.
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Reverse Logistics for Post-Consumer Waste
in Brazil: SDGs 11 and 12 for 2030
Antonio Erlindo Braga Jr, Rayra Brandão, and

Vitor William Batista Martins
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172
Reverse Logistics for Post-Consumer Waste in Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174
Reverse Logistics Practices for Post-Consumer Waste in Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . 176
Barriers for Reverse Logistics for Post-Consumer Waste in Brazil . . . . . . . . . . . . . . . . . . . . . . . . 177
Unpacking the Challenges for Reverse Logistics for Post-Consumer Waste in Brazil . . . . . . . . 181
Regulatory Political Barrier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
Technological Barrier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
Social Barrier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
Economic Barrier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
Operational Barrier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
Summary of Suggestions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
Abstract
The United Nations Sustainable Development Goals highlight the importance of
solid waste management, emphasizing the priorities of reduction, reuse, and
recycling, as well as the development of environmentally adequate alternatives
for final disposal. This chapter aims to discuss the most recent advances and
challenges of reverse logistics for post-consumer waste in Brazil to comply with
A. E. Braga Jr (*)
Department of Design, State University of Pará, Belem, Brazil
e-mail: erlindo@uepa.br
R. Brandão
Business School, Federal Rural University of the Amazon, Tome-Acu, Brazil
e-mail: rayra.brandao@ufra.edu.br
V. W. B. Martins
Department Production Engineering, State University of Pará, Belem, Brazil
e-mail: vitor.martins@uepa.br

https://doi.org/10.1007/978-3-031-16017-2_71
172 A. E. Braga Jr et al.
the Brazilian Solid Waste Policy and the United Nations Sustainable Develop-
ment Goals 11 and 12. Initially, a review of the scientific literature of reverse
logistics for post-consumer waste practices in Brazil, from 2016 to 2021, will be
performed, related to the SDGs. The practices will need to satisfy both the
Brazilian Solid Waste Policy and the Sustainable Development Goals 11 and
12. Barriers that prevent compliance with both the Brazilian Solid Waste Policy
and the Sustainable Development Goals 11 and 12 will also be identified. This
chapter presents the most recent advances made in Brazil regarding the challenges
that still exist for the reverse logistics for post-consumer waste and that contribute
to the achievement of the Sustainable Development Goals 11 and 12.
Keywords
Reverse logistics · Post-consumer waste · Brazil · Sustainable development ·
Sustainable Development Goals
Introduction
Nowadays, when scaling the business environment, it is necessary to meet and

operate under the growing pressure of customer and society requirements for the
provision of services and the manufacture of products that increasingly meet sus-
tainability guidelines (Martins et al. 2019, 2020a). Companies that have adapted to
these new requirements guarantee not only economic competitive advantages but
also environmental and social differentials (Martins et al. 2019; Rampasso et al.
2021a). In this sense, it is worth highlighting the concept defined by Elkington
(1997), which is still widely used, establishes that sustainable development is based
on economic, environmental, and social sustainability. However, the literature high-
lights the challenges in balancing such dimensions within a given organization
(Olawumi and Chan 2018; Rampasso et al. 2021b).
Given the importance of sustainable development around the world, in 2015, the
United Nations (UN) prepared and proposed the 2030 Agenda in which it defines
goals and objectives to enhance sustainable development, where people, the planet,
prosperity, peace, and partnership form the key areas to focus on in the scope of
17 Sustainable Development Goals (SDGs) proposed to guide society toward a
world that meets the guidelines of sustainability (UN 2015; Villavicencio Calzadilla
and Mauger 2018; Rampasso et al. 2021b). Specifically, this chapter addresses SDGs
11 and 12 which refer to “Sustainable Cities and Communities” and “Responsible
Consumption and Production.” These goals aim at making cities and human settle-
ments inclusive, safe, resilient, and sustainable and also to ensure sustainable
patterns of production and consumption (UN 2015).
In order to achieve the SDGs 11 and 12, reverse logistics plays a crucial role. The
definition by Rogers and Tibben-Lembke (1999) is still widely used: “The process of
planning, implementing, and controlling the efficient, cost-effective flow of raw
materials, in-process inventory, finished goods and related information from the
Reverse Logistics for Post-Consumer Waste in Brazil: SDGs 11 and 12 for 2030 173
point of consumption to the point of origin to recapture value or proper disposal.” In

other words, the connection between the return items in the chain and the possible
value recovery activities, as well as the wastes’ final disposal, is done by reverse
logistics process. As a result of those value recovery activities (reuse, recycling,
remanufacturing, etc.), more and more return items (after-sales or post-consumption)
are not going to landfills or incinerators. This extends the life cycle of those items,
reduces the quantity of material destined for final disposal, and increases landfill life.
Reverse logistics, therefore, contributes to the search for sustainability within the
industry of consumer products, which has been based in part on reducing waste
generation and improving the efficiency of using existing resources (Melo et al.
2021, 2022). Therefore, reverse logistics can significantly contribute to the achieve-
ment of SDGs 11 and 12 targets, especially those outlined below:
• Target 11.6 – “By 2030, reduce the adverse per capita environmental impact of
cities, including by paying special attention to air quality and municipal and other
waste management.”
• Target 12.1 – “Implement the 10-Year Framework of Programmes on Sustainable
Consumption and Production Patterns, all countries taking action, with developed
countries taking the lead, taking into account the development and capabilities of
developing countries.”
• Target 12.5 – “By 2030, substantially reduce waste generation through preven-
tion, reduction, recycling and reuse.”
• Target 12.6 – “Encourage companies, especially large and transnational compa-
nies, to adopt sustainable practices and to integrate sustainability information into
their reporting cycle.”
The rise of average income in emerging economies such as those of Latin

America has provoked an increase in waste generation increased over the last
decades. As a result, several plastic recycling industries exist in different countries
(e.g., Mexico, Brazil, Peru, and Honduras) aimed mainly at food-grade PET pro-
duction. Those companies usually receive sorted materials directly from other
industries or from intermediates that work with local waste pickers. Kerbside
collection of domestic waste remains a weak point for most cities and regions.
Furthermore, even if a municipal collection strategy exists, mixed domestic waste
is usually sent to landfills (controlled or uncontrolled) (Horodytska et al. 2019).
Considering this scenario, it is important to analyze the panorama of actions that
Brazil has been developing to ensure the achievement of such goals. This chapter is
focused on the challenges of reverse logistics activities for post-consumer waste
since it is a developing economy and still has many actions to be taken to ensure the
achievement of objectives in this context. Analyzing the Brazilian context, Martins
et al. (2020b) highlight that most organizations from different productive sectors in
Brazil are still characterized as underdeveloped in terms of activities toward sus-
tainable development. Cazeri et al. (2018) highlight that Brazilian companies, in
general, do not adequately integrate sustainable practices into their management
systems, and little attention is given to the planning of sustainability practices.
In Brazil, in particular, reverse logistics (RL) for post-consumer waste rates are
far below their potential. The National Health Information System (SNIS 2019)
points out that only 1.65% of urban solid waste collected in 2017 was recovered
through reverse logistics activities. The National Solid Waste Policy (NSWP), in
force in Brazil since 2010, establishes that all recyclable solid waste should be
recovered and only nonrecyclable solid waste can be disposed of in landfills
(PNRS 2010). In addition, the NSWP established the principle of shared responsi-
bility in waste management among supply chain actors (Guarnieri et al. 2020). The
policy obliges manufacturers, importers, distributors, and traders of different types
of products to implement reverse logistics.
Given this context, it is important to discuss and analyze the advances and
challenges of reverse logistics for post-consumer waste in Brazil, making a relation-
ship with the goals that make up SDGs 11 and 12 of the 2030 Agenda proposed by
the UN. The following sections deal in more detail with the themes “Reverse
Logistics for Post-Consumer Waste in Brazil” and “Unpacking the Challenges for
Reverse Logistics for Post-Consumer Waste in Brazil.” Finally, the conclusions of
the literature review are presented. The literature review protocol in this study is
presented as follows:
Methodology: Carry out a review of the scientific literature on reverse logistics

practices for urban solid waste in Brazil, from 2016 to 2021, which contribute
both to the fulfilment of the National Solid Waste Policy and the sustainable
development objectives 11 and 12, and the finding of barriers to reverse logistics
of urban solid waste (or post-consumer) that hinder the fulfilment of both the
National Solid Waste Policy and the sustainable development objectives
11 and 12.
String: (TITLE-ABS-KEY (“Reverse logistics”) AND TITLE-ABS-KEY (Brazil)
AND TITLE-ABS-KEY (“post-consumer waste” OR “urban waste” OR “solid
waste”)) AND (LIMIT-TO (PUBYEAR, 2021) OR LIMIT-TO (PUBYEAR,
2020) OR LIMIT-TO (PUBYEAR, 2019) OR LIMIT-TO (PUBYEAR, 2018)
OR LIMIT-TO (PUBYEAR, 2017) OR LIMIT-TO (PUBYEAR, 2016)).
Data base: Springerlink and Scopus.
Inclusion criteria: The paper must have a definition of a practice in a Brazilian
company or a barrier in a Brazilian company. The paper must be published in a
scientific journal.
Reverse Logistics for Post-Consumer Waste in Brazil
Rogers and Tibben-Lembke (1999) define reverse logistics (RL) as “the process of
planning, applying, operation controlling, cost, the flow of raw materials, inventory
process, finished goods, related information (from the point of consumption to the
point of origin) with the objective of recovery or value creation or adequate
destination.” Additionally, Shaik and Abdul-Kader (2011) define RL as “the
management of product returns, inventory, and real-time workflow, tracking of

warranties, orders and parts exchange, the flow of materials and information with
suppliers, analysis of data, execution of repairs, notification to the customer and the
entire logistical flow of return.”
Dowlatshahi (2005) listed five important strategic factors for the effective devel-
opment of RL; they are strategic costs, quality, customer service, environmental
concerns, and political-legal concerns. Strategic costs are associated with the overall
design and implementation of a RL system and are considered non-recurring.
Quality is related to the level of preservation of the waste obtained by the RL and
its value recovery potential through the subsequent stages of revaluation. Customer
service should reflect the basic rule of direct logistics that seeks to define the right
time, the right place, the right price, the right quantity, the right service, and the right
quality. Environmental concerns are often present in the RL discussion. Commu-
nities and customers are demanding that manufacturers involved in RL be respon-
sible for the environmental impact of their production, delivery, and final disposal of
their products. Political-legal concerns in RL have had great strength in nations
across the planet, attributing responsibility to manufacturers for the destination of
end-of-life products, as well as the waste generated. Due to legislation imposed by
various governments and the creation of environmentally friendly products, the level
of customer awareness has increased the need for RL and more effective waste
handling.
RL drivers are diverse but can be classified into two main groups. In the first
group, actors are forced to create a reverse chain to receive back defective products
or to meet some legal requirement in their country. In the second group of drivers, the
actors proactively execute the RL, attracted by the value of used products as well as
by the potential for using components and waste. One way or another, RL has
become a key competency in modern supply chains and focuses on flows where
there is some value to be recovered and the result enters a (new) supply chain,
enabling the reuse of the value that was previously added to the products.
As in other countries, Brazil has actors who practice RL motivated by the drivers
briefly presented in the previous paragraph. In 2010, RL became a legal and
mandatory mechanism by the National Solid Waste Policy (Federal Law
No. 12,305/2010). This law assigns responsibilities to manufacturers and consumers
about the waste generated while establishing and promoting RL and the management
of products or materials. It has a total of 15 objectives. Below are those that have a
direct impact on the promotion of RL in Brazil:
• Reduction, reuse, recycling, and treatment of solid waste, as well as an environ-

mentally appropriate final disposal of waste.
• An incentive to the recycling industry, to promote the use of raw materials and
inputs derived from recyclable and recycled materials.
• Integrated solid waste management.
• Integration of collectors of reusable and recyclable materials in actions involving
shared responsibility for the life cycle of products.
• Encouraging the development of environmental and business management sys-

tems aimed at improving production processes and reusing solid waste, including
recovery and energy use.
According to the National Solid Waste Policy (NSWP), public governance and
city actors must support recyclers and waste pickers associations, while industries
must ensure the RL of post-consumer packaging. However, the weaknesses of the
Brazilian recycling system include several barriers such as technical and financial
difficulties, lack of investment, and ineffective public policies.
In addition to this situation, in Brazil, small companies carry out the collection,
transport, separation, classification, and commercialization of urban solid waste. The
scarcity of recycling companies located close to the production chain increases
transport costs and makes it difficult to properly dispose of recyclables. Brazil has
only 858 recycling industries, with 22 aluminum recycling centers, 27 paper
recycling units, and 809 plastic recycling companies (CEMPRE 2019). These few
companies should process 80 million tons of municipal solid waste per year gener-
ated by over 210 million Brazilians. On average, 60% of this waste is sent to landfills
and only 2.2% is recovered in sorting units, while 24.4% goes to the inadequate final
destination (MDR 2018; MMA 2020; ABRELPE 2021).
Reverse Logistics Practices for Post-Consumer Waste in Brazil
Oliveira Neto et al. (2014) listed the challenges facing Brazil to improve its solid
waste management, increasing the flow of recyclable materials to industries using
RL:
– Awareness: In Brazil, the amounts invested in awareness campaigns are consid-

ered low, which helps to explain why urban solid waste management does not
grow substantially in the country.
– Absence of waste-to-energy facilities in Brazil.
– Landfills: In 2020 there were 2408 irregular landfills still operating in Brazil
(IBGE 2017). Their extinguishing, initially planned for 2014 in the National Solid
Waste Policy, was postponed to 2024.
– There are no modern concepts of integrated solid waste management operating in
Brazil.
– Financial resources used in solid waste management: The little amount of sorting
in the country demands public resources to function, and the scarce revenues
belong to the collectors. In countries with structured management systems,
revenue from recycling, composting, and transforming waste into energy is
about 50% of the expenditure on this management.
Most of the selective collection programs operated by Brazilian municipalities

use the door-to-door scheme, which depends mainly on the contribution of citizens
to classify the fractions of household waste between what is valuable and what is not
available for reuse. The precarious transport infrastructure and the lack of good
waste separation practices make the collection more expensive, representing a
barrier for several municipalities to improve their recycling rates (de Almeida
et al. 2021). The low adherence of Brazilian citizens to selective collection programs
is the biggest obstacle to a greater expansion of recycling initiatives and, conse-
quently, the implementation of RL (Paschoalin Filho et al. 2021).
De Almeida et al. (2021) found that most Brazilian municipalities still have
difficulties in complying with the NSWP, due to the following reasons:
• The specific objectives to be achieved are vague.

• Long-term strategies and operations were not defined in which public institutions
will periodically control or monitor performance.
• There is a lack of coordination between manufacturers, distributors, and traders
for effective storage, collection, and recycling process. The sharing of costs and
benefits across the supply chain and partners will need to be determined.
• Lack of qualified specialist knowledge in Brazil dedicated to solid waste man-
agement and RL issues.
Thus, it is observed that Brazil has a legal foundation that significantly stimulates
the implementation of RL. On the other hand, important barriers to its practical
implementation are still observed.
Barriers for Reverse Logistics for Post-Consumer Waste in Brazil
Based on the literature review detailed in the Introduction, previous studies have
already mapped some of the existing barriers for RL in the Brazilian context.
Guarnieri et al. (2020) defined barriers for the RL of packaging in Brazil as
(i) technology and infrastructure, (ii) governance and supply chain process, (iii)
economic, (iv) knowledge, (v) policy, (vi) market and competitors, and (vii)
management.
In the electrical and electronic equipment waste (EEEW) context, Ferreira et al.
(2019) identified that (i) waste pickers weren’t included in the discussions of a
EEEW sectoral agreement; (ii) the debate and construction of the criteria and rules
of the sectoral agreement favored the industries and their respective professional
associations; (iii) participation of waste pickers was weakened by the economic
interests of large companies in the EEEW market; and (iv) stakeholders involved in
the EEEW reverse chain mistrust the technical and operational capacity of the waste
picker cooperatives.
For this section, the identified barriers were classified into four categories. The
first, political barrier, is related to law and/or government-related barriers. The
second, the technological barrier, is related to machinery and equipment barriers.
Social barriers correlate to problems associated with waste picker cooperatives.
Economic barrier corresponds to budgetary or fiscal barriers. And finally, operational
barriers are related to production processes and/or supply chain barriers.
Regulatory Political Barriers

Polzer et al. (2016) explain that even though the NSWP was enacted in 2010, the
procedures determined by it have not yet been implemented completely. Ferreira
et al. (2019) also noticed that despite the NSWP establishing by law the inclusion of
the waste pickers in the reverse channel, the government does not promote actions
for such inclusion to occur, especially given the economic interests that exist in the
private sector. The authors conclude that the NSWP is not inclusive when dealing
with EEEW, even though it does in theory.
From a survey with electrical-electronic equipment (EEE) industry sector experts,
Bouzon et al. (2016) unveiled that the third most relevant barrier for RL in the EEE
industry sector in Brazil is the uncertainty related to economic issues. The authors
explain that a high degree of tax difficulty, caused by the complex and cross-border
flows of products as well as the diverse bought-in services embedded in the reverse
chain, can lead to unexpected costs.
Another problem is related to the division of responsibility among government
agencies and their capacity to implement and oversee the operationalization of the
RL systems. As several governmental agencies are currently monitoring and apply-
ing fines concerning environmental crimes and damages: public prosecutor, a court
of accounts, and city attorney, among others, which in turn causes overlapping of
fines and laws (Rebehy et al. 2019b).
These regulatory and political barriers specifically hinder SDG 11, as target 11.a
establishes “Support positive economic, social and environmental links between
urban, peri-urban and rural areas by strengthening national and regional develop-
ment planning” (UN 2015). The Brazilian government has developed a national and
regional development planning, with the enactment of NSWP, but it still lacks proper
support toward the implementation of RL for post-consumer waste.
Technological Barrier
In the e-waste context, a significant barrier is that Brazil does not have industries
with the capacity to extract precious metals from goods, which represents the final
stage of e-waste recovery. Ghisolfi et al. (2017) explain that Brazil still lacks
technology for the recycling of high value-added components such as printed circuit
boards, which contain precious metals, rare earth metals, and heavy metals.
Since these recovering technologies require a high investment by businesses,
along with the application of new technologies, the formal market ships the pre-
processed waste to international firms, where foreign industries recover the mate-
rials, thereby decreasing the profitability of the Brazilian industry. Consequently, a
new problem has arisen, as an informal e-waste market has grown, which, through
dangerous and environmentally insecure processes, has already begun to undertake
the extraction of precious metals from e-waste (de Oliveira Neto et al. 2019).
The authors continue explaining that recovering precious metals from e-waste
requires the acquisition of specific raw materials not traded in Brazil, and this
particular barrier will also require a high investment to overcome (de Oliveira
Neto et al. 2017). Despite most papers presented here focusing on electronic
waste, the same issue is reported about other kinds of products or materials like
glass, automobiles, plastics, oil, and so on.
These technological barriers interfere with SDG 12, as target 12.a establishes
“Support developing countries to strengthen their scientific and technological capac-
ity to move towards more sustainable patterns of consumption and production”
(UNESCO 2017). The Brazilian waste processing industry does not receive enough
support from its international supply chain, in the form of scientific and technolog-
ical capacity transfer.
Social Barrier
In Brazil, several reverse channels are supplied by a class of workers that aren’t
common in developed countries: waste pickers. They usually are self-employed, and
their revenue usually comes from selling collected waste to recycling industries.
They receive payment per unit of measurement of the weight of waste collected, and
so they usually collect very heavy amounts of waste to receive a decent amount of
money. Because of this scenario, it is common for them to organize themselves into
cooperatives.
These cooperatives usually receive, from the government, legal incentives such as
the provision of infrastructure and equipment, financial incentives and credits, tax
exemptions, and training for the workers’ qualification. But all of these benefits
aren’t enough to overcome the barriers, as the collected material sales are not
financially viable over time.
Gutberlet et al. (2017) reveal that waste picker organizations are hardly seen as
providers of high-quality services, from a corporate perspective. They are mostly
perceived as subsistence economies. Ferreira et al. (2019) disclosed that there are
many divergent economic interests of stakeholders from the waste industry that are
unfavorable to the insertion of the waste pickers in the RL of EEEW in Brazil.
It’s noteworthy that the absence of bargaining power is a critical barrier for waste
pickers cooperatives in the formal EEEW market (Ghisolfi et al. 2017). Ferreira et al.
(2019) verified that cooperatives are increasingly excluded from sectoral agreement
negotiations toward EEEW RL. The only actors included were the recycling busi-
ness, which leads to the question of whether, after concluding the contract, there will
be any room for the waste pickers in this market or whether they will be definitively
excluded from this market.
A study by Guarnieri et al. (2020) revealed that waste pickers do not feel as they
are been fairly compensated for their work done in the collection of the packaging
waste. A critical barrier is related to this problem as there is a lot of missing
information on the collection and RL of packaging, primarily because the negotia-
tion between waste pickers cooperatives and recycling industries is made by
intermediates.
The lack of inclusion and support for waste pickers is a direct barrier for the
global SDG 11, as it establishes “Make cities and human settlements inclusive, safe,
resilient and sustainable” (UN 2015).
Economic Barrier
From a survey with electrical-electronic equipment (EEE) industry sector experts,
Bouzon et al. (2016) unveiled that the most relevant barrier for RL in the EEE
industry sector in Brazil is the financial burden of a tax. The experts confirm as a
barrier for RL the lack of economic justification for the necessary investment for RL
implementation.
In the small beer business, Oliveira Silva and Morais (2021) verified that the high
initial investment made for the recycling structure for glass beer bottles is a relevant
barrier for RL since production levels are not high and the investment might not be
offset by the profit generated. For the reuse of glass beer bottles alternative, the case
study in a small beer business revealed three barriers for implementation: quantity,
quality, and return time.
The absence of a profitable reverse channel for post-consumer waste impacts
precisely on SDG 12 “Ensure sustainable consumption and production patterns.”
Operational Barrier
Limited forecasting and planning for recovery activities is the second biggest barrier
in the EEE, according to industry experts (Bouzon et al. 2016). The unpredictability
of the returned products mix, as well as stochastic return and demand, hinders the
development of recovery systems in general. The diversity of goods and flow causes
many logistics planning problems in forecasting and planning the reverse chain.
Guarnieri et al. (2020) reported that another problem is related to supply chain
issues. In the Brazilian packaging industries, there are much more industries of
packaging than recycling industries, which causes an imbalance in the reverse chain
capacity of waste processing and its reinsertion as raw material in the production
cycle. Another difficulty is the installation of recycling industries and sorting centers
in disadvantaged regions, which are distant from industrial zones in Brazil.
For EEE waste, the large number of clients and their geographical dispersion in
Brazil is a relevant barrier, as electronics are characterized by large, heavy units of
volume, with a lower periodicity of discard. Another barrier is the difficulty to
achieve an RL economy of scale as the selective collection requirement is recent,
only 30% of Brazilian municipalities practice selective collection, and so consumer
adoption remains low (Rebehy et al. 2019a).
Ghisolfi et al. (2017) recognized this same problem with waste collected from
waste pickers. Their process efficiency is low due to inefficient waste sorting and
disputes with private companies that compete with cooperatives. Azevedo et al.
(2017) noticed that the main problem with RL implementation is the collection
system, as its efficiency depends not only on the education and cooperation of
consumers but also on cooperation among industrial waste generators, distributors,
and the government.
These barriers interfere with SDG 12, as target 12.1 establishes “Implement the
10-year framework of programmes on sustainable consumption and production, all
countries taking action, with developed countries taking the lead, taking into account
the development and capabilities of developing countries” (UNESCO 2017).
Unpacking the Challenges for Reverse Logistics for

Post-Consumer Waste in Brazil
Implementing RL systems for post-consumer waste in Brazil has shown to be

possible if the previously mentioned challenges are reduced or extinct. To overcome
the barriers, de Oliveira Neto et al. (2019) suggest that future actions should include
(i) the inclusion of waste pickers cooperatives in the formal selective collection;
(ii) the signing of RL contracts; (iii) stimulation of the e-waste recycling industry in
Brazil, to enable it to undertake all stages of the process; and (iv) the promotion of
knowledge and delimitation of the e-waste import market.
Those recommendations represent a good starting point, but a deeper description
of how to enable a successful transition to RL systems is needed. The suggestions
were classified according to their related categories of barriers used in section
“Barriers for Reverse Logistics for Post-Consumer Waste in Brazil”, where:
– Political barrier is related to law and/or government barriers.

– Technological barrier is related to machinery and equipment barriers.
– Social barrier correlates to problems associated with waste picker cooperatives.
– Economic barrier corresponds to budgetary or fiscal barriers.
– Operational barrier is related to production processes and/or supply chain
barriers.
Regulatory Political Barrier
Some regulatory and fiscal issues could be modified to promote the private sector
participation in RL systems. Industries and waste pickers agree that it is important to
avoid actions that create instability in the reverse productive cycle (Guarnieri et al.
2020).
Toward reducing the challenges associated with RL, the multi-level governance of
waste management public policies must include the participation of a network of
stakeholders. And it is essential to clearly state the role and contribution of waste picker
organizations in RL systems in public policy frameworks (Gutberlet et al. 2017).
It is noteworthy that the government could increase its earnings as legal export
costs, environmental taxes, and charges could be replaced by environmental taxes and
charges in Brazil and maritime freight costs are eliminated (Azevedo et al. 2017).
Surely the presence of the government in the regulation of the RL market is the
most fundamental factor for the coordination of the actors in structuring the reverse
chain waste in Brazil.
Technological Barrier
Reaching several targets from the UN’s SDG would help overcome several techno-
logical barriers, as target 12.1 “Implement the 10-year framework of programmes on
sustainable consumption and production, all countries taking action, with developed
countries taking the lead, taking into account the development and capabilities of
developing countries” and target 12.a “Support developing countries to strengthen
their scientific and technological capacity to move towards more sustainable patterns
of consumption and production” (UNESCO 2017). De Oliveira Neto et al. (2017)
argue that Brazil should also invest in recycling technology to increase its economic
and environmental advantages in electronic waste materials management.
Social Barrier
As waste pickers are the precursors of the incentive to recycling in Brazil, they are of
most importance for the success of the implementation and operation of the RL
system of waste. They need to be considered as relevant actors of the RL in all
phases of the product life cycle, from their conception to their reintegration into the
productive cycle (Guarnieri et al. 2020). Studies have shown that their inclusion,
even partial, not only presents economic advantages and social sustainability for the
reverse channel but also an increase in the revenue of the waste pickers involved in
this supply chain (de Lorena Diniz Chaves et al. 2021).
Their inclusion should not be limited to households’ waste, but rather toward
large waste generators (e.g., industry, business, offices). Waste pickers also require
enough authority to act as central players in decision-making processes but also
require sufficient flexibility to adapt to the situated contexts of each cooperative
(Gutberlet et al. 2017). Waste pickers also should be included within the shared
responsibility for waste management (Oliveira Silva and Morais 2021).
Ferreira et al. (2019) highlight the importance of strengthening waste pickers
cooperatives and associations. Ghisolfi et al. (2017) explain that many problems
associated with waste pickers can be overcome by coordinating and integrating
waste pickers into cooperatives and also by mobilization, marketing, and training
of cooperative employees.
A financial aspect also requires attention, as waste pickers request proper pay-
ment from the coalition of waste-producing companies and/or by the government.
Waste pickers report some investment made in the infrastructure of the cooperatives,
but their representatives believe that this is not enough (Guarnieri et al. 2020).
Another social barrier that requires attention is also a cultural and habits change of
the population regarding conscious consumption and the generation of solid waste
(Alfaia et al. 2017). Awareness campaigns are necessary for each kind of waste,
including all agents involved and ensuring high commitment of society, government,
and producers. Implementing a rationale of shared responsibility of waste manage-
ment will promote RL for post-consumer waste (Polzer et al. 2016).
Economic Barrier
To overcome economic barriers, Rebehy et al. (2019b) suggest increasing the

economic value of waste or organizing the industry to charge a fee that covers
recycling and transportation costs.
But several studies also highlight important contributions to solve the economic
problem that should be addressed by the Brazilian government. Bouzon et al. (2016)
recommend that Brazilian policymakers should follow the European patterns of tax
reductions for the transportation/manufacturing of recycled material. Rebehy et al.
(2019b) suggest federal tax reductions for businesses that reuse/recycle waste. And
Ferreira et al. (2019) proposed that all spheres of government (municipal, state, and
federal) should provide subsidies and tax incentives for recycling.
Operational Barrier
For operational-related barriers, Bouzon et al. (2016) suggest involving clients and
customers in the reverse process, aiming to bring stability to the reverse flow by
sharing information and responsibilities. This solution also has the potential to limit
forecasting problems. Polzer et al. (2016) complement explaining that the RL system
should be designed to allow consumers to properly deliver their waste. As such, all
products should be designed and developed to facilitate the treatment of post-
consumer, and product labeling should contain recycling information explaining
how to separate, clean, and store the material for collection and post-consumer
treatment.
Alfaia et al. (2017) verified that a simple sorting process could be done in
households, of organic and nonorganic waste, which could have a huge impact on
RL systems. Municipalities could promote waste sorting by placing different colored
containers for selective collection in residential areas. Separating each kind of
product is a relevant driver to the proper destination, such as recycling or reusing
(Polzer et al. 2016).
Oliveira Silva and Morais (2021) observed that the key to the participation of
different stakeholders toward RL is a collaboration between the segments. When all
parties involved have a chance to see everyone’s benefits and costs, it reinforces the
engagement among the stakeholders to fulfil their responsibilities in a shared
perspective for waste management.
Summary of Suggestions
All the identified recommendations toward overcoming the challenges toward

implementing RL in Brazil are presented in Table 1.
Table 1 Recommendations for reducing the barriers effects toward implementing RL in Brazil
Suggestion Authors Category
Promote institutional policies that favor the Moura et al. (2017) Regulatory
non-generation of EEEW in public political
institutions barrier
Set recycling targets yet according to each Polzer et al. (2016) Regulatory
type of material political
barrier
Implement a profitable separate collection Polzer et al. (2016); Regulatory
scheme Alfaia et al. (2017) political
barrier
Strengthen the inspection to irregular Polzer et al. (2016); Oliveira Regulatory
disposal practices Silva and Morais (2021) political
barrier
Promote public awareness toward Polzer et al. (2016); Oliveira Regulatory
environmental education Silva and Morais (2021) political
barrier
Signature of sector agreements between Polzer et al. (2016); Alfaia Regulatory
waste producers and government et al. (2017); Guarnieri et al. political
(2020) barrier
Installation of industries for recycling EEEW Alfaia et al. (2017); Azevedo Regulatory
et al. (2017) political
barrier
Regulating the reverse market of EEEW Ferreira et al. (2019) Regulatory
political
barrier
Specific policies and sectoral agreement Ferreira et al. (2019); Oliveira Regulatory
adjusted for local realities Silva and Morais (2021) political
barrier
Closure of all open waste dumps Alfaia et al. (2017) Regulatory
political
barrier
Increase financial penalties for inappropriate Alfaia et al. (2017) Regulatory
disposal political
barrier
Invest in recycling technology de Oliveira Neto et al. (2017) Technological
barrier
Consider waste pickers as relevant actors of Guarnieri et al. (2020) Social barrier
the RL in all phases of the product life cycle
Award waste pickers enough authority to act Gutberlet et al. (2017) Social barrier
as central players in decision-making
processes
Increase payments for waste from the Guarnieri et al. (2020) Social barrier
coalition of waste-producing companies
and/or by the government
Promote awareness campaigns for each kind Polzer et al. (2016) Social barrier
of waste, including all agents
Increase the economic value of waste or Rebehy et al. (2019b) Economic
organizing the industry to charge a fee that barrier
covers recycling and transportation costs
(continued)
Table 1 (continued)
Suggestion Authors Category
Brazilian policymakers should follow the Bouzon et al. (2016) Economic
European patterns of tax reductions for the barrier
transportation/manufacturing of recycled
material
Reduce federal tax for businesses that reuse/ Rebehy et al. (2019b) Economic
recycle waste barrier
All spheres of government (municipal, state, Ferreira et al. (2019) Economic
and federal) should provide subsidies and tax barrier
incentives for recycling
Involve clients and customers in the reverse Bouzon et al. (2016) Operational
process barrier
Design RL system to allow consumers to Polzer et al. (2016) Operational
properly deliver their waste barrier
Municipalities could promote waste sorting Alfaia et al. (2017) Operational
by placing different colored containers for barrier
selective collection in residential areas
Promote collaboration between the segments Oliveira Silva and Morais Operational
(2021) barrier
Conclusions
According to the concepts and definitions presented, it was possible to achieve the
objectives defined in this chapter, that is, the advances and challenges of RL for post-
consumer waste in Brazil were identified by making a relationship with SDGs 11 and
12 of the 2030 Agenda proposed by the UN. Brazil still has a lot to develop and
contribute in this regard.
It was highlighted that in 2010 the RL was raised to the level of a legal and
mandatory mechanism with the definition of the National Solid Waste Policy –
NSWP – which consists of a Federal Law No. 12,305/2010. However, the challenges
of organizations in complying with the Law are many and impose that the Brazilian
scenario still needs to develop to concretely achieve goals aligned with sustainable
development objectives. Technological, economic, social, and political problems are
the main challenges to be overcome in this context.
But studies have shown that by overcoming those barriers, the government could
help promoting the insertion of the private sector in RL systems. By developing
nationally located RL systems, the public administration has the potential to raise its
earnings as legal export costs, environmental taxes, and charges could be replaced by
other environmental taxes and manufacturing-related charges in Brazil.
In the midterm and long term, achieving the SDGs 11 and 12 of the 2030 Agenda
proposed by the UN could increase the Brazilian government taxes revenue, struc-
ture and strengthen the waste pickers cooperatives, and reduce the environmental
impact of improperly disposed waste.
Specifically, RL has focused on actions related to solid waste management,

increasing the flow of recyclable materials to industries. However, it should also
be noted that in Brazil, there are no modern concepts of integrated solid waste
management and the financial resources used in solid waste management do not
undergo adequate screening. In countries with structured management systems,
revenue from recycling, composting, and transforming waste into energy is about
50% of the expenditure on this management.
As a limitation of the results presented here, it should be noted that this study has
an exploratory character and that the information cannot be generalized to other
contexts and regions that were not analyzed and considered here. As a proposal for
future studies, the following stand out: (a) identify ways to enhance compliance with
the NSWP in a coherent way by organizations; and (b) develop structured RL
management models that meet the specificities of developing countries, such as
Brazil.
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Impact of Land Use Cover Change (LUCC)
on Floods: Acapulco de Juárez Bay, Mexico
Emmanuel Zúñiga and Víctor Magaña
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
Study Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193
Data and Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193
Environmental Vulnerability (EV) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193
Curve Number (CN) Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196
Land Cover and Land Use (Dynamic Indicator) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
Terrain Slope α (Static Indicator) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
Compactness Index Kc (Static Indicator) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
Hazard from Intense Rainfall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
Results and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
Analysis of Flood Risk Dynamics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201
Flood Scenario (September 15, 2013) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
Abstract
The process of transformation of the natural landscape in watersheds is an
indicator of soil infiltration loss, as a result of the increase in impervious cover
due to land use and cover change (LUCC). This condition of environmental
vulnerability (EV) increases runoff and the risk of flooding. The Acapulco de
Juarez Bay (AJB), located in the state of Guerrero, Mexico, presents important
E. Zúñiga (*)
CONACYT-Institute of Geography, National Autonomous University of Mexico, UNAM, Ciudad
de México, México
e-mail: ezuniga@geografia.unam.mx
V. Magaña
Department of Physical Geography, Institute of Geography, National Autonomous University of
Mexico, UNAM, Ciudad de México, México
e-mail: victormr@unam.mx

https://doi.org/10.1007/978-3-031-16017-2_55
190 E. Zúñiga and V. Magaña
changes in its watersheds due to urban growth and agricultural development in

recent decades. In this region of Mexico, floods show greater frequency and
magnitude. This research compares the effect of the LUCC between 1970 and
2013, to determine the increase of EV and flood risk in the AJB, using rainfall
intensity values recorded during the flooding that occurred on September
15, 2013, due to Tropical Cyclone Manuel. We used the curve number
(CN) method to determine flood zones, integrating EV and intense rainfall values.
The result showed an increase in EV and risk levels, for regions where the LUCC
was higher. The model proved to be efficient in reproducing flood zones when
compared with satellite information. It can be concluded that the LUCC contrib-
utes to flood risk, due to the loss of infiltration of soils in watersheds, so the
preservation and conservation of natural ecosystems are the main mitigation and
disaster prevention measure.
Keywords
Environmental vulnerability · Curve number · Flood risk · Intense rainfall ·
Acapulco de Juárez Bay · Land use cover change
Introduction
Disaster risks associated with changes in climate and loss of environmental services
and biodiversity protection are some of the consequences of land use and cover
change (LUCC) in regions where this process is a constant threat. Therefore, in the
United Nations 2030 Agenda, the transformation and degradation of the natural
landscape represent a major environmental challenge that is addressed by Sustain-
able Development Goal 15 (Life on land), through various goals that promote land
management based on proposals for the protection and sustainable use of terrestrial
ecosystems, to reduce and reverse the degree of pressure on the most affected natural
coverages (UN 2015).
Currently, the process of transformation of the natural landscape of watersheds as
a result of LUCC represents an important factor in the increase of impervious cover,
reducing the infiltration capacity of soils, increasing surface runoffs that generate
impacts on populations located mainly near rivers or in flood zones (flat). This
condition of environmental vulnerability and risk of flooding in urban areas has
led to the development of various methodologies that seek to reduce its impact.
However, most of the studies on floods maintain a naturalistic character, which
directly associates the frequency of extreme rainfall events with these disasters,
without considering the context of environmental vulnerability of the territory and
the uncertainty of the climate (Walling 1999; Clark and Wilcock 2000; Singh and
Singh 2011).
In various regions of the world, where the frequency and magnitude of floods generate
negative impacts on the economy and the population, it has been shown that changes in
the environment affect the natural dynamics of watersheds (Zúñiga et al. 2020),
Impact of Land Use Cover Change (LUCC) on Floods: Acapulco de Juárez Bay,. . . 191
and, with it, an increase in flood risk due to the loss of runoff regulation. Generally,
this condition of degradation in watersheds is associated with LUCC resulting from
urban growth and agricultural development (Zúñiga et al. 2022).
This type of disaster is not only associated with a more active hydrological cycle
due to a greater number of intense rainfall events, but is also the result of the
condition of ecosystems that provide a hydrological regulation and control service
for surface runoff, which is constantly modified by human activities (human settle-
ments, agriculture, deforestation, livestock, modification of watercourses, etc.)
(Pérez Vega and Ortiz Pérez 2002), which favor the process of fragmentation of
the natural landscape and LUCC in hydrological basins.
In various studies, the increase in runoff has been shown to be greater when the
natural covers eliminated are forests and jungles, due to their capacity to infiltrate
surface runoff in relation to nonnatural covers (Solin et al. 2011; Gholami 2013).
Other land covers (i.e., agricultural) have less potential for runoff regulation, so the
regions where flood frequency shows greater activity coincide with the watersheds
with greater loss of forest cover (Armenta-Montero 2012). According to Zúñiga et al.
(2020), the effect of the LUCC on the natural landscape of Mexico is a hydrological
factor that should be studied in depth, due to the observed increase in surface runoff
in hydrological basins of up to 50%, when forest cover is replaced by less permeable
surfaces such as agriculture.
Due to the complexity of analyzing the multifactorial process of flood risk (EV
and H), the level of environmental vulnerability (EV) associated with the LUCC is
generally not incorporated into flood studies, because its effect is gradual, while the
Short-term changes associated with the hazard of intense rainfall are considered a
modulator of flood risk dynamics (Cannon 1994; Huhne and Slingo 2011;
Hirabayashi et al. 2013). For this reason, it is the variable of greatest interest in
flood studies.
In Mexico, disasters caused by floods in urban areas represent approximately
65% of the total disasters registered in 50 years (1970–2020) (CENAPRED 2020;
DesInventar 2013; FONDEN 2018). During this period, floods have affected more
than 65% of Mexico’s municipalities (CENAPRED 2020; DesInventar 2013;
FONDEN 2018). In general, this type of events is more frequent in the coastal
regions of the Gulf of Mexico and the Mexican Pacific Ocean, due to the presence of
tropical cyclones and other atmospheric events (i.e., Nortes, East Waves) (Schultz
2005; Pérez et al. 2014; Pedrozo-Acuña et al. 2014a, 2015).
Although it is common to relate rainfall intensity to flooding events, this risk
condition in Mexico may be mostly associated with the effect of the LUCC on the
natural landscape of hydrological basins and the level of exposure of the population
in risk areas. According to McMahon et al. (2011) and Zúñiga et al. (2020), the trend
of flood disasters has its origin with the process of transformation of the Mexican
territory, during the decade of the 1980s–1990s with the agricultural development in
a large part of the country. During this period, population density increased signif-
icantly, and, with it, the need for more public space for urban development in various
regions of Mexico. According to Saavedra (2010), this situation is the reason why
approximately 20% of Mexico’s population is located in areas that can be affected by
flooding. Although at the beginning of the year 2000, environmental deterioration in

Mexico showed a significant decrease in a large number of inland regions of the
country, in coastal areas (i.e., AJB) where the frequency of flooding is higher, the
process of territorial transformation continues to advance.
For some authors (Lithgow et al. 2019; Zúñiga and Magaña (2018), Zúñiga et al.
(2020), the higher trend of urban flooding in Mexico, particularly in coastal areas, is
a result of the percentage of degradation of watersheds, as well as the level of
exposure of the population to water bodies. Other authors say that the current risk
condition in Mexico is a result not only of the LUCC in watersheds but also of the
higher frequency in the number of intense rainfall events (INECC 2012; Aguilar
et al. 2005; Aguilar et al. 2005; Méndez et al. 2008). Therefore, the main challenge is
to clearly establish to what extent intense rainfall hazard or environmental vulner-
ability contributes individually or combined with a higher level of flood risk, with
the objective of generating particular strategies to reduce flood impacts.
According to data (CENAPRED 2020; DesInventar 2013; FONDEN 2018), the
state of Guerrero ranks fifth with the highest frequency of flood disasters in Mexico.
During 47 years (1970–2017), the number of accumulated records in the state
exceeded the amount of 300 impacts in coastal urban areas. Therefore, it is consid-
ered one of the regions with the highest flood risk in Mexico. In this coastal region
and during the same period, the AJB concentrates more than 60% of the flood
records (CENAPRED 2020; DesInventar 2013; FONDEN 2018). The uncontrolled
urban growth of this tourist destination in the last 20 years is a factor that favors its
vulnerability due to exposure and risk of flooding, due to the concentration of urban
centers in flat areas (Bonasia and Ceragene 2021) and the deforestation and increase
of agricultural areas in the mountains, which reduces soil infiltration, and with it, a
greater number of surface runoffs (Zúñiga and Magaña 2018), which generally affect
populations located in plain areas (flood zones).
In the coastal region of the AJB, flood disasters are associated with tropical
cyclone activity due to the number of intense rainfall events that generate impacts
on the population and economy of this tourist region (Matías Ramírez 1998;
Pedrozo-Acuña et al. 2014a, b; Gómez-Palacios et al. 2017; Alcocer-Yamanaka
et al. 2020). The excessive increase of tourist areas and the development of urban
complexes in flat areas or flood plains generate a greater degree of exposure and risk
for the population and economy of the region. Another important factor has been the
increase in impervious surfaces (urban and agricultural) in elevated areas of the
hydrological basins (Bonasia and Ceragene 2021). This process of landscape trans-
formation has contributed to the loss of soil infiltration and to a greater number
of surface runoffs, which are transferred to flat areas of the watersheds. As a result of
this situation, the pluvial floods that occur in the AJB are characterized by the loss of
hydraulic capacity of the watercourses, limiting their efficiency in controlling sur-
face runoff that is not regulated by nonnatural soils (i.e., agricultural and urban). This
process occurs when the level of water conveyed by a river exceeds its conveyance
capacity (Tockner et al. 2010), causing it to overflow and flooding the areas near the
riverbeds. This hydrological condition seems to be increased by the LUCC, since the
increase in annual floods seems to coincide with the loss of permeable surfaces in
recent years (Zúñiga and Magaña 2018; Bonasia and Ceragene 2021).
Therefore, the main objective of this study is to analyze the effect of the LUCC on
the natural landscape of the hydrological basins of the AJB, comparing the periods
1970 and 2010. The EV values used to analyze flood risk combine information from
dynamic indicators (land cover and edaphology) and static indicators (land slope and
watershed geometry) to estimate the infiltration-runoff potential of soils. The design
of a flood scenario allows comparing and evaluating changes in the level of EV and
flood risk for the AJB with real information. The multitemporal analysis of flood risk
carried out for the basin Laguna de Tres Palos allows understanding the effect of the
LUCC on the EV and flood risk in relation to the frequency of disasters in the AJB.
Study Area
The Bay of Acapulco de Juárez is located in the south of the state of Guerrero. This
coastal region of the Mexican Pacific is integrated by the hydrological basins, Bahía
de Acapulco de Juárez, Río La Sabana, and Laguna de Tres Palos, which provide
surface runoff to bodies of water: Laguna de Tres Palos and Laguna de Coyuca. This
coastal region is the second largest urban concentration in the state. It also concen-
trates approximately 35% of the total population of the state of Guerrero. Hydro-
logically, two main rivers carry the main runoff to the lagoons of the AJB. In this
region, altitude differences range from 9 (in the lagoons) to 941 meters above sea
level, with mountainous areas concentrated in the AJB and the northeastern region of
the municipality. Due to its geographic location in the southern Mexican Pacific, this
region is frequently affected by intense rainfall events associated with the occurrence
of tropical cyclones (Fig. 1).
Data and Methodology
Environmental Vulnerability (EV)
The effect of LUCC on the natural landscape is an important indicator of environ-

mental vulnerability (EV) in watersheds and flood risk. For this reason, flood studies
have incorporated the LUCC in their analysis as a dynamic indicator of infiltration
loss (%), due to its importance in runoff generation. In this study, urban and
agricultural covers are considered as nonnatural soils, due to their limited infiltration
capacity compared to natural covers (Zúñiga et al. 2022).
The analysis of soil runoff is performed by comparing the transformation of the
territory between the periods 1970 and 2010. Using the curve number (CN) method,
(dimensionless) infiltration values are established. This semi-empirical method is
widely used in the field of applied hydrology to determine the potential of soils to
generate runoff. Although this method essentially uses information on land cover
Fig. 1 Location map of the Bay of Acapulco de Juárez, Guerrero. © Zúñiga and Magaña
and its physical characteristics, this study integrates information on terrain slope (α)
and watershed compactness (Kc) (static indicators) to adjust the CN values.
The process to assign CN values considers several processes that combine
geospatial information of land cover and hydrologic group (HG) corresponding to
the periods 1970 and 2010 in a GIS platform. To determine the CN values, infor-
mation from the Manual for Runoff Forecasting (Domínguez et al. 2008) and the
standardized tables of the Urban Hydrology for Small Watershed methodology of the
Technical Release TR-55, USDA-NRCS (1986), are used. The curve number values
are defined considering the antecedent soil moisture condition (AMC). The CN
method considers three types of AMC: (i) dry soils, (ii) soils in normal or average
condition, and (iii) wet soils. For this analysis, “normal” or average AMC is used,
due to the orographic, climatic, and edaphological characteristics of the AJB. The
AMC information used avoids overestimating or underestimating runoff values, due
to the lack of data collected in the study area. The CN values generated are used as a
dynamic indicator for the calculation of the EV.
Figure 2 shows the process of integration of indicators used to evaluate the
sensitivity of natural and nonnatural soils to generate surface runoff. The combina-
tion of static indicators (α, Kc) and the dynamic (LUCC) used to obtain the
environmental vulnerability (EV) of the AJB were normalized for processing.
The figure above shows the methodological process used to estimate VE levels
for the AJB region. This methodology integrates three hydrological variables of
great importance for the analysis of the rainfall-runoff process (R-RP).
Fig. 2 Flowchart of the indicator integration process to obtain the environmental vulnerability
(EV) of the AJB. Periods 1970 and 2010. © Zúñiga and Magaña
1. Static indicator: Surface runoff combining land cover and HG information with
CN values
2. Static indicator: Terrain slope (α)
3. Static indicator: Compactness index of the hydrological basins (Kc)
To normalize the EV values, the “scaling” method was used. This procedure
generates a scale with values ranging from 0 to 1. Value 0 corresponds to “very low”
values, associated with an efficient infiltration capacity of soils, while value 1 is
associated with “very high” runoff, due to the existence of impermeable soils:
X0 ¼ ðX X min Þ=ðX max X min Þ
where:
X0 ¼ normalized indicator
X ¼ value to be normalized
Xmin and Xmax ¼ extreme values of the data series
Based on the normalized EV results, a simple classification is made to establish

levels of environmental vulnerability. Five levels are defined considering the same
Table 1 Environmental Level Environmental vulnerability Vulnerability level

vulnerability levels for the
1 0.0–0.2 Very low
region of AJB
2 0.2–0.4 Low
3 0.4–0.6 Moderate
4 0.6–0.8 High
5 0.8–1.0 Very high
scale of values (0.2). The different levels of EV allow a better analysis and interpre-
tation of the effect of the LUCC on the watersheds of the AJB.
The qualitative levels shown in Table 1 represent the possible hydrological
condition of soils in the face of intense rainfall events. This representation allows
a better visual interpretation, while the classes will be used to perform the flood risk
assessment using the curve number (CN) method.
Curve Number (CN) Method
This method is widely used in the field of applied hydrology to evaluate the
hydrological condition of watersheds in the rainfall-runoff process (R-RP), associ-
ated with the LUCC effect. Several hydrological methods (artificial neural networks
(ANN), watershed simulation model UBCWM) allow obtaining information on
R-RP, using novel techniques (thesis sources); however the CN method developed
by the Soil Conservation Service (SCS) now Natural Resources Conservation
Service (NRCS) has been shown to be highly efficient, due to its ability to predict
soil infiltration through a simplification of the R-RP process, which combines in a
simplified form the soil abstraction parameters (interception, evapotranspiration,
storage, and infiltration) and soil retention, which is determined by slope and land
use. Due to these advantages, the NC method has been widely used worldwide since
the 1970s (USDA 1979; Ferrér et al. 1995; Zhan and Huang 2004; USDA-NRCS
2004; Schaefer et al. 2007, 2009; Ebrahimian et al. 2009; Elhakeem and
Papanicolaou 2009; Soomro et al. 2019; Lian et al. 2020; Krisnayanti et al. 2021).
Due to its flexibility with data processing, the main utility of this method is focused
on the evaluation of runoff in non-instrumented watersheds or with high levels of
land transformation by LUCC (Svoboda 1991; Nayak et al. 2012; Askar 2013).
Therefore, this method is fundamental to determine the EV of watersheds of the AJB
in the face of intense rainfall events.
Despite its usefulness, the CN is questioned for its inconsistencies during the first
phase of the R-RP process, where the following is not fulfilled: direct runoff ¼
precipitation (Q ¼ P) (Paz-Pellat 2009). However, for heavy rainfall events
15 mm, the method shows stability, fulfilling the relationship Q ¼ P, so that, for
this analysis, it is an adequate tool in the prediction of runoff associated with heavy
rainfall for the AJB.
Mathematically, the CN method results from the empirical relationship between
the variables Q and P. This equation is developed using inches as units of magnitude
to generate runoff values (USDA 1986). For the calculation of runoff for the periods
1970 and 2010, the equation modified by Aparicio (2008) is used. The changes made
by Aparicio allow hydrological calculations to be made using millimeters as the unit
of analysis:
2
P 508
CN þ 5:08
Pe o Q ¼ 2032
P þ CN 20:32
where:
Pe or Q ¼ direct runoff sheet (mm)

P ¼ total rainfall (mm)
CN ¼ value of the curve number (dimensionless)
Other values in the equation are parameters used to obtain units in mm.
Land Cover and Land Use (Dynamic Indicator)
Due to the importance of the LUCC as an indicator of environmental vulnerability

and flood risk in the watersheds of the AJB, the information used for its calculation
was evaluated in a Geographic Information System (GIS), to avoid inconsistencies
and errors that could affect the processing and obtaining of the NC values. The
analyzed land use information corresponds to the periods 1970 and 2010. The
geospatial data is obtained from the web portal (https://www.inegi.org.mx/) of the
National Institute of Statistics, Geography and Informatics (INEGI). In the geoportal
(http://www.conabio.gob.mx/informacion/gis/) of the National Biodiversity Com-
mission (CONABIO), we had access to the edaphological data for the study region.
For an adequate management and comparison of geospatial data, land cover
information is homologated based on the criteria established in the manual for the
interpretation of land use and vegetation charts of INEGI (2017). Eight land cover
types were established for the analysis periods (1970 and 2010). Using GIS
geoprocessing tools, the following coverages were defined: agricultural, human
settlements (HS), forest, scrubland, grassland, jungle, without vegetation apparent
(WVA), and other vegetation type (OV). In this last coverage, soils not considered in
the classification were integrated.
At the same time, the edaphological information is organized and grouped
according to the physical characteristics of the soils (type and texture). From the
edaphological analysis of the soils, it was possible to define the hydrological groups
(HG): A, B, C, and D based on their infiltration potential (USDA-NRCS 2009;
Zúñiga and Magaña 2018; Krisnayanti et al. 2021):
• Type A. Soils with very high permeability and coarse texture. Low runoff
potential
• Type B. Soils with moderate permeability and medium texture. Moderate runoff
potential
• Type C. Soils with slow permeability and fine texture. High runoff potential
• Type D. Soils with very slow permeability (very impermeable soils). Very high
runoff potential
Terrain Slope α (Static Indicator)
For the calculation of the VE, the orographic characteristics of the terrain are
incorporated as a physical parameter to determine in a simple way the potential of
the hydrological basins to generate runoff due to the effects of gravity. Based on
geomorphological criteria (Sprenger 1978; Pedraza 1996), applied to a digital
elevation model (DEM) (https://www.inegi.org.mx/) with 30-meter resolution, ter-
rain slope values (α) are established:
1. Slope > 1% (3 ). Undulating areas or runoff contribution areas

2. Slope < 1% (<3 ). Flat areas or runoff accumulation areas (flood zones)
Compactness Index Kc (Static Indicator)
The compactness index or compactness coefficient (Kc) corresponds to a hydrolog-

ical parameter used to define the geometric shape of watersheds and thus establish
their potential for capturing rainwater and generating surface runoff (Campos 1987).
The calculation of Kc is performed using vector information of watersheds available
at http://www.conabio.gob.mx/informacion/gis/. Data processing is performed in a
GIS platform. Hydrologically, this index relates the perimeter and area of watersheds
to determine their geometry. The dominant shape of the watersheds can be defined as
circular or elongated:
Kc ¼ P=2π ¼ 0:28 P=ðAcÞ1=2
where:
Kc ¼ compactness index
P ¼ perimeter of the basin (km)
Ac ¼ area of the basin (km2)
The compactness values establish for Kc ≈ 1 circular watershed. These types of

geometries present greater potential for rainwater catchment and surface runoff
generation, due to their larger catchment area. This type of basin have slow response
times and are associated with large floods, while Kc values >1 are mostly associated
with elongated (rectangular) basin with characteristics opposite to those described
for circular basin.
The combination of the static (α and Kc) and dynamic (LUCC and HG) normal-
ized indicators results in the EVof the coastal region of the AJB. The different values
of EV will be used to evaluate the R-RP in the event of heavy rains in the following
way:
1. Runoff contribution as a result of the volume captured by the hydrological basins

and its transport toward accumulation zones due to orographic effect
2. Runoff abstraction and regulation due to the infiltration capacity of natural and
nonnatural soils
Hazard from Intense Rainfall
Heavy rainfall events are a contributing factor to the occurrence and magnitude of
flooding in the AJB. Therefore, establishing a threshold that allows characterizing
the hazard (H) makes it possible to analyze and understand the dynamics of flood
risk in this region. Therefore, in a first stage, the number of heavy rain events greater
than 100 mm accumulated during 3 days (danger) was determined. The number of
reference days is associated with the duration of tropical cyclones in the Mexican
Pacific coastal region (approximately 1 to 3 days) and with the frequency of floods
recorded during the period 1970–2010. The data used to establish the dynamics of
the intense rainfall hazard were obtained from the climatological stations of the
National Meteorological Service (https://smn.conagua.gob.mx/es/) distributed in
this region. The value of H was obtained empirically by associating rainfall intensity
values with the flooding records of the AJB contained in the disaster inventory
(https://www.desinventar.org/) and in the web portal of the Natural Disaster Fund
(https://www.gob.mx/segob/documentos/fideicomiso-fondo-de-desastres-naturales-
fonden).
For a second analysis, a flood scenario is designed using information on intense
rainfall (hazard) associated with a flood disaster of great magnitude and impact that
occurred in this coastal region of the Mexican Pacific. In order to evaluate the
dynamics (sensitivity) of the hydrological basins for the study period, a file is
designed with intense rainfall values (synthetic) corresponding to the event that
occurred on September 15, 2013, caused by Hurricane Manuel (HM). With the
support of a GIS, vector data of the hydrological basins of the study area are
processed to design a mask, which incorporates as a spatial attribute a numeric
field with the rain intensity value (100 mm) of the analyzed event.
Results and Discussion
The main objective of flood risk analysis is to prevent disasters and their impact on
the population and economy of the regions where these events are most frequent,
based on a multifactorial analysis of the EV and the hazard caused by heavy rains.
The estimation of flood risk results from the combined analysis of the natural
phenomenon considered as a hazard, which is commonly expressed in terms of
probability with the environmental vulnerability of the hydrological basins, resulting
from the analysis of dynamic and static indicators that are standardized for better
information management and processing. In this way, the estimated risk levels are
presented in the same normalized unit of analysis:
R ¼ ðH EVÞ
where:
R ¼ flood risk
H ¼ hazard
EV ¼ environmental vulnerability
• Risk is calculated using the equation of the CN method.

• EV values are obtained from standardized CN tables as a result of combining
dynamic and static indicators.
• When designing a flood scenario, the value of H is replaced by the rainfall
intensity recorded during the disaster.
However, if a particular flood scenario is to be designed, the information neces-

sary for its representation is established in terms of intensity. In this case, the rainfall
information is associated with the threat, which results from the materialization of
the hazard. Therefore, the VE must be evaluated considering the environmental
context at the time the disaster is sought to be reproduced. Due to the importance of
flood scenarios, it is important to validate them by comparing them with real
(recorded) information on the disaster event that occurred in the study region. The
great challenge of this type of tool is to determine appropriately the conditions of the
EV and the threat that prevailed before the occurrence of the flood, so that the results
can represent the spatial magnitude of the disaster in the affected geographic space.
This work analyzed the temporal dynamics of flood risk for the AJB, as a result of
comparing the EV of the hydrological basins of the AJB, between the periods 1970
and 2010, as a result of the rapid transformation of the natural landscape due to the
effect of the LUCC. A first analysis allows us to understand the behavior of flood risk
from the combination of rainfall intensity (H) values with EV information for the
Laguna de Tres Palos watershed. This basin is considered due to the frequency of
disasters recorded during the period 1980–2010. In a second analysis, it shows the
flood scenario that occurred in the AJB on September 15, 2013, due to the impact of
Hurricane Manuel (HM). During that flooding event, 100 mm of accumulated
rainfall was recorded in 24 h. The objective of the scenario is to show the importance
of evaluating the effect of the LUCC on the EV and flood risk, comparing the periods
1970 and 2010.
Analysis of Flood Risk Dynamics
Due to the geographic location of the AJB, intense rainfall events in this coastal
region of the Mexican Pacific may present interannual changes associated with the
dynamics of extreme atmospheric phenomena. Therefore, it is important to point out
that P values present greater variability in their frequency than that shown by the
EV. This situation has made it possible to establish that the dynamics of flood risk is
mostly associated with changes in hazard. However, it has been documented in
various regions of the world that the frequency of flood disasters is associated with
the level of the VE and not always as a result of an increase in intense rainfall events
(Romero Lankao 2010; Singh and Singh 2011; Zúñiga and Magaña 2018; Zúñiga
et al. 2020). Therefore, when attempting to explain the increase in flood activity, it is
important to integrate the effect of LUCC as an indicator of the environmental
vulnerability of watersheds.
Based on the analysis of the elements of flood risk (EV and H), it was possible to
reproduce the temporal distribution of disasters in the basin Laguna de Tres Palos, as
a result of combining the hazard (100 mm intensity) and the EV of the hydrological
basins for the period 1980–2010. Since the EV does not present the same temporal
behavior of the hazard, the data were fitted to a logarithmic function in order to show
its effect on risk levels as changes in the natural landscape by the LUCC change
(Fig. 3). The result allows establishing risk values (0.3) that can be considered
critical, due to the number of disasters recorded for those values. At this threshold, it
is possible to observe that the hazard and EV values individually or combined are
high. Another important element results from comparing the frequency of disasters
recorded in recent years with the values of EV, which show to be associated with the
dynamics of flood risk, even when the level of H is lower.
The result indicates that the probability of flooding increases as a function of the
level of environmental vulnerability in the hydrologic basin Laguna de Tres Palos.
Fig. 3 Time series of the number of events when precipitation exceeded 100 mm (long dashed
line), vulnerability index (short dashed line), risk estimation (solid line), and number of flood
reports (gray bars). © Zúñiga and Magaña
This flood risk analysis can be improved by integrating information on the spatial
dynamics of soil moisture prior to flooding, since this hydrological condition
contributes to the increase in the level of EV. However, the results can be used to
establish goals focused on reducing the LUCC and its effects on environmental
vulnerability and flood risk under climate change scenarios or extreme events, with
the objective of preventing future impacts.
Flood Scenario (September 15, 2013)
The Mexican Pacific coastal region, where the AJB is located, shows a higher
frequency of flood disasters in recent years (Fig. 3). It is also one of the regions
with the highest number of flood events recorded in Mexico in the last 50 years
(CENAPRED 2020; DesInventar 2013; FONDEN 2018). Its geographic location
increases its level of vulnerability and risk of flooding due to the occurrence of
tropical cyclones. The rapid transformation of the natural landscape, motivated by
the country’s urban and economic development during the 1980’s, resulted in an
increase in the LUCC and the EV in the hydrological basins of the AJB. This was
evidenced by the impact of Hurricane Manuel (HM) in September 2013, due to the
social (>100 deaths), economic (loss greater than 23 billion pesos) impact on the
region (CENAPRED 2013), as well as the loss of 45,000 homes (AON Benfield
2013). During October 1997 this same region was affected by tropical cyclone
Pauline (larger than HM); however the impact was less. During that period the
condition of environmental vulnerability that prevailed in the watersheds allowed the
regulation of runoff and the risk of flooding. This situation of disorderly growth and
the transformation of the natural landscape in the AJB can be observed in the
mountainous areas and around the Lagunas Coyuca and Tres Palos and AJB, as a
result of the LUCC (Fig. 4). This situation can be considered responsible for the
runoff that affects the flat areas (flood zones) of this coastal region.
As a result of the transformation process for the AJB, during the 1970s the
dominant land cover was forest with 58%, while nonnatural land cover (agriculture
and human settlements) accounted for 35% of the total surface area of the bay.
Fig. 4 Transformation of the natural landscape for the AJB. (a) 1970 and (b) 2010. © Zúñiga and
Magaña
Fig. 5 Spatial distribution of environmental vulnerability (EV) values for the AJB. (a) 1970 and
(b) 2010. EV levels: 0.0–0.2 (very low), 0.2–0.4 (low), 0.4–0.6 (moderate), 0.6–0.8 (high), and
0.8–1.0 (very high). © Zúñiga and Magaña
During the 2010 period, agricultural and tourist activity increased in the coastal
zone, while human settlements increased in the steeper elevated areas. This situation
favored the loss of natural cover by 40% and the increase of nonnatural surfaces
by 30%.
This disorderly process observed in the AJB clearly associated with the LUCC,
during the period of analysis (1970–2010), is the main indicator of the EV. The
expansion of surfaces with less capacity to infiltrate rainwater represents a greater
risk of flooding due to unregulated surface runoff. In summary, it is possible to
establish that the natural cover of the AJB has been modified by approximately
110 km2, which means losses of runoff regulation and control associated with
different rainfall intensities.
The values obtained for EV, corresponding to the periods 1970 and 2010 as a
result of the LUCC in the natural landscape of the hydrological basins of the AJB
(Fig. 5), show important changes during 1970, mainly reflected in the “very low”
(0.2) and “low” (0.4) levels, which decreased by 40% in 2010. This situation
indicates that the EV and the risk of flooding increased for these zones. At the
natural landscape level, during 2010, the greatest changes in the level of VE were
found in the mountainous zone of the AJB, where values between 0.2 and 0.6
predominate, while in the Tres Palos Lagoon, the “high” and “very high” levels of
VE are concentrated. It is important to note that human settlements and agricultural
areas have increased in these regions.
Spatially, the distribution of EV values allows us to identify the areas with the
greatest potential to generate runoff as a result of changes in the natural landscape
due to the increase in the LUCC. These zones can be observed mainly in the
southeastern region of the AJB, where elevated areas predominate and the Tres
Palos Lagoon is located. This current condition of the EV results in a higher risk of
flooding in the event of intense rainfall events. This situation of increased risk and
impact from flooding occurred during September 13 to 16, 2013, with the increase of
uncontrolled runoff through the hydrological basin Laguna de Tres Palos, as a result
of the intense rains caused by Hurricane Manuel (Pedrozo-Acuña et al. 2014a,
2015), affecting the populations of this coastal region.
Fig. 6 Distribution of direct runoff values for different land cover types using the NC method.
Forest (black solid line), jungle (dashed line with double dot), agricultural (dotted line), human
settlements (dashed line), and R-RP for 100 mm (blue solid line). © Zúñiga and Magaña
In the following Fig. 6, the hydrological response obtained for the natural and
nonnatural land covers with greater representation in the AJB can be observed. The
runoff value is the result of applying the NC method for different rainfall intensities.
Although the trend is positive in all cases, the anthropic covers show a greater
possibility of generating runoff, due to their limited infiltration capacity. As a result
of the high impermeability of urban areas, practically all precipitable water is
transformed into runoff. In agricultural soils, approximately 50% of the water
captured by the watershed is converted into surface runoff, considering the EV
estimated for this work. In rainfall greater than 50 mm, the runoff value for this
type of cover increases significantly. Considering an intensity of 100 mm as occurred
on September 15, 2013, the runoff value was 70 mm for agriculture and 98 mm for
human settlements. This same rainfall intensity, evaluated for forest and jungle
cover, generates runoff in the order of 43 mm and 18 mm. In other words, their
infiltration-regulation capacity is approximately 60% and 80%, respectively.
Based on this analysis, it can be established that the effect of the LUCC on the
natural landscape affects the natural runoff regulation capacity of watersheds,
increasing the EV and the risk of flooding in intense rainfall events, and, in cases
where the level of EV is “very high,” the risk would be associated with rainfall
events of lesser intensity.
As a result of evaluating the flood risk for the years 1970 and 2010, using as a
reference value the rainfall intensity (100 mm/24 h) recorded on September 15, 2013
(Fig. 7), it was determined that for the period 1970, the level of risk with the greatest
spatial extension corresponds to the “very low” and “low” levels, while for the
Fig. 7 Spatial distribution of flood risk values for the AJB. (a) 1970 and (b) 2010. © Zúñiga and
Magaña
period 2010, the fragmentation of the natural landscape by LUCC allows

establishing that the “high” and “very high” risk levels increased significantly.
These risk levels (high and very high) are associated with the increase in agricultural
and urban cover located mainly in the areas surrounding the Tres Palos Lagoon and
the elevated zone of the AJB. The major effect of the LUCC in the AJB has been the
transformation of “very low” risk areas (30%) estimated for 1970 to “high” and
“very high” risk values (40%) for 2010.
Because the region where the AJB is located is frequently affected by tropical
cyclones, the level of flood risk for the region can be considered critical, mainly for
the areas where the effect of the LUCC on the hydrological basins is greater. This
Bay experienced in September 2013 the impact of a large magnitude flood associated
with the MH, which affected a large part of the southeastern region of the bay
(Fig. 8). The intense rainfall recorded quickly increased from 100 mm/day to more
than 500 mm accumulated in 3 days (Pedrozo-Acuña et al. 2014a, b) in the Papagayo
hydrological basin. As a result of the floods, the region with the greatest impact was
located around the Tres Palos Lagoon. In this area, the deforestation process in the
mountainous region, urban and agricultural growth, increased significantly in the last
40 years (1970–2010) (Fig. 4).
The spatial distribution of areas impacted by the flood that occurred in September
2013 made it possible to compare and validate the estimated risk levels with the
flood scenario for the years 1970 and 2010 (Fig. 7). In both periods, risk values that
can be associated with impacts (disasters) were estimated. However, for the 2010
period, the “high” and “very high” levels calculated show greater correspondence
with the spatial magnitude of the flood observed in Fig. 8, because the affected
region is reproduced. The result for the 1970 period underestimates the level of flood
risk in a large part of the AJB, mainly in the area with the greatest impact. This
comparison between the risk values estimated for the scenarios (1970 and 2010) and
the satellite image makes it possible to establish that the VE associated with the
LUCC process represents an important tool for evaluating potential flood zones, as
well as for land management and flood risk reduction.
Fig. 8 Satellite image acquired days after the flood event of September 15, 2013, corresponding to
the southeast region of the AJB. The solid yellow line shows the affected area. The dark red colors
in the image show the flooded areas. (Source: Rapideye Image)
Conclusions
One of the regions with the greatest loss of natural soil cover during the period
1970–2010 was the coastal zone where the AJB is located (Bonasia and Ceragene
2021; Zúñiga and Magaña 2018). This transformation process is part of the envi-
ronmental deterioration observed in Mexico during the twentieth century (Mas et al.
2004), mainly due to agricultural development and the growth of urban centers in
various regions of the country. This situation seems to be associated with a higher
frequency of flooding events in various regions of Mexico, mainly where the
percentage of degradation in hydrological basins is higher than 50%, which affects

the infiltration potential of soils by up to 50% when forest cover is replaced by less
permeable surfaces such as agricultural land (Zúñiga and Magaña 2018).
Although the variability of intense rainfall hazard has been shown to be a
modulator of flood risk dynamics, the effect of LUCC on the EV level of watersheds
was shown to be a factor that can be associated with critical risk thresholds even at
low hazard levels. As a consequence, the effect of LUCC on land cover is reducing
the natural dynamics of watersheds in the face of rainfall events whose hazard is
changing as a function of the increase in EV, and with it, the existence of a highly
dynamic level of risk.
Due to the changes in EV and flood risk associated with the LUCC in watersheds,
it is essential to evaluate the R-RP considering various environmental and climatic
scenarios (i.e., climate change), in order to generate mitigation and reduction
strategies focused on the recovery of environmental services provided by water-
sheds, which allow reducing impacts on populations located in flat areas (flood-
plains) or near rivers, where surface runoff accumulates and is not regulated by
unnatural soils.
This study describes the importance of evaluating and quantifying the effect of
the LUCC in the analysis of flood risk, integrating dynamic (land cover) and static
(terrain slope and compactness index) indicators in the equation of the CN method,
with the purpose of explaining the dynamics of flood risk, establishing to what extent
the hazard or environmental vulnerability individually or combined generates a
greater change in the level of risk. Although the proposed methodology shows
favorable results for analyzing flood risk in hydrological basins of the AJB, it is
important to integrate soil moisture information as a dynamic indicator of
infiltration-runoff capacity for the different land covers analyzed.
Finally, the study developed on flooding in the AJB shows the importance of
conserving and maintaining a balance in terrestrial ecosystems to avoid future
flooding associated with the transformation of the territory by the LUCC. This
environmental approach is related to Sustainable Development Goal 15 (Life on
land), which promotes environmental management and land restoration in the
regions of Latin America and the Caribbean where degradation is higher. Therefore,
SDG-15 constitutes an important tool in the prevention and reduction of flood risk
through the adoption of measures that reduce the vulnerability of terrestrial
ecosystems.
Acknowledgments This study was supported by the National Laboratory of Earth Observation
(LANOT-2022) LN-CONACYT-2022, providing computing infrastructure for data processing. We
thank Gustavo Vazquez Cruz for his support in scientific computation.
Funding This research received financial support from CONACYT by means of the Cátedra
Patrimonial to Emmanuel Zúñiga. The support from Instituto de Geografía – Universidad Nacional
Autónoma de México and LANOT is also appreciated.
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Implementing the SDGs Through
Community Rural Tourism in Central
Mexico: COVID-19 Pandemic
Humberto Thomé-Ortiz
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
The Relationship Between the SDGs and Rural Tourism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
Researching the Links Between SDGs and Rural Tourism in the Context of
the Pandemic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
Reconceptualizing Rural Tourism in the Twenty-First Century . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222
Re-organize Rural Tourism in Terms of Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
Adaptability and Resilience in Rural Tourist Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
Implementation of the SDGs in Rural Tourism: Challenges and Opportunities in the Face
of the COVID-19 Pandemic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225
Implementation of the SDGs in Rural Tourism Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226
The Environmental Dimension in the Implementation of the SDGs, Through Rural
Tourism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226
The Socio-cultural Dimension in the Implementation of the SDGs in Rural
Tourism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227
The Economic Dimension in the Implementation of the SDGs Through Rural
Tourism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
Adaptation of Rural Tourism in the Context of COVID-19 Through the SDGs . . . . . . . . . . . 230
The Role of the SDGs in the Reactivation of Rural Tourism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231
What Lessons Have Been Learned Regarding Implementing the SDGs in Rural
Tourism? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232
Cross-References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234
Abstract
Rural community tourism plays a vital role in the economic reconfiguration of
rural spaces. It is considered a tool for territorial development with multiple
H. Thomé-Ortiz (*)
Institute of Agricultural and Rural Sciences, Autonomous University of the State of Mexico,
Toluca, Mexico
e-mail: hthomeo@uaemex.mx

https://doi.org/10.1007/978-3-031-16017-2_11
212 H. Thomé-Ortiz
economic and social benefits. This tourism modality is essential for generating
jobs, economic inclusion of women and young people, and a tool for preserving
heritage. As tourism is an economic activity, its implementation is a form of
productive diversification of the territory and a complementary action aimed at
rural development, specifically in rural contexts of poverty. Due to human
mobility restrictions derived from the COVID-19 pandemic, non-crowded
forms of tourism, such as rural tourism, are the first to be activated through
proximity trips to open, natural, and no crowded spaces perceived as safer in the
context of the emerging need for social distancing as a health measure. The
reactivation of rural tourism is an opportunity to stimulate the implementation
strategies of the SDGs, which have been slowed down by the pandemic and
which can be retaken from the recreational leisure practices of urban societies.
Through multiple case studies, eight rural community tourism enterprises are
analyzed to identify how this activity contributes to the continuity of the SDGs in
rural areas in the pandemic context.
Keywords
Rural tourism · Sustainability · Rural development · Health crisis · Resilience ·
Adaptability · Mexico
Introduction
In recent decades, the global economic diversification of the territories has

restructured the Mexican countryside. This phenomenon converges with rural pov-
erty, the technification of agricultural production, and the rural exodus to the cities.
These changes result from multifunctionality and rural pluriactivity policies, where
activities that generate complementary income, such as tourism, stand out.
Rural tourism is an emerging trend in Latin America, facing the transformations
of the tourist market. It is focused on mass models that do not respond to the leisure
needs of urban societies, in which tourists seek to mitigate the tensions of modern
life and reconnect with culture and nature, thereby resignifying the objectives of
tourism and free time in twenty-first-century societies. Therefore, the study of rural
tourism must include the perspective of local actors to understand how public
policies impact them and how they can influence their socioeconomic development
process (Freindenberg 2000).
Mexican rural tourism dates back to the 1990s, when public policies focused their
efforts on the productive diversification of rural territories (Garduño et al. 2009).
However, many of these programs have presented discontinuities due to political
changes. They are oriented towards developing tourist infrastructures, ignoring the
importance of developing human capital to consolidate a comprehensive tourist
offer. This fact explains their limited effectiveness in reducing poverty and the low
level of social appropriation in these initiatives.
In Central Mexico, public resources have been invested in rural tourism infra-
structure (accommodation and restaurants) to eradicate poverty and promote the
Implementing the SDGs Through Community Rural Tourism in Central Mexico:. . . 213
territory’s development (Cardozo 2006). However, the results of these initiatives

have not shown to be efficient in this regard (González-Domínguez et al. 2018).
A fundamental aspect of consolidating rural tourism projects with social impact is
the inclusion of host communities from a participatory perspective. This aspect
affects a proper social appropriation of the tourism projects by developing socio-
organizational capacities on a local scale (Palomino et al. 2016).
The above represents a new scenario of challenges and opportunities for tourism
since human mobility became a natural vector for transmitting the virus. The
COVID-19 health crisis that broke out at the end of December 2019 in Wuhan,
China (Korstanje 2020), spread globally due to the high mobility of tourists (Gaffney
and Eeckels 2020). International and regional mobility was replaced by autonomous
and short-range mobility focused on proximity to destinations. This aspect reveals
that people have incorporated tourist leisure to maintain their quality of life. How-
ever, given the health crisis, they would opt for this practice of non-crowded, closer
spaces that allow greater trip control.
During the first closure of activities, tourism in Mexico, not being considered an
essential activity, was suspended from March 15, 2020 (Zepeda et al. 2020). The
behavior of tourists was erratic, and tourist flows were unstable due to the psycho-
logical effects of the fear of contagion and the crisis linked to the paralysis of the
economy (Thomé-Ortiz 2020).
According to Silva (2021), sanitary restrictions have also harmed rural tourism, a
susceptible aspect of decreasing the economic income of the populations dedicated to
this activity. Faced with the crisis, many of these rural communities resumed agricul-
tural production, an aspect that highlights the importance of looking at tourism only as
a complementary activity to traditional activities. It has been considered that the total
recovery of tourist activity will be long term (Ceron 2020). It is observed that the
expressions of proximity tourism, such as rural tourism, present better reactivation
forecasts, given their characteristics that respond better to the specific needs of the
pandemic. For this reason, the planning and design of rural tourism must have the
ability to respond to complex problems from a multidisciplinary perspective. The
boom that rural tourism is experiencing in the face of the pandemic calls for promoting
a tourism model that is more respectful of the environment and social structures at the
local level (Hiernaux-Nicolas 2020). This model can take up the SDGs as a strategic
vision of the future, connected to problems of global interest.
In this sense, it is essential to study the role that rural tourism can play in improving
the quality of life of rural inhabitants. This chapter focuses on the link between SDGs
and rural tourism, seen as a tool for socioeconomic transformation that can have
various interconnections with the objectives set out in the 2030 agenda. Rural tourism
has been consolidating as a proximity recreational alternative for large cities, in this
case, the metropolitan area of the Valley of Mexico, located in the central region of
Mexico, that makes up the fifth-largest metropolis in the world (United Nations 2018).
The demand for proximity tourism products has grown since the COVID-19 pan-
demic, a disruptive element in which the sustainable management of rural capital will
be crucial in designing and implementing rural development policies.
The relationship between rural tourism and SDGs is in a state of incipient
maturation, which is why the scarce empirical evidence on this relationship (Cho
et al. 2021) must be enriched through case studies in different regions of the world.
This text addresses this relationship based on the case study of Central Mexico,
evaluating the contribution of rural tourism to the SDGs and outlining some guide-
lines that can be considered in the tourism management of rural capital.
Rural tourism in Mexico has been managed by improvisation and market orien-
tation. As a tool for political positioning, it is essential to explore some criteria for its
sustainable operation and design. Among such criteria, the SDGs can guide how
rural tourism can become a tool for rural development.
The qualitative approach of this chapter focuses on empirical evidence, so it is
closely related to the heuristic method. The SDGs’ agenda is a helpful reference for
seeking strategies and methods for solving human problems through divergent ways
of thinking in specific scenarios.
This chapter consists of nine parts. Followed by this introductory section, the
relationship between the SDGs and rural tourism is addressed to continue with a
methodological reflection on investigating the previous relationship. Subsequently,
how rural tourism activity is conceptualized in the twenty-first century is discussed
and the need to re-organize the said activity in terms of sustainability. In the section
“Adaptability and Resilience in Rural Tourist Areas”, the idea that a sustainability
approach is a tool of adaptability to the crisis for rural tourist spaces is developed. In
contrast, the section “Implementation of the SDGs in Rural Tourism: Challenges and
Opportunities in the Face of the COVID-19 Pandemic” deals with the challenges and
opportunities of implementing the SDGs through rural tourism. The section “What
Lessons Have Been Learned Regarding Implementing the SDGs in Rural Tourism?”
reflects on the lessons learned about implementing the SDGs in the tourism enter-
prises studied. Finally, the conclusions of the chapter are presented.
The Relationship Between the SDGs and Rural Tourism
The SDGs are an operational expression of the Millennium Development Goals in

the 2030 Agenda. Through them, 17 areas of specific interest are expressed to
achieve sustainable development in the socioeconomic, environmental, and global
governance fields. These agendas aim to guide specific actions that help the general
well-being of humanity in the face of an uncertain future. In this way, achieving
compliance with the SDGs supposes actions of global interest that materialize in the
local spheres, for which coordinated action is necessary between civil society, the
government, academia, and the private sector to face the various challenges pre-
sented by the twenty-first century.
The main goals summarized in the SDGs are climate action, poverty reduction,
and ending inequalities, which operate under the premise that no one is left behind
(United Nations 2020). In this sense, it is essential to mention that some research has
described tourism as a tool to consolidate sustainable development strategies
(Gössling and Hall 2019).
Following the above, tourism is a productive sector with the capacity to articulate
the SDGs. The focus of rural tourism on the natural and cultural resources of the
countryside highlights the importance of rethinking production, distribution, and

consumption in light of the SDGs. Rural tourism is seen as a development strategy
that has the possibility of being managed from the perspective of sustainability.
Although tourism only appears in SDGs 8, 12, and 14 (Hall 2019), it can be
affirmed that rural tourism can have an impact on all the SDGs (UNWTO-OEA
2018), depending on the kind of tourism that is developed and the economic,
cultural, political, and environmental characteristics of the territory.
It is needed to highlight the World Tourism Organization’s role in actively
promoting the SDGs through concrete actions aimed at economic growth, equity,
and human well-being in different local initiatives. In the particular case of rural
tourism, actions aimed at designing, managing, and evaluating tourism products
affect the management of rural capital, prevent the loss of biodiversity, stimulate the
protection of cultural heritage, and form resilient societies. These aspects are critical
in rural areas of less developed countries (Meuleman 2019), such as those located in
the Latin American and Caribbean regions.
Below the role that rural tourism can play in each of the SDGs is analyzed:
Goal 1. End poverty in all its forms and everywhere. Tourism is one of the largest
economic sectors globally, so its orientation towards rural areas can promote
economic growth and development through job creation. Rural tourism develop-
ment must be linked to national policies to reduce rural poverty by promoting
entrepreneurship and developing capacities for rural inhabitants.
Goal 2. End hunger, increase food security, improve nutrition, and promote
sustainable agriculture. Rural tourism is an adequate exhibition platform for
local agrifood systems, affecting the conservation and valorization of traditional
production systems by integrating them into the value chain of tourist activity.
In addition to agrotourism as a specific typology that can contribute to strength-
ening local production, the increase in income related to tourism activity can
positively impact the quantity and quality of food to which rural communities
have access.
Goal 3. Ensure healthy lives and promote well-being for all people of all ages. Rural
tourism, being an engine of growth and economic development, can indirectly
affect the health and well-being of people. Complementary income from rural
tourism can be invested in health and disease prevention through the role of the
State, which must invest the taxes collected from rural tourism in rural welfare
programs.
Goal 4. Ensure inclusive and equitable quality education and promote lifelong
learning opportunities for everyone. It is vital to consider rural tourism as a
comprehensive development tool that prioritizes people. Accordingly,
implementing tourism in the countryside should be a vehicle for capacity devel-
opment and empowerment of rural communities, providing intellectual and
technical tools for territorial management.
Goal 5. Achieve gender equality and empower all women and girls. Rural tourism
can be a helpful tool for women’s empowerment by creating jobs and opportu-
nities for income generation. In many rural tourism projects in Mexico, it is
observed that female work reproduces the stereotypical gender roles assigned to
women, focused on reproductive and care work (Thomé-Ortiz et al. 2018). Rural
tourism has the unfinished business of ensuring that women’s jobs are pretty paid
and opportunities for women to occupy managerial positions within tourism
structures.
Goal 6. Ensure the availability and sustainable management of water and sanitation
for all the people. Rural tourism projects must guarantee the efficient use of water
and the appropriate management of residual waters through appropriate
technologies.
Goal 7. Ensure access to affordable, reliable, sustainable, and modern energy for
everyone. All rural tourism projects must guarantee the use of renewable and
sustainable energies through long-term investments in technology.
Goal 8. Promote continued, inclusive, and sustainable economic growth, full and
productive employment, and decent work for everyone. Rural tourism can be a
tool to include rural societies within dynamic economic circuits, helping to
redistribute wealth between rural and urban areas.
Goal 9. Build resilient infrastructure, promote inclusive and sustainable industrial-
ization, and foster innovation. Rural tourism is one of the economic activities that
has had the most significant impact on the development of infrastructure in the
countryside. At the same time, it should be seen as a form of territorial innovation
based on productive restructuring at the local level.
Goal 10. Reduce inequality. Rural tourism can support the reduction of inequality to
the extent that it includes, horizontally, the local population and that it serves as a
mechanism for redistributing wealth and opportunities between rural and urban
areas.
Goal 11. Make cities and human settlements inclusive, safe, resilient, and sustain-
able. Rural tourism can promote the organization and provision of infrastructure
for human settlements in the countryside, thus improving the quality of life of the
local population.
Goal 12. Ensure sustainable consumption and production patterns. Rural tourism is
essential for generating job opportunities within the territory that simultaneously
encourages local culture and products, thereby generating economic, environ-
mental, and social benefits.
Objective 13. Adopt measures to alleviate climate change and its effects. Rural
tourism must guarantee the reduction of energy consumption and the use of
renewable energy sources based on appropriate technologies in its infrastructures
and promote local consumption and proximity tourism, reducing the negative
impacts caused by long-range transfers.
Goal 14. Rational use of the oceans, seas, and marine resources for sustainable
development. Rural tourism must become a territorial planning tool that allows
the preservation of fragile marine ecosystems and increase the economic benefits
of coastal populations.
Goal 15. Protect, restore, and promote sustainable use of terrestrial ecosystems,
manage forests sustainably, combat desertification, halt and reverse land degra-
dation, and halt biodiversity loss. In this sense, tourism can be a tool for
managing, conserving, and preserving biodiversity, which works in two ways,

through specific regulations and environmental education strategies.
Goal 16. Promote peaceful and inclusive societies for sustainable development,
provide access to justice for all the people, and build effective, accountable,
inclusive institutions at all levels. Rural tourism can promote tolerance and
intercultural negotiation while providing a livelihood based on local identity,
helping to eliminate violence and conflict, essential aspects for rural areas of
Mexico, many of them co-opted by drug trafficking and organized crime (James
2014).
Goal 17. Strengthen the means of implementation and revitalize the Global Part-
nership for Sustainable Development. The multisectoral nature of tourism can
contribute to the association of the actors involved to seek local, sustainable
development.
The implementation of the SDGs in rural tourism initiatives constitutes a signif-

icant change in how contemporary leisure is conceived, moving from a capitalist
consumption activity to a sustainable development tool that provides significant
experiences to social actors. It is necessary to rethink rural tourism within the current
socioeconomic and environmental challenges.
Researching the Links Between SDGs and Rural Tourism

in the Context of the Pandemic
Given that the relationship between SDGs and rural tourism has been scarcely
researched in the Latin American context, this chapter was developed as exploratory
qualitative research. The multiple case study technique was used to analyze eight
rural tourism projects constituting a representative sample of Central Mexico. The
study area was selected given this space’s magnitude in the tourist market. Despite
the enormous proportions of the Valley of Mexico metropolitan area, within its
limits, critical rural areas with vast natural and cultural resources are valued for
tourism in recent times. The relevance of the selected case is related to the quantity,
quality, and intensity with which the urban-rural relationship is expressed.
Much of the information comes from secondary sources, meaning that the
researcher sought to adopt a non-intrusive perspective that would provide a long-
term analysis to visualize the impact of the SDGs on rural tourism management. The
documentary research was complemented with exploratory fieldwork based on semi-
structured interviews that generate distance from the dominant discourses on the
positive aspects of government programs for implementing rural tourism, seeking a
more genuine approach to the local realities studied.
It is considered that the study of socioeconomic transformations in rural areas
reaches greater depth from a qualitative approach. The selection of paradigmatic
examples has a didactic and schematic value that achieves its most unique expres-
sion through case studies. Given that this chapter intends to analyze a geographic
region of Mexico (Central Mexico), it has considered to adopt the perspective of the
Fig. 1 Location map of the rural tourism projects studied. (Copyright owner: Humberto
Thomé-Ortiz)
multiple case study (Stake 2000) through eight rural tourism enterprises in
peri-urban areas of Central Mexico (see Fig. 1) between March 2020 and December
2021.
The main focus of the chapter is the implementation of the SDGs in eight rural
tourism projects that have been promoted through public policies of the Mexican
government, which are shown in Table 1.
Based on the empirical study of these eight projects, it is possible to outline
the contours of implementing the SDGs in Central Mexico’s rural areas through the
territory’s tourist use. The previous is particularly relevant in the context of the
COVID-19 pandemic, in which rural tourism has become a leisure and recreation
alternative for urban societies experiencing the effects of the economic crisis,
confinement, and social distancing.
It is necessary to generate changes concerning rural tourism conceived at the end
of the twentieth century and the beginning of the twenty-first century. Reflections
like the one presented in this chapter can contribute from the local sphere about
adaptability processes to the socioeconomic limitations posed by an environmental
crisis.
It is essential to take into account some considerations that serve as a reference for
the writing of this chapter:
1. The COVID-19 pandemic has negatively impacted tourism activity, opening a

niche of opportunity for forms of local tourism, not overcrowded, such as some
expressions of rural tourism.
Table 1 Rural tourism projects analyzed and their characteristics
Rural tourism Tourist
project Location Website typology(s) Featured SDGs
Matawii Park San Francisco Oxtotilpan, https://rutopia.com/ecoturismo/mexico/parque- Ethnotourism 1 NO POVERTY
Temascaltepec ecoturistico-maatawi Biocultural 4 QUALITY EDUCATION
tourism 5 GENDER EQUALITY
8 DECENT WORK &
ECONOMIC GROWTH
10 REDUCED
INEQUALITIES
Corral de Piedra San Jerónimo, Amanalco https://www.ccmss.org.mx/parque-ecoturistico-corral- Ecotourism 4 QUALITY EDUCATION
Park piedra-ecoturismo-actividad-economica-sostenible-los- 6 CLEAN WATER &
ejidos-forestales/ SANITATION
8 DECENT WORK &
ECONOMIC GROWTH
14 LIFE BELOW WATER
15 LIFE ON LAND
Bosque Esmeralda Ejido Emiliano Zapata, https://bosqueesmeralda.com.mx/ Ecotourism 1 NO POVERTY
Park Amecameca 4 QUALITY EDUCATION
8 DECENT WORK &
ECONOMIC GROWTH
10 REDUCED
INEQUALITIES
15 LIFE ON LAND
Tiacaque Park Tiacaque, Jocotitlán http://jocotitlan.gob.mx/index.php/parque-ecoturistico- Ecotourism 1 NO POVERTY
tiacaque/ Adventure 4 QUALITY EDUCATION
6 CLEAN WATER &
Implementing the SDGs Through Community Rural Tourism in Central Mexico:. . .
trip
SANITATION
14 LIFE BELOW WATER
(continued)
219
220
Table 1 (continued)
Rural tourism Tourist
project Location Website typology(s) Featured SDGs
Sendero San Lucas San Lucas, Amanalco https://procuenca.org/bikepark-san-lucas/ Ecotourism 4 QUALITY EDUCATION
Adventure 8 DECENT WORK &
trip ECONOMIC GROWTH
9 INDUSTRY,
INNOVATION &
INFRASTRUCTURE
13 CLIMATE ACTION
La Mesita Park Ejido Acambay, Acambay https://acambaydtslamesita.com/ Cultural 1 NO POVERTY
tourism 4 QUALITY EDUCATION
Adventure 5 GENDER EQUALITY
trip 8 DECENT WORK &
ECONOMIC GROWTH
10 REDUCED
INEQUALITIES
Bosque Detiña Ejido Detiña, Acambay https://www.facebook.com/Parque-Ecotur%C3%ADstico- Adventure 4 QUALITY EDUCATION
Park Bosque-Deti%C3%B1a-Oficial-1128246280675779/ trip 10 REDUCED
photos/?ref¼page_internal INEQUALITIES
15 LIFE ON LAND
Borbollón Ixtapa, Temascalcingo https://vivetemascalcingo.blogspot.com/2013/04/el- Health 1 NO POVERTY
Ecotourism Park borbollon.html tourism 4 QUALITY EDUCATION
5 GENDER EQUALITY
8 DECENT WORK &
ECONOMIC GROWTH
Copyright owner: Humberto Thomé-Ortiz
H. Thomé-Ortiz
2. The rural communities that can best take advantage of tourism will be those that
present a diversified productive model, conserving their traditional activities and
complementing them with innovative proposals.
3. The rural tourism projects that have managed to survive the pandemic present a
highly differentiated value proposition based on the precepts of environmental,
economic, and social sustainability, thus having the capacity to meet various
social needs.
4. Rural tourism in the context of the pandemic must be oriented towards the vision
of tourist leisure as a constitutive element of quality of life, of awareness of one’s
life experience, and as a tool for socioeconomic development, leaving behind its
exclusive role as an expression of the “good life” and social distinction
(Bourdieau 2012).
This consideration was raised in light of different moments of closure and

reopening experienced intermittently, depending on the epidemiological conditions
reported by the Mexican government.
The unpredictable behavior of the SARS-Cov-2 virus and the erratic response of
society and institutions pose a volatile scenario in which local rural tourism must be
managed flexibly. In the first stage, called disruptive, there was a total closure of
non-essential economic activities, including rural tourism (from March to August
2020). A partial reopening of tourist establishments was generated from August
2020 until December of the same year, with controlled capacity and strict biosecurity
protocols. There was a second closure of activities from the end of 2020 to
mid-January 2021 due to a spike in COVID-19 infections. Since the end of January
2021, activities have remained open, with relaxation in security measures associated
with progress in the application of complete vaccination schedules and booster doses
among the adult population of Mexico, despite the presence of the Delta variable.
However, towards December 2021 and the beginning of 2022, the increase in
infections due to the Omicron variable has generated significant speculation about
the third stage of mass confinement and closure of non-essential activities.
The actors interviewed for the writing of this chapter were selected through a
non-probabilistic convenience sampling, which allows selecting accessible subjects
who agree to be included or based on their physical proximity (Otzen and Manterola
2017). Semi-structured interviews (N ¼ 8) were applied to those in charge of tourism
enterprises to identify how their projects implement the SDGs in the context of the
COVID-19 pandemic through strategies linked to environmental, economic, and
social sustainability. The changes tourism projects have made in social organization,
collective action, and capacities to face the health crisis were inquired.
The interviews were structured from a section of identification of the person
interviewed, and later the following topics were included:
(i) Impacts of the pandemic on tourism activity

(ii) Relationship of tourism activities with specific SDGs, from the perspective of
environmental, economic, and social sustainability
(iii) The SDGs as criteria and guidelines for the adaptation of rural tourism in the
face of structural changes
(iv) The opportunities presented for the future by a vision of sustainable rural
tourism (harmonized with the SDGs)
The following sections systematize the main lessons learned about the relation-
ship between rural tourism and SDGs during the COVID-19 pandemic.
Reconceptualizing Rural Tourism in the Twenty-First Century
The twenty-first century presents many challenges related to humanity’s economic,

social, and environmental crises. In this sense, one of the most important tasks to be
carried out is resignifying productive activities through socioeconomic innovation
processes aimed at a global structural change.
Rural tourism can play a fundamental role in resignifying recreational leisure,
moving from a model of conspicuous consumption based on mechanisms of social
differentiation (Bourdieau 2012) towards a new model based on the transformative
experience and a sustainable economy. For this, it is necessary to generate innovative
tourist proposals deeply anchored in nature and culture, with the tourist activity
being a tool for its preservation and raising awareness in society.
In the context of the revaluation of rural space as a tourist scenario, it is essential
to identify the opportunities for productive reactivation of the countryside based on
the new correlations between production and consumption that occur in the light of
an economy strongly determined by services (Elms et al. 2017).
Through rural tourism, it is feasible to promote local resources, which reduces
energy expenditure for transportation while simultaneously stimulating the growth
of local economies, small-scale businesses, and the redistribution of wealth in a
region. The preceding is not only the result of a technical adjustment in the tourist
management of rural areas since it is fundamentally due to a social change regarding
the contemporary meanings of tourism and free time.
A vision of rural tourism focused on transformative experiences places the
exercise of free time as an essential indicator of people’s quality of life, as part of
a whole life experience based on culture and nature, and as a mechanism for
restitution of the physical and psychological integrity of individuals.
The rural environment can provide a wide range of cultural services, through
which many of the mentioned needs can be met. However, it is also essential to
consider the permissible growth limits of tourist activity. Excessive touristification
can compromise the strategic resources that safeguard the rural environment (natural
resources, cultural heritage, and agrifood production) and thereby compromise local
well-being.
It is crucial to consider that the COVID-19 pandemic has caused tourism to be
rethought through new biosafety protocols, the need for greater independence in
managing the overall tourist experience, greater personalization of tourism products,
and the economic and mobility restrictions derived from the health crisis. In this
sense, it is vital to consider quickly the adaptation of the new needs through
innovative proposals focused on meeting needs and solving problems. Indeed, an
approach of this nature implies moving from an exclusively market-oriented vision
to another that incorporates the central concern for the needs of local inhabitants and
the conservation of natural and cultural assets (Hall 2019). Next, the implementation
of a sustainability approach in rural tourism is discussed.
Re-organize Rural Tourism in Terms of Sustainability
Design sustainable rural tourism experiences requires a model of participatory

tourism governance that longitudinally integrates the different levels of government,
structures, and social actors within a given social field. Achieving the goals
contained in the SDGs through a complex activity such as tourism requires the
establishment of alliances (SDG 17) based on dialogue, consensus, and collective
organization among the heterogeneous group of social actors that participate in the
activity (Adie et al. 2020). Contributing to the SDGs from the perspective of rural
tourism requires concerted action between host communities, civil society organi-
zations, the government, and private initiatives, an aspect that indicates that the
significant challenges of the twenty-first century must be thought from collective
action (Siakwah et al. 2020).
Rural tourism is a specific category of tourism that distances itself from mass
tourism. In this sense, the top-down approaches that support rural development
policies must be replaced by participatory approaches. In this sense, it is necessary
to understand the transforming role that new productive activities (such as rural
tourism) produce in local economic structures, generating institutional and political
changes that redefine rural tourist destinations (Pilving et al. 2019).
The changes implied by the overlapping SDGs and rural tourism are related to a
total redefinition of the archetypes of meta-governance (Amore and Hall 2016) of the
rural space, that is, with the rethinking of technical and economic conditions in rural
areas. Rural tourism expresses a mechanism of adaptability of the territory towards
new social demands, addressed in the following section.
Adaptability and Resilience in Rural Tourist Areas
Ruralities in the twenty-first century present profound transformations, among which

multifunctionality of the territory and pluriactivity of social actors stand out. These
two aspects have influenced the touristification of rural areas as one of the main tools
for socioeconomic activation of the territory. Tourism has been one of the primary
sources of economic diversification of rural income (Rico 2005), providing
resources and well-being to many rural families (Machado et al. 2020).
The implementation of rural tourism has positively affected communities that
experience conditions of marginalization and poverty. The outbreak of the COVID-
19 pandemic has shown the ambivalence of this model of rural productive
restructuring, particularly affecting those oriented towards tourism, abandoning

primary productive activities. It is necessary to think about adaptation strategies to
the crisis and resilience based on the characteristics and needs of the communities.
From this perspective, tourism must be studied as a complex and changing
phenomenon in which social actors constantly intervene in the transformation and
organization of the territory (Morales 2014). It is possible to outline collective
strategies that social actors develop facing a crisis (Romero 2021); this must go
beyond a strictly economistic vision, focusing on the recovery of rural capital
(Landínez 2019), placing local actors as the central axis of development.
The concept of adaptability originated in the natural sciences, approximating
evolution in the ecological fabric. Later, it was adopted by the social sciences under
the premise that a natural ecosystem is similar to human systems. In this sense,
human beings are the actors and recipients of development and a primary element in
the ecological system. In such a way, human intervention plays an essential role in
changing the environment (Zhao 2018). In the tourism field, adaptability is a
constant action that occurs under the logic of a dynamic system (Rodríguez et al.
2010), through which tourism activities can adapt to disruptive scenarios constantly.
The social effect of the health crisis due to COVID-19 has caused rural commu-
nities to respond immediately, adapting to the new environmental conditions. Social
stress, associated with these exogenous aspects, usually leads to balance conditions
related to adaptability (Young 2010).
Palomino and López (2019) conceptualize community resilience as the capacity
to defend the territory and the identity against exogenous threats. In this way,
resilience has been a historical expression of the territories to face their adversities
(Uriarte 2013). Huitraleo (2019) affirms that community resilience is the capacity of
a social system to face problems and find ways to rebuild itself. It is essential to
underline the importance of including local worldviews and territorial claims in the
tourism implementation with a perspective focused on the SDGs.
The harmonization of the SDGs with the worldviews and claims of rural spaces
must be understood from adaptability. According to Smithers and Smit (1997): every
human group adapts based on survival to improve its quality of life or take advantage
of opportunities to plan and manage adaptation based on systems. Smith et al. (1999)
indicate that adaptability processes or measures can be spontaneous or planned and
respond to adverse effects, vulnerabilities, opportunities, conditions, changes, or
current, actual, or projected consequences.
In this regard, Batterbury and Forsyth (1999) mention that adaptation processes at
the local scale are developed in the intensification of land use, economic diversifi-
cation, institutional changes, and demographic transitions. Based on this, it is
assumed that the rural environment has been configured historically in scenarios of
uncertainty that have determined its activities and economic dynamics. The adapt-
ability of rural tourism enterprises can be analyzed in three dimensions:
(a) Economic: Capacity of the social actors to produce and maintain value and
productivity, combining assets to strengthen local products and services that
point towards generalized well-being
(b) Environmental: Capacity of social agents to value their surroundings, guarantee-

ing the conservation and renewal of natural and heritage resources
(c) Social: Capacity of the social agents to act in a consensual way in concert with
different levels and sectors of the institutional apparatus, moving towards equity
as the primary objective
Rural tourism is an ambivalent strategy that presents risks and opportunities

(Li et al. 2020), so it can be better exploited based on a clear set of guidelines
derived from a vision focused on the SDGs. Social adaptability contributes to
understanding the necessary adjustments in the local processes of implementation
of the SDGs, being essential for a precise understanding of the aspects that must be
adapted and the mechanisms that induce change (Zhao 2018).
Implementation of the SDGs in Rural Tourism: Challenges

and Opportunities in the Face of the COVID-19 Pandemic
Rural tourism illustrates one of the essential historical transformations of the rural
environment in recent times, marking a break from the paradigm of the exclusive
countryside-agriculture binomial (Canovés et al. 2005). Although rural tourism is an
activity that is here to stay, the outbreak of the COVID-19 pandemic shows that its
demand is retractable, depending on the perception of risks by tourists (Korstanje
2020). In this sense, it can be affirmed that rural tourism as a social phenomenon is a
source of reorganization of the rural space, which provides new livelihoods for rural
actors, which must be adopted strategically (Li et al. 2020).
The sustainability paradigm contained in the SDGs provides a relevant frame-
work for action to ensure that tourism activity provides balanced benefits between
the social, environmental, and economic spheres, particularly in the relations that
occur between rural and urban areas. Indeed, the rural space is a reservoir of natural
and cultural assets, critical elements for humanity’s quality of life. That is why the
planning, management, and evaluation of rural tourism must be guided by clear
guidelines that allow the preservation of natural resources, the social reproduction of
rural communities, and people’s well-being.
Rurality in Mexico is a complex network of relationships whose characteristics
are heterogeneous and diverse within a dynamic environment (Madera 2020), so the
implementation of the SDGs implies individualization according to the characteris-
tics and needs of each particular tourism project. The disruptive scenario produced
by the COVID-19 pandemic must be added, in the face of which it is observed that
rural communities have generated adaptability strategies. Many of these strategies
have been adopted intuitively, without clarity regarding the reference framework of
the SDGs, which is why their integration is necessary within the design, manage-
ment, and training processes for rural tourism.
Rural tourism projects addressed in this chapter made it possible to discover the
mechanisms through which some of the principles of the SDGs have been adopted as
tools for social adaptation to the conditions imposed by the pandemic. Some of the
most relevant findings of this study are presented below.
Implementation of the SDGs in Rural Tourism Projects
None of the tourist enterprises studied explicitly linked with the SDGs, or any
institutionalized relationship for their implementation was identified. However, the
contribution to several SDGs through rural tourism projects is observed (see
Table 1). Those enterprises that show greater sensitivity to environmental, economic,
and social sustainability are those whose managers have higher levels of cultural
capital (Bourdieu 2012), obtained through academic training processes.
The previous means that the formal education of rural tourism managers is a
favorable aspect for implementing the SDGs through the characteristics of the
tourism offer, quality systems, and awareness processes of both the receiving
communities and the tourists. The conditions required by the restructuring of rural
tourism in the face of the COVID-19 pandemic generate a better positioning of
destinations aligned with the universal postulates of sustainable development. Only a
few tourist destinations have been able to create alternatives before critical scenarios
facing tourism (Vaishar and Stastna 2020).
Not all the tourism enterprises studied have shown the same ability to contribute
to SDG implementation. However, many new demands regarding biosafety,
non-overcrowding, ethics, and social responsibility, driven by the tourism market
(sensitized by the pandemic), can be an essential driver for implementing the SDGs
in various types of tourism offers. Aspect explained about the cultural capital of
people involved is also related to the institutional framework, the political and social
ecosystems, and the characteristics of the demand and the markets the sector faces.
The total closure of tourist activities (from March to July 2020) negatively
impacted rural communities, particularly the economic income of families involved
in tourism. However, the same process opened a space for reflection on tourism’s
vulnerability and the need to consolidate diversified territorial productivity models
firmly anchored to the principles of sustainable development.
In all the tourism projects studied, the tourism service providers returned to
dedicate themselves to traditional agricultural activities, now having a higher level
of awareness regarding their importance and the need to articulate them with tourism
to generate synergies.
The Environmental Dimension in the Implementation of the SDGs,

Through Rural Tourism
One of the main attractions of rural tourism is the notable presence of natural resources
and landscapes. The bias towards natural resources in rural tourism contains one of the
greatest ambivalences of tourism, which runs between the imperatives of economic
development and the conservation of natural resources. These contradictions are
frequently found in the projects studied. It is essential to consider that since natural
attractions are one of the main interests of tourists, rural tourism is an incentive for
their protection and safeguarding. In this sense, rural tourism development in terms of
environmental sustainability must be based on a balanced vision between economic
development and the protection of natural resources.
Based on the observations made in the field, it can be inferred that the most critical
challenges for implementing the SDGs in Central Mexico are (i) having sustainable
infrastructures, (ii) generating responsible tourism schemes, (iii) reducing environ-
mental impacts, and (iv) protecting local biodiversity. Below are the areas of oppor-
tunity to contribute to the environmental goals of the SDGs (Tables 2, 3, and 4).
The Socio-cultural Dimension in the Implementation of the SDGs

in Rural Tourism
In the same way that occurs with natural resources, cultural heritage is one of the
main tourist attractions in rural areas. However, not having adequate tourism
Table 2 Implementation of environmental sustainability objectives through rural tourism

Area of opportunity Related SDG Specific actions Expected result
Adapt tourism 6 CLEAN WATER & An essential Have sustainable
infrastructures with SANITATION minimum for a rural infrastructures in all
a sustainable 7 AFFORDABLE & tourism project must rural tourism projects
perspective CLEAN ENERGY be sustainable in Central Mexico
infrastructures with
water and energy
management
eco-technologies
Stimulate a 12 RESPONSIBLE Generate responsible Every tourist product
responsible tourism CONSUMPTION & tourism quality seals must include a value
perspective PRODUCTION proposition based on
the ethics and
responsibility of
consumption
Promote tourism as a 13 CLIMATE ACTION Design rural tourism Reduction of the
sustainable activity products and services environmental impact
that reduces that significantly of the productive
environmental reduce environmental activities of the
impacts in the impacts compared to territory
territory other productive
activities in rural
areas
Promote the care of 14 LIFE BELOW WATER Design and regulate Protect the
aquatic and 15 LIFE ON LAND tourism products and biodiversity of the
terrestrial life forms services that protect territory through
through tourism the biodiversity of quality tourism
rural tourism proposals
destinations
Table 3 Implementation of social sustainability objectives through rural tourism

Develop local 5 GENDER EQUALITY Include a transversal Rural tourism will be
production schemes gender equality a tool to achieve
that promote gender perspective in rural gender equality in
equality tourism projects in rural areas of Central
Central Mexico Mexico
Detonate human 4 QUALITY EDUCATION Create training and Rural tourism
potential through capacity ventures in Central
intellectual training development Mexico will have
and capacity programs among the trained collaborators
development actors involved in aware of the
tourism sustainability
approach
Reduce the 10 REDUCED Use rural tourism as a Rural communities
economic, INEQUALITIES tool for economic, that offer rural
technological, and social, and cultural tourism services
social gaps between leveling between the must show more
the countryside and countryside and the equity conditions
the city city
Propose alternatives 16 PEACE, JUSTICE & Diversify local Reduce the rates of
for the generation of STRONG INSTITUTIONS productive structures violence experienced
income within the to generate legal by rural areas by
framework of legality employment options, strengthening their
and the culture of with a focus on the productive structures
peace culture of peace
Generate social 17 PARTNERSHIPS FOR Coordinate all those Develop coordinated
synergies for the THE GOALS involved in rural actions between
establishment of a tourism activity public institutions,
sustainable around a the private sector,
perspective in the sustainability academia, and civil
territory approach society
planning, ethical vision, and social responsibility can lead to tourism being an
essential element of cultural erosion.
Rural tourism establishments analyzed in this chapter show a solid cultural root,
belonging to an ethnic group, patterns of social organization, and coexistence with
the environment developed historically. Beyond any idealization about ethnic
groups, it is possible to affirm that the community vision, worldview, and way of
connecting with nature underlying most of them are an excellent cultural and social
basis for implementing the SDGs through rural tourism ventures. In this area of
analysis, the indissoluble reflection of society and culture is proposed by thinking of
the relevance that people and social groups have as central axes of development, but
that only through cultural patterns will it be possible to achieve the proposed
development goals.
The main challenges for implementing social sustainability in the establishments
studied refer to the consolidation of gender equality, the development of capacities,
Table 4 Implementation of economic sustainability objectives through rural tourism

Combat endemic 1 NO POVERTY Design quality Have jobs that allow
poverty in rural tourism products and rural actors to
Mexico services, fairly overcome the
remunerated, that condition of extreme
favor the neediest poverty
actors in the territory
Promote tourism as a 2 ZERO HUNGER Integrate into the Have economic
development tool that 3 GOOD HEALTH & economic benefits of opportunities to
allows for improving WELL-BEING tourism those social access sufficient and
the material actors with more quality food, as well
conditions of significant needs as health and wellness
existence of rural services
actors
Promote economic 8 DECENT WORK & Generate decent and Increase in employed
development within ECONOMIC GROWTH well-paid jobs and fairly
the territory through through rural tourism remunerated people
decent jobs generated who contribute to
by tourism activity family economic
income
the reduction of inequalities, the restoration of peace in the territories, and the
coordination between social actors. A more detailed analysis of the aspects men-
tioned above is presented below.
The Economic Dimension in the Implementation of the SDGs

Through Rural Tourism
One of the most important aspects to consider when conceiving rural tourism as a
tool for economic development is its complementary nature to the rest of the
productive activities of the territory. In this sense, tourist activities must be harmo-
nized with the rest of the productive activities, particularly those essential for feeding
people (agricultural and livestock) and those of a traditional nature with a heritage
value. In addition, rural tourism must have an inclusive character, allowing the
integration of the most significant number of people and prioritizing those social
actors. They have been excluded from job opportunities within the territory (women,
older adults, and young people).
In this sense, tourist attractions and social organization are essential aspects of the
valorization of the territory, expanding its possibilities of benefiting from tourism
(Elms et al. 2017).
From economic sustainability, the main challenges facing rural tourism include
reducing rural poverty, improving quality of life, and generating decent jobs that
allow people to remain in their territories. The actions and implications of the aspects
mentioned above are detailed below.
Adaptation of Rural Tourism in the Context of COVID-19 Through

the SDGs
The economic crisis caused by the pandemic positively affected the social cohesion
of the actors involved in rural tourism. The preceding can be interpreted as a social
response to the crisis, but in the case analyzed, it directly relates to the community
logic that predominates in rural societies in Central Mexico. Many aspects of an
economic-productive nature acquired an ethical dimension due to the devastating
effects of the pandemic on families and their economic situation. Although not
always consciously, the values exalted in tourist activities in the health crisis are
closely related to the postulates of sustainable development. It is possible to affirm
that an inclusive and participatory vision of territorial planning and management
provides a more hopeful expectation of the future while constituting a social
sustainability strategy.
The indissolubility between the social and cultural dimensions makes us think
about the necessary transformation of the social structures that support rural tourism,
in convergence with a transformation of the tourist models that will give meaning
and significance to the leisure of the twenty-first century. In this sense, it is essential
to consider the importance of anchoring tourist proposals with local cultures and
their development in the context of global sustainability principles.
One of the great lessons provided by the pandemic is the contextual vulnerability
that tourism presents, which is why its socioeconomic dimensions must be
reconsidered. One impact of the health crisis is tourism’s decreased income for
rural families. In this sense, a series of mutual support and solidarity were developed
that allowed the economic subsistence of the participants in rural tourism.
Although most of the efforts of the tourism sector to face COVID-19 are
governed by the principles of an economic crisis, extreme hygienism, and commer-
cial digitalization, the central aspect in which it must work to face this and future
crises is to build an environmentally responsible vision of tourism. Although the
pandemic has left many lessons, a critical aspect that society forgets (Steffen et al.
2015) is to move towards a sustainable perspective from the environmental point
of view.
At this time in the evolution of the pandemic (June 2022), most rural tourism-
oriented communities have developed valuable knowledge that has allowed them to
adapt their businesses to the new ethical, commercial, and biosafety conditions
required. However, to become aware of the importance of redesigning its tourist
offer through value propositions with socio-cultural content, environmental ethics,
and a solidarity economy.
COVID-19 reinvented the tourism industry (Nepal 2020), for rural tourism
implies the need to move towards a sustainability perspective, generating profound
changes in social systems, harmonizing the different visions and interests put into
play by the heterogeneous actors involved in tourism (Zhao 2018). Despite the
scarce guidelines with which the Mexican authorities have faced the pandemic and
the lack of support that social actors have had, rural tourism has been a valuable tool
to face the health crisis.
One organization that has worked most strongly on this transition towards
sustainable rural tourism in Central Mexico, through dissemination and training,
based on the SDGs, is the Mexican Association of Rural Tourism (AMEXTUR).
Their work has been carried out through awareness-raising and capacity-building
strategies under the principles of Participatory Action Research (Ander-Egg 2003).
The Role of the SDGs in the Reactivation of Rural Tourism
As soon as the perception of risk decreases, people seek to carry out tourist and
recreational activities, which are highly valued in the context of social isolation and
confinement. Remarkably, the territories that possess essential natural and cultural
resources and those to which it is possible to move relatively quickly and autono-
mously have become relevant.
Based on the observations made in the tourism ventures analyzed, it has been
found that some specific SDGs play a fundamental role in the processes of tourism
reactivation and economic regeneration in the COVID-19 scenario. In these terms,
local rural tourism in Central Mexico has played a significant role in the early stages
of tourism reactivation, which were observed during the first reopening between
April and December 2020; how tourism is managed, consumed, and marketed
radically changed at this juncture. The sustainability paradigm is one of the most
promising perspectives to adapt and reorient rural tourism toward current needs.
Implementing biosafety protocols, the new ethical orientation of tourists, and the
centrality of tourism as a rural development strategy are fundamental aspects of a
sustainable approach to rural tourism. These changes have been perceptible from
how rural tourism establishments have restructured their offer, from the moment of
the first reactivation of activities, where aspects such as the reduction in a tourist
capacity, specialization of activities, and personalization stand out.
One of the trends that rural tourism will present in Central Mexico during the
post-pandemic period is its transformation from a consumption activity to another of
prosumption, where the co-production of significant and transformative experiences
will be an essential component of the contemporary quality of life. In particular, the
long periods of confinement and social distancing generated by the pandemic will
make tourism a vehicle for restoring individuals’ physical, psychological, and social
well-being (Thomé-Ortiz 2020).
What Lessons Have Been Learned Regarding Implementing

the SDGs in Rural Tourism?
Probably one of the most positive ways the COVID-19 pandemic can be understood
is through its pedagogical capacity to teach about the vulnerability of humanity in
the face of large-scale natural events and about the organizational lag of humanity to
face the crisis. The pandemic is a warning regarding the urgency of aligning
productive and social activities with the postulates of sustainability. Faced with the
scenario left by the pandemic, the SDGs provide a set of guidelines for economic,
social, and environmental adaptation. In the case of rural tourism, it has been
essential to immediately adapt to emerging needs and conditions, which are present
both in demand and in the supply of tourism products and services, to guarantee the
health and integrity of the people involved. Indeed, this learning process has started
with identifying those aspects that must be adapted to rural tourism’s sustainable
management (Zhao 2018).
Building a new tourist paradigm, in the face of the multiple challenges that the
21st century presents, implies the conscious implementation of the SDGs would
translate into a concrete action framework, nested in public policies and executed
through government programs with financing. One of the most striking aspects of the
tourism ventures studied is that many SDGs have been implemented intuitively and
tacitly, limiting their scope and impact on local communities. It is essential to
consider that rural tourism links the countryside and the city from the economic,
cultural, and environmental fields, so intermediary agents must regulate these rela-
tionships that guarantee equity.
It should be considered that the rural communities of Central Mexico have
experienced educational and technological backwardness, which can place them in
an unfavorable situation when interacting with urban areas. It is essential to invest in
communication infrastructures and in the training of human resources, aspects rarely
considered in rural tourism projects, which prefer to invest in the construction of
accommodation and food infrastructures, which are usually more visible and provide
greater profitability to political actors.
It is essential to redesign rural tourism offers in terms of sustainability, with
the particularity of meeting specific needs such as quality communication, per-
sonalization of services, adding value to the tourist offer, and diversifying
activities.
The sustainability approach provided by implementing the SDGs for rural tour-
ism is a corrective and guiding perspective. The coming decades are expected to
present various adversities, which must be confronted through concrete actions. A
fundamental change is needed beyond the individualistic and stagnant discourse of
hedonistic ethics (Lipovetsky 1994).
Conclusions
Given the dynamic and transformative character expressed by rurality, the people’s
adaptation has been a historical constant to guarantee human survival. With this
transformed rurality, through effective diversification policies, it is possible to find
rural tourist spaces whose traditional economic structure was questioned by the
economic and social effects of the COVID-19 pandemic.
Rural tourism has generated critical economic contributions for many rural
families that inhabit the Central Mexico countryside. However, the excessive
outsourcing of the countryside warns of the significant risk of compromising food

security and the integrity of the natural and cultural heritage. This implies balancing
social relations, economic exchanges, and environmental impacts between the
countryside and the city by establishing tourist activities.
Implementing the SDGs in rural areas through tourism can be an effective tool to
face the adverse effects caused by the COVID-19 pandemic. However, such imple-
mentation must occur in a regulated manner, through training and awareness pro-
cesses, within an institutional framework that is elevated to the rank of public policy
and has financial support for its implementation.
It is necessary to generate awareness regarding the SDGs’ role in rural tourism in
Central Mexico and vice versa since, as has been observed in other contexts of
emerging economies, most of the actors involved in rural tourism are not familiar
with the SDGs’ agenda (Dube 2020). A renewed vision of rural tourism aligned with
the SDGs must be built under a precept of social justice, where there are equitable
exchanges between rural and urban areas.
The preceding would allow moving from an exclusively economic perspective of
tourist activity to another aimed at human development. Developing rural tourism
initiatives based on the SDGs implies the integration of the local population in the
design, execution, and evaluation stages of the projects, based on capacity-building
actions. The success of all productive sectors in the twenty-first century must be
focused on developing human skills, these being the precondition for all people’s
economic, environmental, and organizational well-being.
The implementation of the SDGs in Central Mexico must start from a perspective
in which all the actors involved are incorporated, taking into account not only their
economic interests but also the intersubjective aspects that take place from their
interactions. The former is based on the fact that tourism is a relatively new activity
in many Latin American rural areas, which gives rise to a great diversity of emerging
phenomena.
Cross-References
▶ Informal Circular Economy in Mexico

▶ Innovative Approaches in Smallholder Farming Systems to Implement the Sus-
tainable Development Goals
▶ Perspectives for Resilience, Social Inclusion, and Sustainable Tourism in Mexico
▶ SDGs and Latin American University: Impact of Scientific Knowledge Production
in Policy Documents
▶ Spatial Analysis of Fortín, Veracruz, Mexico: Agritourism Entrepreneurship Pub-
lic Policy
▶ State Development Plans in Mexico and Their Contribution to the SDGs: No
Poverty, in the 2030 Agenda
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Environmental Impact and Food Security:
Socio-Ecological Sustainability of Soya from
Brazil
Nadeem Khan, Nada Korac-Kakabadse, Antonis Skouloudis, and

Fabio Oliveira
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238
Food Security Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239
Agri-Food Resilience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240
Cosmopolitanism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
Investigative Research Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242
Brazil in South America . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242
Soya Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243
Sustainable Accountabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246
Socio-Ecological Cosmopolitan Resilience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252
Abstract
The interdependent planetary boundaries highlight that our natural and social
system limits are being exceeded. This is evidenced by scientific, ecological, and
business impact assessment studies, which draw attention to how anthropogenic
activities or inactivity is influencing environmental well-being, in particular
deforestation. Humanity faces key grand challenges. Globally, 17 Sustainable
Development Goals (SDGs) offer a blueprint for the most pressing issues.
Removal of specific critical barriers can help to resolve local societal problems
and support widespread environmental conservation. Addressing a grand
N. Khan (*) · N. Korac-Kakabadse · F. Oliveira

Henley Business School, University of Reading, Henley on Thames, Oxfordshire, UK
e-mail: nadeem.khan@henley.ac.uk; n.kakabadse@henley.ac.uk; f.deoliveira@henley.ac.uk
A. Skouloudis
Department of the Environment, University of Aegean, Mitilini, Greece
e-mail: skouloudis@aegean.gr

https://doi.org/10.1007/978-3-031-16017-2_111
238 N. Khan et al.
challenge requires changing individual, organizational, and societal behaviors.

This study focuses on food security being a priority challenge (SDG 2).
A socio-ecological framework of cosmopolitan resilience is conceptualized.
Application is to produce case of soya from Brazil. Issues identified are across
different levels impacting biodiversity loss, deforestation, and freshwater sustain-
ability at individual, firm, and government level. Cultural, moral, and governance
components form recommendations towards ameliorating adverse influences and
promoting integrated sustainability improvements towards systemic resilience.
Case learnings have implications for better environmental, business, and policy
collaborations.
Keywords
Rainforest · Biodiversity · Environment · Food security · Soya · Brazil
Introduction
Planetary boundaries is a helpful conceptual framework in embracing appraisal of

geophysical prerequisites (i.e., collective limits or constraints) critical to enabling
sustainable human development. This is receiving growing scrutiny from biodiver-
sity and Earth system scientists (Ryberg et al. 2018; Folke et al. 2016). Their shared
priority focuses on the preservation of age-old tropical rainforests as key temperate
zones. This is fundamental to preserving life and tackling wider environmental
management. In turn, better aligned engagement between public policymakers and
private businesses is vital in the tropical zone countries to protect their biomes.
The largest rainforest on Earth is within the Amazon River Basin (Butler 2020).
Its land area is over six million km2. The Amazon is equivalent to 70% of the size of
the United States of America and stretches across nine countries, mainly Brazil
(Pester 2022). Environmental, societal, and business transdisciplinary Amazonia
research has been calling to halt and reverse the accelerated pressure from human
activities on land-based resources and natural rainforests. This underpinned the
COP26 discussions in Glasgow and reset the trajectory of the United Nations’
17 SDGs for 2030 (Antonini and Larrinaga 2017).
Planetary impacts pertain collectively to nine ecological biosphere constraints
based on geological scientific evidence, within which humans live as asymmetrical
societies (Rockstrom et al. 2009). Each society consists of local climatic conditions
and resources, cultures, trades, and skills, with different societies impacting on each
other. The less developed, resource-rich, and highly populated countries are most
vulnerable. Within their societies, the dominance of political and corporate actors
contributes to increasing asymmetric diffusion across individuals and corporate
entities, with power and authority favoring the latter (Leal Filho et al. 2019).
Inevitably, outcomes of natural and human activities have become amplified
impacting on sustainability. Humans and animals face an increasingly hostile envi-
ronment that manifests as interrelated and nonlinear extreme events in the Earth
Environmental Impact and Food Security: Socio-Ecological Sustainability. . . 239
system. These present as floods, droughts, species extinction, hurricanes, forest fires,
earthquakes, health pandemics, geopolitical conflicts, fauna degradation, and mal-
nutrition. The proliferation of known risks poses major challenges (Emori et al.
2018).
Addressing a perceived grand challenge (George et al. 2016) requires the “mobi-
lization and collaboration of multiple communities of actors with overlapping
interests” (O’Mahony and Lakhani 2011: 7). The interests, which can often be
perceived as divergent and disparate, can be much more effectively integrated and
aligned into system-wide resilience building (Holmberg et al. 1999). The
Anthropocene epoch, the era in which we see the impact of humanity on the planet,
is to be crucial in establishing innovative solutions such as the preservation of local
and regional ecology; the development of animal and plant protection, a health-
conscious food chain, and less evasive technologies for energy use and production;
the reduction of waste; and the development of business strategies to improve self-
sufficiency. Some impacts have not so far completely emerged as geological evi-
dence; however, trends are recognized in the scientific exceedance rates in the period
after the 1950s. Sustainability must be sensitive to context and requires continually
reorientating the resilience trajectory (Dsouli et al. 2017; Smith et al. 2017) for
stewardship of the co-evolving socio-ecological system (Whiteman et al. 2013).
This research responds to the dearth of studies for addressing the conservation of
rainforest and vast tropical savannahs through multilevel integrative cosmopolitan
lens (Kakabadse and Khan 2016). As a worldview, cosmopolitanism has an
established historical foundation that prioritizes achieving common solutions
through social connections, viewing multilevel diversity as mutually beneficial and
ensuring respect between divergent interest groups (Robbins and Horta 2017). The
study establishes a distinctive cosmopolitan framework for tropical forest resilience,
founded upon interconnections and interdependence governance that is sensitive to
moral and cultural traits (Rekow 2019). Social axiom theory links these together to
better respond to the planetary limits.
In the framework, social axioms are “generalized beliefs about the world” (Leung
and Bond 2004: 289). Characteristics and dimensions of entities or concepts can be
bound together in relationships, i.e., as “intertwined, correlations or cause-effect”
modeling (Leung and Bond 2004: 288) for achievement of the all-encompassing
sustainability goal (Gari et al. 2009).
The next section proceeds with a food security review focusing on the research
questions inclusive of agri-food resilience and cosmopolitanism. Then the investi-
gative approach is shared using the case of soya in Brazil. The progressive sections
outline key findings, debate, and conclusion.
Food Security Sustainability
The research questions are as follows: How can tropical rainforests and vast tropical
savannah be better preserved and protected? And how can we overcome the obsta-
cles to change necessary for sustainable land usage and tropical climate
240 N. Khan et al.
vulnerabilities? Responses to these questions pertain to food security as the primary

challenge (Food and Agriculture Organisation (FAO) 2018; Lorentz Marsden and
Farioli 2015). The contribution of agriculture is 23% of worldwide greenhouse gas
emissions (IPCC 2019), and the ozone is contributing to a nexus of socioeconomic
factors affecting farmers’ incomes, soil quality, crop production, food prices, access
to food, and nutritional value.
Sustainability resilience frameworks must better integrate ecological with human
actions within product chains and as wider stakeholder analysis, to enable a more
meaningful transition. This study uses a single product by way of exemplification:
soya in Brazil.
The next section focuses on agri-food and considers how social urban growth,
rainforest land usage, and worldwide food supply trade-offs are the critical concerns
of socio-ecological resilience in terms of anthropogenic responsibility (Giannini
et al. 2020).
Agri-Food Resilience
The ability of the agri-food supply chain and its structure to handle shocks is
resilience (Bousquet et al. 2016). This depends upon the collaborative ability of
the system to prepare, endure, adapt, and potentially transform. The overarching
resilience agenda is collective for those facing the effects of threats to development
from climate, politics, finance, conflict, and environmental disaster.
The agri-food sector is unique in that it is positioned between environmental and
human societal systems (Morawicki and González 2018). All people ingest its
produce. Regional impacts include social ones, e.g., the nature or conditions of
work, public health; and geographic or spatial ones, e.g., energy, water, and land-use
concerns. Together these form wider societal interests and legitimate social justice.
The pace of global material consumption has continued to rise, particularly in
most recent decades, and 40% of land use is devoted to agriculture (FAOSTAT
2018). The combined global production of cocoa, coffee, oil palm, beans, rice,
soybeans, and sugarcane has increased by more than 46% since 2000 (Statista
2021). International competitive pressures contribute to a negative sustainability
impact, with global greenhouse gas emissions exceeding 49.4 billion tonnes of CO2
(Millennium Ecosystem Assessment 2005).
From the perspective of international demand and supply, recent data trends
indicate that a third of food is never consumed. This highlights how business units
in the agri-food sector are key agents of change in terms of environmental health and
overarching sustainability. Looking at greenhouse gas emissions alone (Wright and
Ryberg 2017), multinational companies contribute between 24% and 29% of the
global total, clearly the highest among various emitters causing overshoot. The
quantified reporting of issues has increased from lead companies such as Syngenta,
Monsanto, Mars, Kellogg, Danone, and Associated British Foods Plc. However,
COP26 warns that this remains insufficient and needs to be improved at the board,
company, regulatory authority, and institutional levels.
Collectively, the sustainability issues and their resolutions relating to food have
for a long time been regularly conceptualized through a globalized authoritarian
vision, representing one-size-fits-all solutions (Liu and Jones 2014). This often is
without taking account of local context and diversified interests at multiple levels
(Dermody et al. 2018). Moreover, policies concerning agriculture and environment
likely handle food rationally, secularly, and bioeconomically, whereas socio-ecolog-
ical frameworks can provide a more holistic, system-wide contextual understanding
that includes moral and cultural sensitivities (Xu et al. 2015).
A cosmopolitan perspective is adopted to examine the socio-ecological impact of
food systems. Having sensitivity to the locality and community context, adaptability
for coordinated and shared human activities refers to collective innovation and
improving pathways for effective sustainable and financially equitable well-being
(Folke et al. 2016).
The emergent framework proposes a unique theoretical contextual construct that
combines theories of cosmopolitanism and social axioms to address planetary
boundaries. Although there are impacts on all nine planetary boundaries, the case
study focuses attention on the most important factor in each level of the framework
because the resilience of tropical forests and tropical savannahs is a priority. The loss
of biodiversity at the individual level, deforestation at the firm level, and supplies of
freshwater at the governmental level are highlighted. Addressing these collectively
can promote environmental protection and better economic governance and
stewardship.
Cosmopolitanism
Cosmopolitanism, represented as “I am a citizen of the world” (Diogenes,

404–423 BC), seeks to promote shared communities through a dynamic respect of
varied beliefs and local diversity (Woodward et al. 2008; Lu 2000). As a mindset,
this approach harnesses a broad awareness of interdependence and mutual benefit
(Pieterse 2006). Cosmopolitan leadership and communities therefore align well for
enabling transdisciplinary sustainable resilience and equitable well-being within
overarching planetary boundaries (Steffen et al. 2015).
Moreover, cosmopolitanism transcends distant protectionist views of “self versus
other” or notions of geographic boundaries, such as the nation-state (Selles 2013;
Jazeel 2011). It proposes collaborative open approaches to address critiques of
sustainable development (Hopwood et al. 2005) as a triple bottom line that has not
yet achieved systemic integration (Le Blanc 2015).
Previous research (Khan et al. 2021) has established characteristics of cosmopol-
itanism as a worldview that consists of particular cultural, moral, and political traits
and behaviors. Cosmopolitanism is different and distinct from globalization. Polit-
ical characteristics can be understood in agendas and practice, within broader
dynamic governance setting (Banerjee 2017). Figure 1 illustrates the cosmopolitan
conceptualization formed from moral, cultural, and governance characteristics.
242 N. Khan et al.
Dimensions Components
Cosmopolitanism • Moral
• Cultural
• Governance (political and corporate)
Planetary boundaries • Individual/local
• Firm
• Government (institutional)
• Anthropogenic duty of care
responsibility towards natural resource
Fig. 1 Socio-ecological resilience. (Source: Compiled by the authors)
These triple helix characteristics (Etzkowitz and Leydesdorff 2000) are correlated
using social axioms theory (Leung et al. 2002). This enables us a view of cosmo-
politan resilience as interconnected across levels and as sensitive to multilevel
contextual impacts on the planetary boundaries (Hui and Hui 2009; Rockstrom,
et al. 2009). Social axioms theory represents a bind that connects each part of the
conceptual framework.
Investigative Research Approach
Qualitative case studies and an inductive logic approach (Langley 1999; Yin 1994)
provide an appropriate lens for the holistic study of phenomena to capture rich real-
life contextual settings (Barratt et al. 2011). Particularly, this is beneficial for
exploration and better understanding of emergent in-depth contextual research.
A qualitative thematic analysis is carried out on a collection of materials from
secondary published sources. This study uses archival sources – i.e., documentation,
available records, and relevant reports – to construct a broader and more in-depth
multilevel case study (Stagl 2007; Eisenhardt and Graebner 2007). This includes
allowing process traceability for validity and reliability cross-checking by experi-
enced expert peers (Sandelowski 1993).
The focus and unit of analysis is soya grown in Brazil (Mintzberg 1979). A
commodity case is explained, with emerging tiered constructs and relationships that
form theoretical connections to enhance system-wide resilience. The next section
presents a narrative of Brazil, where soya is grown.
Brazil in South America
The Federal Republic of Brazil (Brasil in Portuguese) is 8.5 million km2. It is the
fifth largest country by size and, with 211 million people, is the sixth most populous
country in the world. Brazil has more than 7000 km of coastline and borders the
Atlantic Ocean and many other countries on the continent, including Venezuela,
Colombia, Peru, Bolivia, and Paraguay (Dominguez 2006). The land and climate of
Brazil form the Amazon Basin, confirming its unique ecological significance for rich
biodiversity. Brazil contains 25% of planetary biodiversity and hosts the biggest
tropical rainforest on Earth (Ruiz-Vásquez et al. 2020). The biodiversity is critically
dependent upon the preservation of land surface characteristics: the historical,
irreplaceable Amazon rainforests (Woodwell and Houghton 2020). Importantly,
the rainforest is drained by the Amazon River – the lifeline of the forest. Evaluative
and scientific studies have raised concerns regarding the pace of deforestation,
highlighting the change from natural vegetation to cropland usages. According to
images gathered by Landsat satellites and published by the Projeto de
Monitoramento do Desmatamento na Amazonia Legal, PRODES (2021), defores-
tation reached 10,851 km2 between August 2019 and July 2020, representing an
annual growth of 7%. Consequently, 57% of Amazon trees are now considered
globally under threat (Carrington 2015). This in turn impacts eco-services including
carbon sequestration, water cleanliness, and the water cycle – the very foundations
needed for humans to flourish.
Europeans arrived in Brazil in the fifteenth century (1467/1468). Between the
sixteenth and nineteenth centuries, Brazil was a colony of the Portuguese Empire. In
1822, Brazil declared its independence and in 1891 became a Republic. Modern day
Brazil has transited from military dictatorships (1964–1985) to democratized gov-
ernment (1985–present). Socially, there remain high inequalities in wealth distribu-
tion. Brazil is ranked 94/180 on the corruption perception index (Transparency
International 2020). Approximately 15% of the population live in rural areas and
are primarily dependent on agricultural incomes. There are 21 UNESCO World
Heritage Sites, of which seven are natural conservation sites.
Soya Sustainability
Extensive natural areas in tropical countries are being irrevocably devasted to allow
for soya beans (Glycine max) cultivation. During the last two decades, most of this
increase in soya production has been in Brazil (WWF 2020). In 2019, 37% of all
soya beans in the world were planted in Brazil, now the world’s largest soya bean
producer. Soya constitutes 49% of Brazilian cropland area and 41% of agricultural
revenues. Between 1990 and 2019, Brazilian farmers expanded plantation land from
11.5 to 35.8 million ha and increased crop yields from 1.7 to 3.2 tons/ha (IBGE
2021) (see Fig. 2).
Soya production in Brazil has contributed to the deforestation of important biodi-
versity hotspots. As a result, Brazil’s half-a-billion-acre, forest-savannah mosaic
known as the Cerrado has been intensely deforested (Bonfim-Silva et al. 2019). The
Cerrado biome, covering over 20% of Brazil’s terrain, is a savannah region with
irreplaceable biodiversity and serves as an important water system in Brazil.
Cargill, Bunge, and other leading soya traders have participated in the Amazon
Soya Moratorium in Brazil since 2009 – a commitment to cease sourcing from
244 N. Khan et al.
Fig. 2 Soya production, yield, and area in Brazil. (Source: Collated by authors from Our World in
Data (2021), accessible at: https://ourworldindata.org/about)
suppliers engaged in deforestation. This has resulted in the drastic reduction of

deforestation in existing areas. However, local soya traders, supported by international
players, continue to drive deforestation of the wider Brazilian forests. Production and
deforestation have transited to expanded land zones such as the Cerrado (Magalhães,
et al. 2020). The projection is to grow soya in the MATOPIBA region (Fig. 3), which
in 2020 represented 10% of the total Brazilian soya production (CPI 2020).
The MATOPIBA region, comprising the states of Maranhão, Tocantins, Piauí,
and Bahia, is expected to expand the soya area by 15% over the next 10 years,
reaching 8.9 million ha (MAPA 2020). Production is expected to double, reaching
33 million tons by 2030 suggests the study “Agribusiness Projections 2019/20 to
2029/30,” carried out by the Ministry of Agriculture, Livestock and Supply in
agreement with the Brazilian Agricultural Research Corporation-Embrapa (MAPA
2020; Bragança 2018).
In 2018, the newly elected Brazilian government led by Bolsonaro openly stated
their policy for opening commercial exploitation of Brazil’s protected lands for
economic growth. By July 2019, Brazil’s area of the Amazon had “lost more than
1,330 square miles” (Casado and Londoño 2019: 1). Moreover, Brazil’s environ-
mental agency had curtailed enforcement measures such as warnings, fines, and
destruction or seizure of illegal equipment in protected areas (Casado and Londoño
2019). In the 2022 election, Lula’s left-wing party is leading against Bolsonaro
conservative liberal party in round one of the elections with the future of the Amazon
at stake (Frost 2022).
Localização da Região do MATOPIBA
Tasso Fragoso
Balsas
Urucuí
Baixa Grande
do Ribeiro
MA
PI Formosa do
Rio Preto
Luiz Eduardo
TO Magalháes
Campos Lindos
BA Sáo Desidério
Barreiras
Correntina
Pedro Afonso
Fig. 3 Map of Brazil: Amazon and MATOPIBA region. (Source: Courtesy of © Piaui Negocios
(2021) accessible at: https://www.pinegocios.com.br/noticia/342-Area-plantada-do-Matopiba-
alcancara-8-9-milhoes-de-hectares-ate-2030)
Recently, discussion of an extended soya moratorium in the Cerrado has gained

support from a group of multinational companies. Tesco, Walmart, Unilever, and
McDonald’s are among 163 fast-moving consumer goods companies demanding
international traders to cease direct or indirect purchasing of soya cultivated in illegal
deforestation areas, by signing the Cerrado Manifesto (Reuters 2020). However, the
international traders Archer Daniels Midland (ADM), Bunge, Louis Dreyfus,
Cargill, and Glencore do not agree with the manifesto.
The fast growth of soya bean cultivation is eroding the natural lands of central
Brazil, which is of increasing concern. The smallholders who have been growing
crops for subsistence are being displaced due to the expansion of soya bean
plantations (WWF 2021).
The environmental consequences are threefold: soil erosion, degradation, and
compactions; water quality degradation and use; and raised greenhouse gas emis-
sions (Pailler 2018). Not to mention the human societal impact (Pailler 2018).
Although the practice of monocropping in agriculture for crops such as soya
allows farmers to increase overall profitability – i.e., consistency of single seed, pest
control, machinery, and growing method – there are longer term negative conse-
quences (Rekow 2019). Agricultural monoculture disrupts the natural soils balance,
as excessive population of the same plant species in one field area deprives soil of
important nutrients, reducing the varieties of microorganisms and bacteria required
to maintain fertility and quality of soil and its natural ability for water flow and
retention.
Brazil is the largest consumer of agrochemicals in the world (Ecodebate 2021). In
2019 and 2020, the Brazilian government approved a record of more than 1000
246 N. Khan et al.
different agrochemicals. Such chemicals and fertilizers are increasingly used to

manage soya bean farms to boost size and efficiency, and reduce labor costs.
However, this then has a considerable impact on nutrient pollution in lakes, rivers,
and estuaries.
The Brazilian Congress is discussing more flexible regulations to facilitate the
usage of new agrochemicals, pesticides, and fertilizers. Most contradictory is the bill
PL 6299/2002 that recommends flexibilizations in the oversight usage of agrochem-
icals by Brazilian agencies. This will transfer the responsibility and management of
new pesticide registration from two regulatory agencies (ANVISA and IBAMA) to
the Ministry of Agriculture. Specialists claim that this alteration in the law will
facilitate the registration and adoption of potentially harmful products by reducing
the length of approval from 8 years to 24 months. Interestingly, the author of the bill
is the owner of the world’s largest private soya bean producer, the Amaggi Group,
whose personal fortune exceeds U$1.15 billion (Forbes 2021).
In Brazil, farmland concentration is in the hands of a few powerful elites and has a
negative impact on small farmers and communities. They are pushed off the land
and, in turn, encouraged to exploit workers (WWF 2011, 2021). The Brazilian
company Bom Futuro (owned by family members of the Amaggi Group) is the
biggest soya producer in the world, exceeding US$52 million turnover in 2020
(Gazeta Digital 2021). This is followed by SLC Agricola with US$470 million
turnover and Grupo Amaggi with US$3.46 billion (Embrapa 2021).
Survival International (2021) warns that the expansion of agricultural and grazing
land threatens the lives of 650,000 Brazilian Indians representing 200 of the 305 tri-
bes. Indigenous tribes mostly live entirely off savannahs, forests, and riverways
through a mixture of gathering, hunting, and fishing. Using satellite imagery with
CAR’s rural environmental land registry data and official databases, Ruiz-Vásquez
(2020) estimates that 99% of deforestation in Brazil in 2019 was illegal. Of the
12,000 km2 of destroyed native forest, most was in the Cerrado and Amazon biomes.
This situation is exacerbated due to Brazil being a young democracy with weak
institutions and heightened corruption.
The next section presents the emergent responsibility and accountability factor
findings, focusing on the case of soya in Brazil.
Sustainable Accountabilities
For soya beans in Brazil, secondary materials such as reports from researchers,
practitioners, and organizations, scientific reports, practitioner and societal research,
and newspaper and online articles have been selected from trustworthy, reliable
sources that have been published publicly. From these, multiple themes have been
developed. The materials are for the 2016–2020 period. An understanding of
morality, governance, and culture underlies the evolution of cosmopolitan themes
in response to the research questions.
The emergent themes were categorized as governance, moral, or cultural across
different levels – individual, firm, and government (Table 1). This was framed for
each planetary boundary.
Anthropogenic responsibility affects all nine planetary boundaries. The emergent

nine tables (each planetary boundary having a table) were analyzed collectively and
evaluated together in a holistic way, as interconnected relational structures. The
theory of social axioms (Leung et al. 2002) is concerned with conceptualizing,
explaining, and justifying the cosmopolitan relationships between each of the
planetary boundaries and between different levels to establish the structure. Issues
that answer the research questions were prioritized as themes, with focus on improv-
ing resilience and sustainability. Each planetary boundary analysis and overarching
integrated framework was verified independently by highly experienced colleagues.
At the individual level, the great concern is for basic human rights. Historic
cooperatives in the field of communal land systems suffered from the wave of 1990s
reforms. Furthermore, sustained and increasing biodiversity degradation from fertil-
izers, accessibility to and purification of water and yield per acre, and the controlling
of pests make it more difficult for the smallholder farmers to stay on their land due to
competitive pressures from economies of scale and increasing costs. The individual
farmer faces an erosion of self-determining power and ability to influence laborers’
Table 1 Categorization of themes for each planetary boundary

Cosmopolitan
dimensions for
planetary
boundary 1 Individual Firm Government
Moral Unfair and Big players against Vague national mandatory
exclusionary moratorium agreement ecological targets
land allocation Lack of board Weak promotion of biosphere
accountability farming opportunities
Unbalanced power of Opaque programs to ensure
usage of water and land respect and social inclusion
of local communities and
individuals
Governance Absence of Lack of governance Unclear or flexible regulation
policies to action to prevent illegal for land and water
support small deforestation reallocation and usage
farmers Lack of action to Short-term vision and
Relaxation of counteract negative strategy for approval to use
pesticide effects on biodiversity new pesticides and fertilizers
production and
usage
Excluded
communities
exposed to
nutrition
challenges
Cultural Local habits and Focus on short-term Absence of public-private
culture displaced strategies and programs to sustainable
investments to improve development
land productivity
Source: Compiled by the authors, with reference to Rockstrom et al. (2009)
248 N. Khan et al.
motivations and well-being. This emerges as cosmopolitan contraction of diversity

and mutual respect of individuals (Pieterse 2006).
Moreover, while soya and grain production reached record highs in 2020, the
price of food and level of unemployment in Brazil increased. Consequently, 9% of
the Brazilian population is facing its highest level of food insecurity (Consea 2020).
Another issue is institutional representatives having high control, low expertise,
and/or multiple agendas. This emerges as a weak formal voice that contributes to a
few dominant players pressing the informal geographic and cosmopolitan outcomes
through soft power (Jazeel 2011).
The major concern at firm level is about land usage, in particular the pace and
effects of deforestation. Increasingly larger and more powerful firms emerge as the
mechanism dominating and controlling land-based resources, which harvest greater
returns for their demanding wealthy investors (Blas and Farchy 2021). Related
ethical, ecological, and sustainability concerns must address more robustly the
illegal land and forest degradation including control of the land for crop growing.
Firms with political connections have been able to afford to pay for access and
permits; however, this in turn erodes the rights and capacity of small farmers (Rekow
2019).
There is a major concern pertaining to freshwater usage at the government level.
Continued excessive deforestation of the Amazon, the Cerrado including
MATOPIBA, has replaced native vegetation and biodiversity. Native Amazon and
Cerrado vegetation is vital for Brazil’s waster systems, supporting rainfall through
evapotranspiration. Moreover, deforestation increases droughts and erratic river
behavior (Chain Reduction Research 2018). To embed and enforce policies more
effectively and stringently, the need is for widespread and long-term research with
reliable impact over time.
The individual, corporate, and governmental levels have varied issues within each
tier that impact overall sustainability, but upon which collective resilience at multiple
levels depends (Smith et al. 2017; Stagl 2007; Leung et al. 2002). Table 2 highlights,
among the main results, that the most important impacts at different levels were
biodiversity loss, deforestation, and freshwater (Magalhães et al. 2020).
In Table 2, the cosmopolitan levels of government, firm, and individual are
related and impact as intra and inter factors. Together these manifest as cause and
effect to co-evolving sustainability. An aspiration is to retract degradation and build
resilience of the systemic cosmopolitan framework. The next section of recommen-
dations addresses enhancing resilience as well as the priority issues (Table 2)
emerging from the research questions to ensure planetary boundary resilience.
Socio-Ecological Cosmopolitan Resilience
During the last 30 years, agriculture has been the key driver of 92 million ha of
deforestation in Latin America, and 88% of this is within South America (Willaarts
et al. 2014). The state in Brazil has promoted soya development in the Amazon and
Cerrado regions (Lopes et al. 2021) with politically incentivized policies. There has
Table 2 Soya bean impacts on planetary boundaries findings
PB level Key issues Priority impact

Individual Human freedoms and rights Biodiversity loss
Pest and chemical additives
Unfair and exclusionary land allocation
Firm Control over resources Deforestation
Illegitimate unlawful deforestation
Lack of accountability
Government Resources accessibility Global freshwater
Preservation of elements
Political control and power play for
financial incentives ignores ecological
Well-being
been land titling, government funding schemes for soya bean cultivation, subsidized
credit, along with research and development grants. There has been criticism of
government regarding the poor and misuse of public funding. Global organizations
that support trade neo-liberalization agendas, such as the World Bank (WB) and
International Monetary Fund (IMF), have approved such incentivized programs in
developing nations for access to a wealth of natural resources (Knyght et al. 2011).
The entry of foreign-funded multinationals into and competition with local markets
has intensified competition (firm level).
The effects of globalization serve as a warning that when competitiveness leads to
local regional interference, the deterioration of indigenous culture, and pressures
reminiscent of colonialism, governments become more and more reliant on outside
organizations and colonial-style approaches to meet their resource demands.
In this consideration, the cosmopolitan framework (Kakabadse and Khan 2016)
draws attention towards the urgent need for accountable innovations and transparent
reforms necessary to rebalance resilience. When vested firm interests are the gov-
ernment’s priority, as in a globalized perspective, the system is less sustainably
resilient and more vulnerable to collapse. The framework notes that the case of
soya has unique moral, governance, and cultural dimensions in Brazil (Table 2). The
dimensions’ influence on each other, negatively impacting that cosmopolitan sus-
tainable resilience, is not achievable (Fig. 4 offers opportunities for advancement).
Moreover, the challenges and their prioritization at each level are currently acting as
blockages and perceptions of threat to overarching socio-ecological systemic (SES)
balance and harmony (Folke, et al. 2016; Xu et al. 2015).
The problems pertaining to equitable environmental, social, and economic out-
comes, in that order, are addressed by the SES approach in this study. In contrast,
performance appears to follow more economic, social, and environmental concerns
via the lens of globalization. Ecosystems (The Economics of Ecosystems and
Biodiversity Report TEEB 2018) must take into account and include eco-services
in order to promote the advantages of welfare and sustainability, according to
Costanza et al. (2014).
250 N. Khan et al.
Fig. 4 Cosmopolitan resilience: case of soya in Brazil. (Source: Developed by the authors with
reference to Leal Filho et al. (2019); Kakabadse and Khan (2016), and Rockstrom et al. (2009))
According to socio-ecological frameworks, eco-services give human society

advantages from the ecosystem, and human actions in turn have an impact on the
eco-system, constituting the link between nature and human civilization. The multi-
level and interwoven relationships that can increase the overall sustainable resilience
are highlighted by the cosmopolitanism framework.
In the case of soya within the socio-ecological framework, Fig. 4 shows the
prospects for cosmopolitan resilience at the human, corporate, and governmental
levels to improve the cultural, moral, and governance features. In this way, the
cosmopolitan approach gives priority to the sustainability impact and mediates the
more limited and alienating effects of globalization on the economy.
The commodity case of soya in Brazil exemplifies the adoption of the cosmopol-
itan framework. It draws to attention opportunities for better communication across
the levels along with more coordination between ground-up and top-down efforts.
This may facilitate collaborative relationships for achieving impact on sustainability
(Dsouli et al. 2017). Between government and firm levels, businesses need to focus
on a broad policy design and aligned environmental performance indicators as part
of integrated reporting. To achieve this, greater local discretionary capacity to enable
communities and stakeholders with their initiatives will be beneficial. In the frame-
work, a reorientation of government–firm relationship and firm incentives are
critical.
The managerial ramifications are directed at encouraging actions towards farming
well-being at individual and organizational levels. This includes improving human
and animal welfare, locality working conditions, and raising awareness of pesticides
and fertilizers as factors in quality and longer term economic well-being.
Typically, there are many individual farmers and smallholders. The large corpo-
rations are more dominant, yet less engaged in local areas. This has implications for
the development of local rent increases, entry barriers, the value of land, price, and
quality of property, which all impact local life. The framework highlights an
overarching problem that Brazil’s institutional and regulatory governance structures
have not yet fully embraced philosophical changes in their reform of infrastructure,
industry regulation, supply chain, or labor training during their transition from state
control to market liberalization.
Recommendations draw attention contemporary sustainability endeavors that
require enhanced integration assessments and to the setting of future goals with
better accountability at all levels. Furthermore, scientific global ecological limits are
historical and need to be translated into meaningful projected strategic commitments,
set at country level (Selles 2013). There remain opportunities for enabling multi-
directional application and feedback mechanisms as dynamic capability within the
framework.
Conclusion
For effectively attending to planetary boundaries (Rockstrom et al. 2009), the case of
soya beans demonstrates how interdependence and adaptive relationships (Leung
et al. 2002) are key to improving collective resilience as socio-environmental
sustainability. Collective food sourcing, production, distribution, and supply chain
improvements will lead to enhanced resilience. This study calls that multilevel
integrated bottom-up and top-down collaborative stakeholder engagements can
contribute to addressing sustainability development goals. This research contributes
particularly to SDG2. Sustainable Development Goal 2 aims to achieve a world free
of hunger. Some 700 million people worldwide are suffering from hunger and 30%
of the planet faces food security concerns. This has increased during 2020–2022 due
to geopolitical effects on food availability and prices. Globally, it is of concern that
children below the age of 5 are suffering from malnutrition and low mortality rates,
and countries such as the Central Africa Republic and Yemen consistently remain
high on the Hunger Index (2022). Within Brazil itself, since 2020, the number of
people facing hunger has doubled to 133 million and 60% of families in 2022 are
facing some form of food insecurity. To date, a globalized lens has encouraged
top-down economic innovation as a priority. The associated social and environmen-
tal problems have persisted. The conceptual application of a cosmopolitan frame-
work highlights systemic integrative opportunities across different levels as a
transdisciplinary contribution (Xu et al. 2015).
A theoretical conceptualization of the framework is extended through incorpo-
rating novel relational dimensions into the mechanism (Khan et al. 2021; Leung
et al. 2002). This offers unique case-study application as moral, governance, and
cultural cosmopolitan factors (Yin 1994). Responding to the research questions,
252 N. Khan et al.
outcomes offer contributions towards addressing food security as a main grand

challenge. Indeed, the historical foundation of food has always been the forest that
must be protected and preserved for future generations.
To impact environment, social, and then economic well-being, personal world-
views, behaviors, aligned actions, and institutional structures have to evolve ensur-
ing environmental impact has equitably embedded prioritization. The Halocene
epoch (extinction) is dependent on Anthropogenic (human) influences at
government, firm, and individual levels for treating the range of issues as critical
to socio-ecological sustainability. Only through diverse cosmopolitan policies and
engagement can government and business agendas be more collaborative to restore
and preserve the resilience of global planetary boundaries. Areas such as the
Pantanal (Junk et al. 2006), the world’s largest wetland and flooded grassland in
Mato Grosso State, and across the border in Bolivia, the Uyuni Salt Flat (Sanchez-
Lopez. 2019), are lands that are resource rich and urgently need protection against
potential exploitation.
Transferability of the framework to a range of political systems (authoritarian to
democratic) and different industry sectors (travel, energy, construction) is important.
This includes ensuring the response is relevant to communities and citizens. Proac-
tive efforts instead of reactive responses are the call from the recommendations.
In conclusion, organizations and institutional attention is on better embedding
environmental linkages between international and local entities and structures, along
with broadening the accountability of leadership. Alignment between COP26-type
agreements, policy formation, and business execution must account for meaningful
sustainability impact at different levels. Bottom-up engagement and more responsive
collective decision-making will be critical to systemic socio-ecological outcomes.
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Efforts Towards Ending Child Labor: Case
of Brazil
André Borchardt Deggau, Beatriz Vieira, Paula Alencar Camargo,

Danielle Grecco de Souza Silveira, and José Baltazar
Salgueirinho Osório de Andrade Guerra
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258
The Concept and Its Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
A Long Struggle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260
Legislation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
International Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
Brazilian Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266
Strategies for Ending Child Labor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
Fighting Poverty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268
Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269
Culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269
Brazilian Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270
Poverty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270
Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
Culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
Findings and Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275
Abstract
Ending child labor has been a long-held goal for mankind and remains relevant as
one of humanity’s priorities for the short-time future as acknowledged by the
inclusion of this issue in the Sustainable Development Goal, target SDG 8.7. This
study analyzes Brazil’s efforts toward ending child labor within its territory and
draws three main conclusions: (i) the key concepts in the matter are subjective and
A. B. Deggau · B. Vieira · P. A. Camargo · D. G. de Souza Silveira ·

J. B. S. O. de Andrade Guerra (*)
University of Southern Santa Catarina (UNISUL), Florianópolis, Brazil
e-mail: jose.baltazarguerra@animaeducacao.com.br

https://doi.org/10.1007/978-3-031-16017-2_6
258 A. B. Deggau et al.
open to interpretation, (ii) Brazil has made significant but insufficient progress on
ending child labor, and (iii) the end of child labor has significant relationships
with several other SDGs.
Keywords
Child labor · Decent work · Sustainable development goals · Brazil · Child labor
in Brazil
Introduction
Despite decades of global efforts toward ending child labor, 160 million children
worked in 2020 which equates to 1 in 10 children, approximately, in the world who
spent some of their time working (ILO and UNICEF 2021). In the United Nations
(UN), Agenda 2030, we see that the world has committed to ending child labor by
2025 (United Nations 2015), but early on in this thinking, the International Labour
Organization (ILO) admitted that such a goal is ambitious when considering the
trends and traditions of the world labor market (ILO 2017).
Child labor is a persistent problem, particularly in developing countries such as
Brazil where 4.6% of the population are below or at the age of 17 (1.7 million
people, approximately) worked in 2019 (IBGE 2020). While the efforts toward
ending child labor in Brazil have been a decades-long battle, the cultural associations
with child labor are even older harking back to the days of slavery practices that were
legal until the late nineteenth century (Moreira and Custódio 2018). Ending child
labor is a moral, social, and economic necessity. Child labor perpetuates poverty
(Nepal and Nepal 2012); undermines the fight for other fundamental rights, such as
quality education and health (Burrone and Giannelli 2020); and deprives children of
their human right to infancy by asking them to work as an adult would be expected to
(Chatterjee and Ray 2019). Most cases of child labor in the world are in agriculture
which accounts for up to two-thirds of the occurrences (Busquet et al. 2021). Also,
most cases are to be found within the family (Edmonds 2007) and in the developing
countries, with Africa accounting for almost 50% (Lee et al. 2021). Typically, child
workers are boys (ILO and UNICEF 2021). By making it a part of its Agenda 2030,
the world committed to ending child labor when the UN’s Sustainable Development
Goals (SDGs) were adopted in 2015 by all 193 member states whose aim was to
create a fairer and better world (United Nations 2015). The end of child labor is
included as target 8.7 of SDG 8, but, by the complementary nature of Agenda 2030,
its solution is fundamental to the achievement of several other goals.
Brazil has made several efforts, with relative success, to abolish child labor within
its borders. Latin America as a whole has experienced major improvements in the
early twenty-first century, reducing the number of working children from 17 million
to 5 million in less than 5 years (Ariza and Raymond Bara 2020). But, in order to
determine how much the Brazilian government has achieved in this goal, this chapter
examines the country’s fight against child labor and how its strategies compare with
Efforts Towards Ending Child Labor: Case of Brazil 259
the accepted international standards and those state-of-the-art approaches being

proposed in literature today.
Two approaches to the research used in this chapter are: firstly, a literature review
to assess what strategies have been applied globally to end child labor and, secondly,
a review of relevant documents that shed light on how Brazil has approached the
issue of child labor over the years. The results from these two different approaches
are analyzed and compared in the discussion section to provide a clearer picture of
how Brazil has performed when compared to the rest of the world.
Section “The concept and its problems” discusses the concept of child labor and
some of the problems arising from it. Section “A long struggle” explains the long
global struggle against child labor and section “Legislation” presents a literature
review of the best strategies to end it. Section “Strategies for ending child labor” then
recounts the history of Brazilian efforts against child labor, Section “Brazilian
strategies” compares and discusses the Brazilian efforts with the rest of the world,
and the final conclusions are presented in section “Findings and conclusions”.
The Concept and Its Problems
Surprisingly, there is no single, unified, or widely accepted concept of child labor and
two main reasons for this have been identified in the literature and legislation as being
the imprecise definitions of what constitutes a “child,” and what constitutes “work.”
In turn, this begs the question, what kind of work is considered to be harmful?
The definition of childhood is complex because it is a social construction that
varies in time and place (Dash et al. 2018) and causes great problems when it comes
to defining the age when work starts to be acceptable. This lack of clarity has
contributed to a long history of contradictory research, and even legislation, as the
literature and international organizations struggle to find a definitive answer to this
question (Hepple 2008).
The problem of defining what kind of work is harmful occurs because many authors
believe that some forms of light work are actually beneficial for a child’s development
(Anker 2000; Burrone and Giannelli 2020). The ILO itself states, in ILO and UNICEF
(2020), that “light work” is considered acceptable, but fails to define what this is and how
to separate it from harmful work. These uncertainties constitute a great hurdle in the
effort of creating global policies toward child labor and even to the effort of comparing
data among countries since, potentially, each country can use different datasets and
criteria in their definition (McKechnie and Hobbs 1999). Therefore, a clearer concept
would go a long way to produce a more effective global effort on this issue.
In recognition of these problems, some other concepts were developed in order to
better clarify what was being prohibited. One of these concepts is the concept of
“worst forms of child labour” while another is “hazardous work” which is under-
stood to be work that compromises children’s health, safety, and physical and mental
development (Fors 2012; ILO and UNICEF 2021). These activities include modern
slavery of children and the employment of children in illicit activities, including
prostitution (Anker 2000). The concept of “non-harmful work,” which comprises
activities that are not considered to compromise a children’s development, includes

light activities, such as babysitting (Anker 2000) and other light activities that might
help a family financially (Burrone and Giannelli 2020). While this final concept is
helpful, there is still no clear definition on where to draw the line.
A Long Struggle
The ILO set the end of child labor as one of its main goals when it was founded in
1919. For this reason, Bourdillon and Carothers (2019) say that the global struggle to
put child labor to an end is at least 100 years old. But concerns about child labor are
actually older, dating back to the first years of the Industrial Revolution which took
place in Britain in the eighteenth century. Immediate concerns about labor conditions
in the first factories were raised as men, women and children alike worked from 14 to
16 h a day and earned wages that were not enough to meet their needs (Bongers and
Molinari 2021). Over time, some European countries developed legislation pre-
venting children from working or limiting their number of hours. This happened in
the broader context of concerns about work conditions in general, discussed, for
instance, in the International Labour Conference of 1890 (Seitenfus 2012).
The ILO was created to regulate working conditions around the world and presides
the League of Nations as being the world’s first international organization with
universal purposes, (Seitenfus 2012). Among principles such as gender equity at
work and the limitation of the working day to 8 h, the ILO also demanded the end of
child labor (Rana and Sanderse 2021). Since then, there has been a slow but steady
progress in defeating child labor. The ILO (2017) considers there has been “dramatic”
progress since the beginning of the twenty-first century. In 2015, however, the struggle
against child labor entered a new phase when it was included in the UN’s Agenda 2030.
The SDGs are considered to constitute an integrated, indivisible, and universal
agenda, applicable to all countries and all circumstances (United Nations 2015). The
commitment made in SDG 8 (Target 8.7) is more significant than any other goal on
the matter agreed previously, because it set a specific timetable, i.e., child labor
should be eradicated by 2025. The inclusion of this topic in the SDGs is another
important step toward recognizing child labor as a broad social problem. As SDGs
are indivisible, the connections between child labor and other goals, such as poverty
(SDG 1) and quality education (SDG 4), must be recognized more clearly.
In spite of that that has been done to date, efforts have stalled since 2016. The ILO
and UNICEF (2021) estimate that child labor has remained level, in proportion to the
child population, at approximately 10%, but it has increased in absolute numbers by at
least eight million children with the largest increase being in the age group of between 5
and 11. The emergence of the COVID-19 pandemic in 2020 and the economic and
social crises that followed are likely to put the situation under even more stress, even
though the data is still unclear at the time of writing this chapter. The ILO (2020) argues
that the COVID-19 crisis is likely to endanger children because every cause of child
labor (poverty, lack of education, and social marginalization) has been put under stress.
The ILO and UNICEF (2021) have estimated that up to nine million children could be
put into a situation of child labor, a setback that would cost years of progress. Nepal and
Nepal (2012) provide some rationale behind the reasons why this could happen: child
laborers often act as substitutes for adults, thus, when adults become unavailable
through sickness or other circumstances, more children are likely to work.
The year 2021 has been named the International Year for the Elimination of Child
Labour (ILO 2017), but the goal of reaching the end of child labor by 2025 still
seems to be ambitious as the number of children facing child labor has actually
grown since 2016. Clearly, something needs to change if the 2025 goal is to be met.
Legislation
The creation of norms to protect a certain group in society happens firstly by

understanding which individuals belong to the group in question. In the context of
recognizing children’s rights, the development of an understanding of the childhood
period, that is, between which ages a human being is considered a child, happened
mainly throughout the twentieth century at the international level along with the
process to recognize the rights of these individuals.
However, when the subject in question is child labor, the initial notions for the
creation of norms that criminalize it are not only linked to the question, what is
childhood?, but also when exactly children can work and what functions they may or
may not perform. Therefore, it is essential to have an understanding of these
questions so that certain activities that children are carrying out or will be carrying
out do not fall into slavery or slavery-like practices, since children, in general, do not
have the intellectual maturity and material conditions to fully discern and choose
which actions to take. In this sense, to have drafted treaties on child labor, an
international legal apparatus was needed that not only deals with child labor per
se, but also on slavery, slavery-like practices, children’s rights, and work.
To fully understand the current international norms and formulations that define
child labor, the main international treaties and conventions on each of the aforemen-
tioned themes are presented in the following sections. Moreover, all the documents
presented were drafted and signed during the twentieth century and at the beginning
of the twenty-first century when the main treaties and conventions of this period
gained the greatest reach and acceptance across the world.
International Law
Slavery
In 1926, the League of Nations signed the so-called The Convention to Suppress the
Slave Trade and Slavery, also known as the Slavery Convention, which was the first
international document to define the concept of slavery: “Slavery is the status or
condition of a person over whom any or all of the powers attaching to the right of
ownership are exercised” (OHCHR 1926). This definition refers to the idea of chattel
slavery and other forms of slavery listed in the Report of the Temporary Slavery
Commission drafted back in 1924 that included, for instance, forms of child labor such
as domestic enslavement, but did not mention child labor itself (Humbert 2009).
Nevertheless, after the creation of the United Nations, the ad hoc Committee of Experts
on Slavery, who were appointed by the United Nations Economic and Social Council
(ECOSOC) in 1949, pointed out that the definition of slavery in the Slavery Convention
did not cover the full range of practices related to slavery and that there were other equally
repugnant forms of servitude that should be prohibited. The Committee therefore recommended
that a supplementary convention be drafted to cover practices analogous to slavery – many of
which had been identified by the League of Nations when preparing the earlier Convention.
(Weissbrodt 2002)
In this sense, in 1956, the Supplementary Convention on the Abolition of Slavery,

the Slave Trade, and Institutions and Practices Similar to Slavery (Simply known as
the Supplementary Convention) extended the concept of slavery defined by the 1926
Slavery Convention (Bales and Robbins 2001; Weissbrodt 2002). The first article of
the Supplementary Convention reads:
Each of the States Parties to this Convention shall take all practicable and necessary
legislative and other measures to bring about progressively and as soon as possible the
complete abolition or abandonment of the following institutions and practices, where they
still exist and whether or not they are covered by the definition of slavery contained in article
1 of the Slavery Convention signed at Geneva on 25 September 1926:
(a) Debt bondage, that is to say, the status or condition arising from a pledge by a debtor of his
personal services or of those of a person under his control as security for a debt, if the
value of those services as reasonably assessed is not applied towards the liquidation of the
debt or the length and nature of those services are not respectively limited and defined;
(b) Serfdom, that is to say, the condition or status of a tenant who is by law, custom or
agreement bound to live and labour on land belonging to another person and to render
some determinate service to such other person, whether it is reward or not, and is not free
to change his status;
(c) Any institution or practice arrangement:
(i) A woman, without the right to refuse, is promised or given in marriage on payment
of a consideration in money or in kind to her parents, guardian, family or any
other person or group; or.
(ii) The husband of a woman, his family, or his clan of hers, has the right to transfer her
to another person for value received or otherwise; or.
(iii) A woman on the death of her husband is liable to be inherited by another person;
(d) Any institution or practice granting a child or young person under the age of 18 years, is
delivered by either or both of his natural parents or by his guardian to another person,
whether it is rewarded or not, with a view to the exploitation of the child or young person
or of his labour. (United Nations 1956).
It is observed that the Supplementary Convention defined slavery-like practice

“as a practice whereby a person is economically exploited by another person on
whom the victim is dependent” (Humbert 2009) due to the use of “condition” and
“status” in lit a. and b., and “institution or practice” in lit. c and d. meaning that:
the destruction of one’s juridical personality is the central element to the enumerated
practices. Since the wording does not explicitly mention the destruction of the juridical
personality, it is not the legal status or condition in its formal sense that matters but, on the
one hand, the degree of control of the master over the other person, and, on the other hand,
the degree of dependency of the victim on the other person. It is also inherent to all the
enumerated practices that the victim is economically exploited. Lit. c does not mention
economic explicitly, but it becomes clear from the context that lit. c refers to practices that
the violator usually disposes of the woman and her her labor. (Humbert 2009)
However, even with this expansion of the concept to a definition more in line with
the point made by the Ad Hoc Committee of Experts on Slavery, there is still much
discussion about the need to reformulate the definition of the 1956 Supplementary
Convention, which is today the most internationally recognized and is used widely
by the UN bodies (Bales and Robbins 2001; Weissbrodt 2002).
Rights of the Child

The first international document on children’s rights was the Declaration of Geneva
on the Rights of the Child, signed by the League of Nations in 1924, and was drafted
by Eglantyne Jebb who was the founder of the non-governmental organization Save
The Children International Union (Cohen 1991). This declaration itself was pivotal
in recognizing the needs and the importance of child care, though it did not yet
impose obligations on States nor set the child as “holder of rights of its own but
rather as an object of the protection that the Declaration aimed to afford.” Moody
(2015) also highlights that the Geneva Declaration was important for establishing
within the international scope the rights of children as a cause to be properly
addressed by adults within international organizations. In addition, the author
highlights the work somewhat horizontally between the League of Nations and
NGOs in favor of creating and establishing the Declaration.
Within the ending of the League of Nations and the creation of the UN, a
discussion on reformulating the Geneva Declaration began which culminated in
the signing of the Declaration of the Rights of the Child in 1959. Asamoah (1966)
claims that
The Declaration contains provisions designed to ensure a normal and healthy development
of all children in freedom and dignity and in an atmosphere of economic, social and
emotional security. It proclaims the right of children to a nationality and name, education,
social and emotional security. It recommends the protection of the child from neglect, cruelty
and exploitation and its upbringing in a spirit of tolerance and understanding.
However, even with the success of the two declarations in recognizing children’s
rights at international level, legal norms that protect children still did not appear until
1989. It was only in the late 1970s that any reporting of a convention was carried out,
especially after Poland sent to the UN in 1978 a first manuscript of the Convention
on the Rights of the Child (CRC) (Cohen 1991; Fass 2011; Erdem Türkelli and
Vandenhole 2012). The following year the Polish government sent a second manu-
script that was more extensive than the previous one, which contained a preamble
and “20 substantive articles detailing protected rights, and a procedural section
including the implementation mechanism” (Cohen 1991). It is from this document
that the Working Group appointed by the Commission began the work of drafting the
Convention, a process that lasted until 1989 when the CRC was signed (Fass 2011;
Türkelli and Vandenhole 2012).
Today, 196 countries are part of the convention, making the CRC the most widely
ratified international treaty. Further, the CRC contains 54 Articles (Convention on
the Rights of the Child 1989) and three Optional Protocols: Optional Protocol to the
Convention on the Rights of the Child on the sale of children, child prostitution and
child pornography, 2002; Optional Protocol to the Convention on the Rights of the
Child on the involvement of children in armed conflict, 2002; Optional Protocol to
the Convention on the Rights of the Child on a communications procedure, 2014.
Regarding the content of the CRC, Article 1 defines what a child is: “every human
being below the age of eighteen years unless under the law applicable to the child”
(Convention on the Rights of the Child 1989). Article 32 of the convention addresses
the issue of child labor and reads:
1. States Parties recognize the right of the child to be protected from economic exploitation
and from performing any work that is likely to be hazardous or to interfere with the
child’s education, or to be harmful to the child’s health or physical, mental, spiritual,
moral or social development.
2. States Parties shall take legislative, administrative, social and educational measures to
ensure the implementation of the present article. To this end, and having regard to the
relevant provisions of other international instruments, States Parties shall in particular:
(a) Provide for a minimum age or minimum ages for admission to employment.
(b) Provide for appropriate regulation of the hours and conditions of employment; 10.
(c) Provide for appropriate penalties or other sanctions to ensure the effective enforce-
ment of the present article. (Convention on the Rights of the Child, 1989).
Art. 32 does not prohibit work for children per se, but the abuse of it and still
determines measures that States must take to protect children from work that affects
their health and development. In this sense, it is seen that the CRC was able to
formulate broad legal mechanisms capable of protecting children under international
law (Humbert 2009).
Child Labor
Currently, there are two ILO treaties that directly address the issue of child labor. The
first of these was the Minimum Age Convention, 1973 (No. 138) whose main
objective was to formulate a document that would unite the general consensus on
what age a human being should start working. Before this convention came into
force in 1976, such age-related information was defined in documents from the
different labor sectors (ILO 1973) as shown in some of the main articles of the
convention below:
Article 1.
1. Each Member for which this Convention is in force undertakes to pursue a national
policy designed to ensure the effective abolition of child labour and to raise
progressively the minimum age for admission to employment or work to a level

consistent with the fullest physical and mental development of young persons.
Article 2.
1. Each Member which ratifies this Convention shall specify, in a declaration appended
to its ratification, a minimum age for admission to employment or work within its
territory and on means of transport registered in its territory; subject to Articles
4 to 8 of this Convention, no one under that age shall be admitted to employment
or work in any occupation.
2. Each Member which has ratified this Convention may subsequently notify the
Director-General of the International Labour Office, by further declarations, that
it specifies a minimum age higher than that previously specified.
3. The minimum age specified in pursuance of paragraph 1 of this Article shall not be
less than the age of completion of compulsory schooling and, in any case, shall not
be less than 15 years.
4. Notwithstanding the provisions of paragraph 3 of this Article, a Member whose
economy and educational facilities are insufficiently developed may, after con-
sultation with the organisations of employers and workers concerned, where such
exist, initially specify a minimum age of 14 years.
5. Each Member which has specified a minimum age of 14 years in pursuance of the
provisions of the preceding paragraph shall include in its reports on the applica-
tion of this Convention submitted under article 22 of the Constitution of the
International Labour Organisation a statement–
(a) that its reason for doing so subsists; or,
(b) that it renounces its right to avail itself of the provisions in question as from a
stated date.
Article 3.
1. The minimum age for admission to any type of employment or work which by its
nature or the circumstances in which it is carried out is likely to jeopardise the
health, safety or morals of young persons shall not be less than 18 years.
2. The types of employment or work to which paragraph 1 of this Article applies shall be
determined by national laws or regulations or by the competent authority, after
consultation with the organisations of employers and workers concerned, where
such exist.
3. Notwithstanding the provisions of paragraph 1 of this Article, national laws or
regulations or the competent authority may, after consultation with the organisa-
tions of employers and workers concerned, where such exist, authorise employ-
ment or work as from the age of 16 years on condition that the health, safety and
morals of the young persons concerned are fully protected and that the young
persons have received adequate specific instruction or vocational training in the
relevant branch of activity.
Article 7.
1. National laws or regulations may permit the employment or work of persons 13 to
15 years of age on light work which is –
(a) not likely to be harmful to their health or development; and,
(b) not such as to prejudice their attendance at school, their participation in voca-
tional orientation or training programmes approved by the competent author-
ity or their capacity to benefit from the instruction received.
2. National laws or regulations may also permit the employment or work of persons who
are at least 15 years of age but have not yet completed their compulsory schooling
on work which meets the requirements set forth in sub-paragraphs (a) and (b) of
paragraph 1 of this Article.
3. The competent authority shall determine the activities in which employment or work
may be permitted under paragraphs 1 and 2 of this Article and shall prescribe the
number of hours during which and the conditions in which such employment or
work may be undertaken.
4. Notwithstanding the provisions of paragraphs 1 and 2 of this Article, a Member which
has availed itself of the provisions of paragraph 4 of Article 2 may, for as long as it
continues to do so, substitute the ages 12 and 14 for the ages 13 and 15 in
paragraph 1 and the age 14 for the age 15 in paragraph 2 of this Article (ILO
1973).
In summary, the convention fulfilled its role of criminalizing child labor and
limiting States parties to the minimum age of 15 years for admission to work;
13 years for light work; and hazardous work only from the age of 18 (Mavunga
2014). Further, the convention stipulates that the minimum age stipulated by each
country may not be younger than the age when compulsory schooling ends
(Mavunga 2014).
The second ILO treaty document is the Convention on the Worst Forms of Child
Labour No. 182 on which Humbert (2009) argues that: “Whilst the Minimum Age
Convention refers to all three of the categories of child labour to be abolished (. . .)
Convention No. 182 focuses on the two latter categories including hazardous work.”
Brazilian Law
While there is an international will to fight child labor, different countries find
themselves at different stages in the process. In the twenty-first century, child labor
is a problem mainly in developing countries (Humphries 2003). The root causes of
child labor seen in Europe in the nineteenth century are the same causes of the
persistence of child labor in places such as Latin America today (Bhaskar and Gupta
2006). Latin America faces today a similar problem that was faced by Europe
200 years ago (Tuttle 2006).
One place where child labor is still known to occur outside the boundaries of the
law is Brazil. Currently, under Brazilian law, no person aged 16 or below is allowed
to work, but people aged between 14 and 16 might work in the special condition of
“apprentice” with lessened working hours and smaller wages. Furthermore, people
aged 16 to 18, while allowed to work, must not take part in unhealthy or dangerous
work and are not allowed to participate in night shifts. The first mention of child
labor in Brazilian legislation was made in 1891, just three years after slavery had
been outlawed, when the 1891 Constitution prohibited work for children aged under
the age of 12 years (Alberto and Yamamoto 2017). In the years since, the Brazilian
stance has changed many times, partly because the country has had several consti-
tutions over this period.
While Brazil’s minimum age limit for work has changed since 1891, it has never
been less than the age of 12 years. The short-lived Constitution of 1934 was the first
Brazilian constitution to address children’s rights, with the prohibition of child labor
among them. Any kind of work was prohibited to those under 14 years of age; night
shifts were prohibited for those under 16 years of age; and unhealthy work in factories
was prohibited to anyone under 18 years of age (Santos and Veronese 2019).
Another significant change took place in 1967, when a new Constitution changed
the minimum age of labor back to 12 years. Teenagers were allowed to work under
the same rules of 1934, this time under the label of “apprentice.” They earned the
equivalent of half of the minimum wage at the time (Santos and Veronese 2019). The
Constitution of 1988, which is still in effect today, dedicates the rights of children in
its article 227 believing the duty to respect them lies with family, society, and State.
The constitution established the minimum working age of 14, again with the label of
“apprentice” and with the caveat that such activities should not compromise their
development and school performance (Amin et al. 2019). Most recently, in 1998, the
situation changed again with the 20th Constitutional Amendment where, for the first
time, the minimum working age is prescribed as 16 years with apprenticeships
allowed for those aged between 14 and 16. In 2008, Brazil ratified the ILO Conven-
tion 182, condemning the “worst forms” of child labor such as slavery and other
associated crimes (Amin et al. 2019).
Strategies for Ending Child Labor
The fact that child labor was never close to being abolished, despite many years of
efforts, shows that its elimination is no easy task. The following section presents a
review of the literature and international law in order to show which strategies were
adopted over the years, and how these can provide us with a pathway toward a
definitive solution. The most logical approach is to understand and prevent the root
causes of child labor. Child labor, however, is understood to be a complex phenom-
enon, with multiple and sometimes concurrent causes; therefore, it would not be
possible to solve the child labor problem with one simple approach (ILO 2017;
Busquet et al. 2021).
The first main cause of child labor is poverty, which is a conclusion supported by
the well-established correlation between the spread of poverty and the spread of
child labor (Cigno and Rosati 2005) leading Ahmad (2012) to claim that there is no
possible end to child labor while poverty exists. The explanation for this lies in
decisions made within the family, where, in poor households, child labor is at times
an important source of income (Anker 2000) and the short-sighted view that sending
a child to work is more beneficial to this household than sending them to school
(Edmonds and Schady 2012). Under these circumstances, the likelihood of child
labor increases as a family becomes poorer (Chatterjee and Ray 2019) and as a
family has more children (Fors 2012). Therefore, the literature believes mostly in
what Fors (2012) calls the “luxury axiom”: the freedom from child labor is a luxury
afforded to richer households. Child labor happens only when a family has no other
option, and, if a poor household has an increase of income, the likelihood of child
labor diminishes (Edmonds and Schady 2012).
A second main reason for child labor, which is closely associated with the first, is
the economic profit to be made from it. Children are an important part of the
workforce where, in some places, it comprises 32% of the workforce, e.g., as seen
in Africa, for instance (Afriyie et al. 2019). Furthermore, children are seen by many
employees as a docile, disorganized, and submissive group of workers (Dias et al.

2020).
A third important cause of child labor is a lack of quality education. Children face
a trade-off as they allocate their time, and every hour spent working is one less
available hour for studying or spending time in school (Nepal and Nepal 2012).
Therefore, most of the children that work spend a reduced amount of time at school
or simply do not attend it all, as pointed out by the ILO and UNICEF (2021) who
record that one in every three working children do not go to school. Bearing this in
mind, there is also a reverse trend where, not only is child labor a problem for their
quality of education, but a lack of quality education also increases the issue of child
labor, i.e., when school evasion is higher, there is a higher supply of children in the
labor market (Quattri and Watkins 2019).
A fourth reason, which was already touched upon, is family decisions. Children
have no say on how they spend their time, and the time allocation between leisure,
education, and work is decided by their parents (Cigno and Rosati 2005). In many
cases, these parents might see child labor as a positive thing, either for cultural
reasons (Fors 2012) or as a way to help with their economic hardship (Dinku 2019).
One evidence of this is the fact that more than 80% of child labor occurs within the
family (ILO and UNICEF 2021) and also there is a high probability that the number
of child laborers might be higher than is actually known because mostly it is hidden
from public or governmental view as in the case of domestic child labor (Carneiro
2018).
In seeking to deal with the four principal reasons for child labor outlined here, the
literature presents three major forms for discouraging child labor by fighting poverty,
improving school enrolment rates, and creating a cultural change. These three
strategies are analyzed in the following sections.
Fighting Poverty
If poverty is understood to be the main cause of child labor, the fight against it is also
seen as the major strategy to prevent child labor from happening. The evidence
shows that increasing income (Fors 2012), creating job opportunities (Busquet et al.
2021), or even improving access to basic items such as clean water (Cigno and
Rosati 2005) has a positive impact over child labor. Ending poverty is one of the
world’s main challenges, and it is recognized as so in the Agenda 2030, which
considers the end of poverty its utmost priority in SDG 1, “end poverty in all its
forms everywhere” (United Nations 2015). The ending of poverty is not only
important for child labor, but its urgent solution is the key for the survival of millions
of people (Sachs 2015).
The most common strategy of fighting child labor associated with poverty is cash
transfer systems. These are programs that distribute wealth in exchange for com-
pensations that a family will not send their children to work (Gee 2010). They work
on the assumption that an increase in income, as well as the financial incentive for
complying with the rules, will diminish the likelihood of child labor (de Carvalho
Filho 2012). Several studies have shown the efficiency of cash transfer systems in
reducing the occurrences of child labor, particularly in Latin America, where these
programs are popular (Gee 2010). Edmonds and Schady (2012) explain the success
of one of these programs in Ecuador, while Dammert et al. (2018) argue that child
labor is reduced in most cases. Another premise of such programs is that they would
invert the luxury axiom, as presented by Fors (2012). If children only work when
their family needs them to, removing the necessity of work will also remove the
occurrence of child labor.
Education
There is a general consensus in the literature that improved access to education will
reduce cases of child labor (Anker 2000). This premise is based on the trade-off
between schooling and work: every hour spent in school means there will be one less
hour available to spend working. As the time trade-off is administered by parents, the
time allocated to school depends on their opinions about how productive school
is. For cultural reasons, many parents might believe child labor to be a good thing, or
school to be a waste of time. Quattri and Watkins (2019) argue that poor school
performance leads to higher school evasion rates, creating a supply of child labor.
This premise of the relation between school and the absence of labor is followed by
authors such as Ahmad (2018), who recommend compulsory education as a way of
reducing child labor. The ILO and UNICEF (2021) consider that at least one-third of
the children that work are completely excluded from the school system. Strategies
that improve school enrolment and reduce school evasion are also considered
efficient. Similarly, programs that incentivize children to spend more time in school,
be it for the purpose of study or doing extracurricular activities, have also been found
to be helpful tools against child labor (Yap et al. 2009).
Culture
As the decision of child labor is made within the family, one major problem is the
fact that many families consider child labor to be a healthy, safe, and maturity-
inducing activity. This opinion might be caused for cultural reasons and also the
parent’s literacy levels might also be connected with how much they value educa-
tion (Fors 2012). This cultural acceptance of child labor might be held by both
parents and the employers who consider them easier to manipulate if they have no
regard for moral constraints (Ahmad 2012). However, most of the child labor in the
world takes place within a household in the domestic sense which means that the
final decision on whether a child should work or not resides with the family even
though external factors such as the market and the education system have their role.
In 2020, more than 80% of the occurrences of child labor that were registered took
place within a family (ILO and UNICEF 2021). Domestic child labor, by its own
nature of not being in the public eye, tends to be overlooked and, therefore, it is
very likely that the current number of child laborers has been underestimated
(Carneiro 2018).
Brazilian Strategies
Child labor is a deep problem in Brazil, where 1.7 million children have worked in
2019, more than 700,000 in the “worst forms” of child labor (IBGE 2020). There has
been some significant progress in ending child labor in Brazil since the early 1990s,
when about nine million Brazilian children worked (Reymao and Melém 2018).
Brazil has had two major programs that dealt with the prevention of child labor: one
specific to child labor, the Programa de Erradicação do Trabalho Infantil (Program
for the Eradication of Child Labour), known as PETI; and a program created to finish
poverty, but with child labor-related aspects, the Programa Bolsa Família (PBF). In
order to analyze Brazilian efforts toward ending child labor, we will use the same
three criteria applied to analyzing the literature: strategies that focus on poverty,
education, and cultural change.
Poverty
Children who work are less likely to have well-paid jobs in the future and, therefore,
child labor is both caused by poverty and a cause of it. Poverty is a major problem in
Brazil where, in 2019, 24.7% of the Brazilian population was considered to be living
in poverty and 6.5% living in extreme poverty. These statistics were expected to
worsen when the impact COVID-19 pandemic is fully absorbed (IBGE 2021). In the
twenty-first century, Brazilian efforts against poverty have been centered around
Programa Bolsa Família (PBF). While this program was not originally conceived
specifically to deal with child labor, much of the efforts against child labor were later
placed under the umbrella of PBF, a program that was always conceived as a solution
for many different problems. PBF was created as a junction of several existing
programs that dealt with issues as varied as poverty, food security, education, and
labor. These initiatives were led by at least four different Brazilian ministries which
meant the coordination and execution of these programs became increasingly com-
plicated before PBF united them all in October 2003 (Rocha 2011; de Souza et al.
2019).
The PBF program was conceived as a conditional cash transfer system,
focused mainly on poverty alleviation. Poor and extremely poor families had to
comply to some demands (e.g., sending their children to school) to receive a
small amount of money intended to help them fulfill their basic needs (de Souza
et al. 2019). Due to PBF poverty in Brazil declined on average 1.1% per year
since 2004; in 2017 alone, for instance, three million families overcame poverty
(de Souza et al. 2019).
Education
The largest program for the eradication of child labor in Brazil, PETI, was designed
to solve the problem of child labor by increasing school enrolment rates. PETI was
created as a program for the state of Mato Grosso in 1996 and was later expanded
into other areas (Costa et al. 2020). This program was a cash transfer system that paid
only families whose children (under 16 years of age) had a school attendance of 75%
or more (Alberto and Yamamoto 2017; Dias et al. 2020). Furthermore, PETI
included a program to incentivize children to spend more hours at school during
the day, known as “Jornada Ampliada,” an initiative that doubled the time these
children had to spend at school each day (Yap et al. 2009; Gee 2010). Several other
initiatives took place in Brazil under the premise that educational reforms could be a
solution to child labor and many other problems, such as food security. These
included financial help for schools, programs to improve the quality of food served
in schools, and the transport of students to schools (Alberto and Yamamoto 2017).
PETI had positive impacts on child labor numbers in Brazil, where, in some states
such as Bahia, the number of hours worked by children fell by 26% (Yap et al. 2009).
Even when the program was unable to eradicate child labor completely, “Jornada
Ampliada” meant that children spent less time working (Costa et al. 2020). Later, in
2005, PETI was integrated into PBF with the idea that this fusion of programs could
benefit from PBF’s established structure in Brazil (Costa et al. 2020). Some authors
suggest that the connection of this program to BPF caused the program to lose its
focus and efficiency. However, several criticisms were also made toward the pro-
gram, for example, Costa et al. (2020) suggest that in some Brazilian regions the
program had no impact and child labor actually increased. Alberto and Yamamoto
(2017) argue that the program had an inefficient cover and cash transfers were often
delayed.
Culture
For many people within Brazil, child labor is seen as a normal, safe, and natural
activity (Moreira and Custódio 2018). The way people see the problem is highly
influential because, as stated previously, adults are responsible for deciding whether
their children should work or not. But the research presented in this article found no
evidence of specific programs within Brazil to address the social tolerance toward
child labor in its many forms. Also, the problem might run deeper, because the
Brazilian society has in general cultural, economic, and social links with forced
labor. Slavery was only abolished in 1888, just a few generations ago, with child
labor being tolerated until some years later, in 1891 (Alberto and Yamamoto 2017).
Even today, modern slavery practices still take place in Brazil; the forced labor in
Brazil is mostly hidden from the law, as is the case with most of the world’s modern
slavery practices (Boyd et al. 2018; Christ et al. 2020).
The tolerance toward child labor might also be explained by purely economic
reasons. Pragmatically, child labor generates wealth while education does not;
furthermore, many adults today remember working before they were 16 and see it,
today, as an overwhelmingly positive experience (Moreira and Custódio 2018). Such
arguments, however, ignore all the evidence regarding the impacts of child labor on
poverty and education, which has been presented previously in section “Strategies
for ending child labor”.
Findings and Conclusions
This study has three main findings:
(i) Subjectivity in the concept of child labor is a major hurdle that has affected
efforts to eradicate it in Brazil.
(ii) Much progress has been made by Brazil in steering the country in the right
direction toward reducing child labor, but this has been insufficient in ending
the problem.
(iii) The solutions to eliminate child labor are deeply intertwined with other solu-
tions proposed in the 2030 Agenda.
Ironically, when dealing with the subjectivity of the “child labor” concept, this
lacks clear definitions for the meanings of “child” and “labor”; meaning there is no
worldwide consensus on the age at which childhood ends and what kinds of
activities should children be allowed to perform and which should be prohibited.
This problem has affected Brazil directly where, over time, the country has seen
several changes to the definition of child labor as that being performed by humans
below the ages of 12, 14, 16, or 18 years (Alberto and Yamamoto 2017). At the time
of writing this chapter, Brazil allows people over 16 years of age to work and people
over 14 years of age to work as “apprentices” (IBGE 2020). The lack of a clear
definition hinders any serious efforts that Brazil could have made to stop the issue in
the long-term.
While the age that constitutes a “child” continues to be unclear, so too is what
constitutes the meaning of “labor.” The world has found consensus around the
“worst forms” of child labor with which Brazil agrees by rigorously preventing
these forms of child labor from occurring. Although this is most certainly a very
positive step, all other forms of “lighter” child labor remain unchecked. Brazilian
law makes every effort to prevent all forms of labor from happening in conditions
classified in its native Portuguese language as “insalubres,” or unhealthy. The
authors of this chapter have found no clear connection between what constitutes
“unhealthy” since child labor, when compared to the “worst forms” of child labor,
merely adds to an already confused scenario. This lack of clarity possibly streams
from a related issue that considers child labor as a form of forced labor which itself
also lacks a clear and precise definition. For instance, slavery has never found a
precise definition and was never the subject of a major international agreement,
especially because its meanings changed over time (Bales and Robbins 2001).
Our second finding refers to the progress made by Brazil. According to the
literature this chapter has gathered, the country has made good and steady progress
by focusing on the right issues of poverty and education. These efforts, however,
were clearly not enough since there were still 1.7 million Brazilian children working
as of 2019 (IBGE 2020). The path followed by Brazil in connecting the end of child
labor to the end of poverty, within the context of the PBF program, aligns perfectly
with the available literature about child labor. Poverty is understood to be the root
cause of child labor and many other researchers have shown that increases in family
income are efficient in reducing child labor (Ahmad 2012; Dash et al. 2018; Dinku
2019). Similarly, Brazilian efforts in the PETI program that linked the end of child
labor with better school enrolment rates are also scientifically sound with the
connection between a more time spent in school and less child labor recognized
by international institutions (ILO 2017) and researchers (Quattri and Watkins 2019)
alike.
The third pillar toward the end of child labor, as indicated by the literature, is a
cultural change. However, in this topic, this chapter has found no evidence that
Brazil has maintained any campaigns to change family decisions, lessen interest
from employers, and diminish child domestic work. Considering that Brazil has
addressed the two biggest issues, we are left with the task of considering why child
labor has not been ended in the country. The simplest explanation available is that, in
spite of all its efforts, poverty and poor education are still realities in Brazil and,
while poverty exists, new cases of child labor will continue to be created.
While quality education is not provided, parents will continue to choose child
labor as a viable option in the family. Parents decide how children allocate their time
(Cigno and Rosati 2005) and will only choose education over labor for their children
if they perceive that the benefits of education are greater. When parents perceive
schools to be violent places, or as places where children learn things that are not
useful to them, parents will decide to remove their children from the education
system (Quattri and Watkins 2019).
Our third finding in this chapter is that, while the issues of poverty and poor
education continue to exist, child labor is unlikely to be eradicated soon. Child labor
is not only caused by the problems outlined in this chapter, but it is also a cause of
new problems, as it perpetuates poverty, hinders performance in education, expands
inequalities, endangers gender equality, and exposes the failure of institutions. All of
these problems are put together in the Agenda 2030. The issue of child labor and the
way it depends so heavily on these other topics proves the connection that exists
between the SDGs. In 2015, the UN created the SDGs to be integrated, universally,
and indivisibly (United Nations 2015), which, on the issue of child labor, is most
certainly the case.
There are several connections between child labor and the 17 SDGs established
by the UN. SDGs 1 (poverty), 4 (quality education), and 8 (decent work) are central
to the issue of child labor; while SDGs 2 (zero hunger), 5 (gender equality),
10 (reduced inequalities), 12 (responsible consumption), and 16 (peace, justice,
and strong institutions) also have important connections with the issue.
The strong connection between child labor and poverty (SDG 1) has been
established for a long time: poverty is both a cause and a consequence of child
labor (Custódio and Cabral 2021). In the poorest households, child labor is both an
important source of income and a survival strategy (Dinku 2019). But, the persis-
tence of child labor hampers the goals of ending poverty in the long-term and child
labor creates a cycle of poverty, since children who work are far less likely to obtain
access to well-paid jobs, increasing the possibility that, in the future, their own
children will have to work as well (Nepal and Nepal 2012).
The connections between child labor and quality education (SDG 4) are also very
well-established. These interconnections go both ways, as they do in poverty: child
labor hampers efforts toward quality education, and a lack of quality education
increases the possibility of child labor cases (Quattri and Watkins 2019). In the
case of decent work (SDG 8), the end of child labor is a central part of the agenda and
ending it was one of the first items in the global labor agenda at the time of the
creation of the ILO in 1919, many years before the concept of decent work was even
coined (Rana and Sanderse 2021).
Today, the end of child labor continues to be a major part of the decent work
agenda; the only target in the SDGs to mention child labor is Target 8.7 which is
located within the context of decent work (SDG 8) and its other targets regarding the
rights of working people (United Nations 2015). The issue of child labor is very
connected to food insecurity (SDG 2) because poverty is the main cause of hunger
(Tendall et al. 2015). If child labor perpetuates poverty, its persistence is also likely
to mean a persistence of food insecurity through the generations. Equally, if poverty
increases, both hunger and child labor become more likely.
The connections between child labor with gender equality (SDG 5) and reduced
inequalities (SDG 10) are apparent in the fact that there probably is an imbalance in
the amount of work done by boys outside of the home (Afriyie et al. 2019); while
most of the domestic work that takes places in the world is performed by girls and is
less apparent to the world (Carneiro 2018). The links between child labor and
consumption (SDG 12) lie on the fact that some of the existing child labor is
maintained by our consumption: child labor can be found at the end of large
production chains that distribute products around the world. The continuous con-
sumption of these products, even when the cases of child labor become public, is a
form of irresponsible consumption and indirect financing of child labor.
Finally, child labor is connected to stronger institutions (SDG 16) because it is
mostly a hidden phenomenon. Being an illegal and immoral activity (Anker 2000),
child labor tends to stay hidden; the absence of strong institutions and a strong State
to identify and act on the problem is a major issue.
It should be noted that this study is limited to Brazil’s case and the exact number
of child laborers is likely to be imprecise and underestimated. Further research on the
topic could focus on other countries, evaluating the effectiveness of their strategies in
eradicating child labor. Alternatively, regional and multinational strategies could
also be evaluated for their success, as well as the international agenda itself. Finally,
this chapter identifies a knowledge gap in the role that culture plays in child labor.
The literature establishes links between the attitude toward child labor today and the
historical scars caused by, e.g., slavery in the past, but the exact details of these
connections remain unclear; and the role of these cultural ties needs to be researched
in greater detail.
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Pathways to a Sustainable Blue Economy
in Latin America and the Caribbean
Andrés Palacio , Cristina Chaminade , and Gianna Angermayr
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282
The Blue Economy and Blue Transformations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282
On the Concept of Blue Economy and Blue Transformations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282
The Different Visions of the Blue Economy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
Trade-Offs Between the Different Visions with Regard to the SDGs . . . . . . . . . . . . . . . . . . . . . . 286
Pathways to Blue Economies in Latin America and the Agenda 2030 . . . . . . . . . . . . . . . . . . . . . . . . 287
Latin America Progress Toward Agenda 2030: Another Lost Decade? . . . . . . . . . . . . . . . . . . . . 287
The Blue Economy in Latin America: A Deeper Look at SDG 14-Related Policies
and Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292
Blue Pathways in Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302
A. Palacio (*)
Department of Economic History, Lund University, Lund, Sweden
FIGRI, Universidad Externado de Colombia, Bogotá, Colombia
e-mail: andres.palacio@ekh.lu.se
C. Chaminade
Department of Economic History and CIRCLE – Centre for Innovation Research, Lund University,
Lund, Sweden
Department of Business and Management, Aalborg University, Aalborg, Denmark
International Centre of Economic Policy for Sustainable Development, Universidad Nacional,
Heredia, Costa Rica
e-mail: cristina.chaminade@ekh.lu.se
G. Angermayr
Department of Economic History, Lund University, Lund, Sweden
e-mail: gi3764an-s@student.lu.se

https://doi.org/10.1007/978-3-031-16017-2_107
280 A. Palacio et al.
Abstract
After a 7-year slowdown in economic growth in the previous decade, LAC
opened this decade with the adverse effects of Covid. The economic slowdown
and the health crisis jeopardized the SDGs’ implementation in the region. In this
chapter, the authors revisit the old question of whether the previous decade of
LAC is another lost decade, mainly adding the environmental dimension to the
economic and social dimension. In this line, the latest reports show that SDGs
related to the biosphere capacity like SDGs 6 (water), 13 (greenhouse gases),
14 (blue biodiversity), and 15 (terrestrial ecosystems) have stalled. However, a
higher diversity of pathways can be observed. To illustrate different trajectories,
their trade-offs, and complementarities, the focus is on the transitions to the blue
economy in a selection of small island developing states (SIDS) in Latin America
and the Caribbean.
Keywords
Blue economy · SDGs · Agenda 2030 · Latin America
Introduction
After a 7-year slowdown in economic growth in the previous decade, Latin America
and the Caribbean opened this decade with the adverse effects of Covid, putting in
jeopardy the implementation of the Agenda 2030 in the region. In some countries,
the crisis has prompted new green and blue economy strategies, which put a greater
emphasis on the environment. Yet the latest reports show that SDGs related to the
biosphere capacity have stalled: SDGs 6 (water), 13 (greenhouse gases), 14 (blue
biodiversity), and 15 (terrestrial ecosystems). In this chapter, the authors investigate
different pathways toward the blue economy by looking at the dominant visions to
critically discuss how these so-called new strategies respond to traditional growth
models while truly embracing the spirit of strong sustainability flagged by
Agenda 2030.
The blue economy concept was originally developed following the Agenda 2030
vision as a strategy to reconcile human well-being and social equity with environ-
mentally sustainable economic opportunities associated with marine environments
(Silver et al. 2015; Voyer et al. 2018). The reference to “blue” instead of “green”
economy was an explicit attempt to reflect the limitations of the concept “green
economy” for small island developing states (SIDS), given their limited terrestrial
areas in comparison with the ocean surface that was under their jurisdiction (Bax
et al. 2021; Cisneros-Montemayor et al. 2019). In this respect, the blue economy is
considered by some authors as a complement to the “green economy” or even an
extension of sustainable development frameworks with a stronger focus on oceans
(Keen et al. 2018). What both concepts have in common is the initial focus on well-
being and social equity while reducing environmental and ecological damages (Keen
Pathways to a Sustainable Blue Economy in Latin America and the Caribbean 281
et al. 2018), with the concept of the blue economy mainly focusing on socially and
environmentally sustainable economic opportunities associated with marine envi-
ronments (Voyer et al. 2018).
However, over time the concept has grown to encompass an array of often
competing definitions, measurements, and discourses (Heidkamp et al. 2021, p. 3).
The blue economy has thus become a “buzzword” (Ayilu et al. 2022) used to support
a variety of aspirations by different interest groups (Christiansen 2021; Voyer et al.
2018). So much that some authors argue that the initial emphases on aspects related
to the environment, well-being, and social equity are all lost (Bennett et al. 2021),
thus putting in peril wider aspirations to comply with the objectives of the
Agenda 2030.
This issue has brought concerns over poorly managed “blue economy” policies
and actions that perpetuate the “business-as-usual” model of natural resource exploi-
tation, environmental damage, and inequalities (Brent et al. 2020; Cisneros-
Montemayor et al. 2019). Within this context, a new stream of literature is
addressing the need to actively (re)incorporate aspects of social and environmental
well-being to ensure a sustainable and equitable blue economy. While acknowledg-
ing inherent complexities in governing oceans (Bennett et al. 2019, 2021; Cisneros-
Montemayor et al. 2019), the newer literature aims to find better ways to include
critical social issues in the development and well-being of blue economy activities.
The LAC region shares a maritime territory of 16 million square kilometers, and
the sea represents more than 60% of the country’s sovereign territory (Tambutti and
Gómez 2020). Besides the geographical importance of the ocean for this region, 27%
of the population lives in coastal areas, and approximately 2.3 million people in LAC
are directly or indirectly involved in the fishing industry (Tambutti and Gómez
2020), with an estimated economic contribution to the GDP of 25 billion dollars.
Beyond the direct economic value of some of the goods and services that the ocean
provides, the ocean provides other ecosystem services like cultural (recreation),
regulating (e.g., climate change mitigation and adaptation), and supporting (photo-
synthesis, for instance). The opportunity that the blue economy offers in terms of a
post-Covid economic recovery has been recently highlighted in relation to Latin
America (IADB 2021). Notwithstanding its importance, very few papers discuss the
region’s different blue economy pathways.
This chapter aims to contribute to this research gap by discussing the opportuni-
ties and challenges of adopting a blue economy recovery strategy in the region,
accounting for the current performance in terms of the SDGs and the dominant blue
economy vision of their national plans and voluntary reviews. The discussion will be
illustrated with a selection of case studies. The chapter is structured as follows.
Section “Methodology” briefly describes the method and data used for the literature
review and analysis. Section “The Blue Economy and Blue Transformations”
reviews the current literature on the blue economy, discussing how the concept has
evolved and presenting the implications for blue transformations. Section “Pathways
to Blue Economies in Latin America and the Agenda 2030” discusses the different
pathways toward blue economy transformations in Latin America by looking at the
available SDG indicators and literature and illustrates different pathways by looking
at a selection of countries. Finally, section “Conclusions” concludes.
Methodology
This chapter relies on secondary data collection and analysis conducted in two steps
between January and June 2022. The starting point is a thorough review of the
academic literature on the blue economy using SCOPUS. As keywords for the
search, the terms used were “blue economy,” “coastal economics,” “ocean econom-
ics,” “marine economics,” and “blue growth.” Only English peer-reviewed journal
articles and book chapters were considered (excluding conference proceedings,
editorial reviews, and notes). In total, the authors identified 213 references for the
period 2020–2022. After revising the abstracts, seeking evidence of the interactions
between the concept of blue economy and sustainable development, the sample was
reduced to a list of 50 articles, of which 44 were freely accessible. The list covered all
geographical regions of the world. Of the total, 18 were general academic articles
discussing the concept or various characteristics of the sectors of the blue economy
without any specific geographical reference. Of the 26 publications with a geograph-
ical focus, 9 either focus on a worldwide comparison or compare countries of at least
2 different continents. Only three articles (Bethel et al. 2021; Franz et al. 2021;
Siverwood-Cope and Ling 2021) explicitly focus on Latin America. This first step in
the literature review is the basis for the conceptual discussion in section “The Blue
Economy and Blue Transformations”.
In a second step, the authors complemented the academic literature with gray
literature, including international and multilateral organization’s documents in
English and Spanish. The organizations were chosen based on their significance in
global SDGs dialogues, ocean governance, and blue economy framings within the
LAC region (Garland et al. 2019). The documents were obtained through a Google
search of the organizations’ websites, such as the United Nations Economic Com-
mission for Latin America and the Caribbean, the Inter-American Development
Bank (IADB), or the World Bank, as well as looking at the references of the
academic articles which focused in Latin America. In total, 43 additional documents
related to the blue economy in Latin America were identified through this second
step and used for the analysis presented in section “Pathways to Blue Economies in
Latin America and the Agenda 2030”.
The Blue Economy and Blue Transformations
On the Concept of Blue Economy and Blue Transformations
Since the initial introduction of the concept of the blue economy during the Earth
Summit in 2012, or the so-called Rio +20 Conference, the concept has gained
momentum among academics and practitioners, becoming a buzzword that is
applied to different and even conflicting notions of the blue economy. Often different
definitions, measurements, and discourses compete with each other leading to
ambiguity around what the blue economy truly is and what it entails in practice
(Garland et al. 2019; Heidkamp et al. 2021; Voyer et al. 2021) and, more importantly
for the current chapter, what it takes to transition toward a blue economy.
This confusion has – among others – also led to the increasing interchangeable
use of the concept of the blue economy with those of “ocean economy,” “marine
economy,” or “blue growth,” thus highlighting the preponderance of economic goals
at the expense of more comprehensive definitions of the blue economy as socially
and environmentally sound. The problem is that this interchangeable use favors the
understanding of the blue economy as a business-as-usual promoting concept that
undermines its socio-ecological perspectives on well-being, equity, and justice
(Cisneros-Montemayor et al. 2019; Heidkamp et al. 2021; Niner et al. 2022). Actors
of the blue economy can interpret the concept the way it best suits their interests, thus
prioritizing different and uncoordinated strategies that only have limited impacts
(Heidkamp et al. 2021; Voyer et al. 2021).
The discrepancies in the interpretation of what a blue economy entails have
important implications for discussions on blue transformations and blue growth.
The concept of transformation signals a process of change toward a desirable goal.
How that goal is defined, that is, what a blue economy is, has important implications
in terms of how the transformation process is designed and enacted through different
policies. While the aspirations to deliver sustainable development outcomes through
the blue economy are considerable, many voices worry that the effort may result in
the same negative impacts as a “business-as-usual” model, including environmental
damage and inequality (Brent et al. 2020; Cisneros-Montemayor et al. 2021).
The Different Visions of the Blue Economy
Building on the work of Silver et al. (2015), Voyer et al. (2018) propose to
distinguish between four visions of the blue economy: blue economy (1) as natural
capital, (2) as a business opportunity, (3) as a source of small-scale fishing liveli-
hoods, and (4) as a source of innovation. The different interpretations are discussed
below (Silver et al. 2015; Voyer et al. 2018):
1. Blue economy as natural capital highlights the need to account for the ocean’s
ecosystem services, including those related to regulation services. An example of
a definition of the blue economy that fits into this vision is that of the World
Wildlife Fund (WWF), which defines the blue economy as an economy that
“provides social and economic benefits for current and future generations, con-
tributing to food security, poverty eradication, livelihoods, income, employment,
health, safety, equity, and political stability while restoring, protecting and
maintaining diversity, productivity, resilience, basic functions and value intrinsic
to marine ecosystems, and the natural capital on which their prosperity depends”
(Voyer et al. 2018, p. 3). Economic activities included under this vision are
(small-scale) ecotourism related to marine protected areas, payment for ecosys-

tem services, or income from blue carbon schemes.
2. The vision of the blue economy as a business opportunity is anchored by
industries based on marine resources, such as fisheries, maritime transport, and,
to a certain degree, international development agencies such as the OECD or the
World Bank. The concept of the blue economy overlaps almost entirely with the
concept of the marine or ocean economy or blue growth, primarily related to
traditional extractive industries and business as usual, as well as new activities
such as the bio-economy of marine resources or renewable energies. Examples of
this interpretation of the blue economy can be seen in different papers (Bethel
et al. 2021; Cisneros-Montemayor et al. 2019; Heidkamp et al. 2021; Lee et al.
2020; Okafor-Yarwood et al. 2020; Voyer et al. 2021):
The blue economy can broadly be defined as „the sustainable use of ocean resources for
economic growth, improved livelihoods and jobs, and ocean ecosystem health, and covers
interlinked established and emerging activities such as fisheries, tourism, maritime transport,
offshore renewable energy, aquaculture, ocean mining, marine biotechnology, and
bioprospecting. (Bethel et al. 2021, p.1)
This vision is the one that refers to a more extensive portfolio of activities, including
shipping, oil and gas, sea-bed mining, fishing, tourism, energy, etc. while explor-
ing how to make them more sustainable in environmental and social terms.
3. The third vision, the blue economy as livelihoods of coastal communities,

refers to marine resources as a “way of life” for coastal communities dependent
on artisanal fishing. It is related to discourses on poverty reduction and the
importance of fishing as a fundamental source of protein in marginal communi-
ties. The main actors advocating this type of vision are development agencies,
NGOs specialized in coastal communities and marine environments, and associ-
ations of artisanal fishermen. This definition and vision of the blue economy have
been recently discussed in the context of equitable and sustainable blue econo-
mies (Bennett et al. 2019, 2021; Cisneros-Montemayor et al. 2019, 2021). For
example, Cisneros-Montemayor indicates that this vision incorporates:
Social equity concerns – in resource use and development is required to ensure human
security amidst ongoing global challenges [. . .]. Social equity here refers to: the recognition
and fair treatment of all groups that would benefit from or be impacted by existing or nascent
ocean industries; their inclusion in development plans and policies that would affect them,
and; the achievement of a more just distribution of benefits and burdens from these
industries. (Cisneros-Montemayor et al. 2019, p. 2)
Ultimately, this vision of the blue economy focuses on the governance of blue
economy action plans, initiatives, and policies. Regarding sectoral composition,
this vision concentrates almost exclusively on small-scale fisheries and, to a lesser
extent, community-based ecotourism and aquaculture.
4. The fourth vision of the blue economy as a source of innovation refers to the
potential of the blue economy for the development of innovations, both techno-
logical and non-technological. From our perspective, rather than a different vision
of the blue economy, this vision can be integrated into each of the previous three
visions, which, respectively, highlight environmental, economic, or social aspects
of the blue economy. In line with this transversal vision, Martínez-Vázquez et al.
(2021) propose to link the blue economy with the circular economy, as there is
potential in the blue economy to eliminate generated waste, use ocean resources
more efficiently, and engage in recycling. On a different note, Ertör and
Hadjimichael (2020) are more radical and introduce the concept of “blue
degrowth,” as the only way to emphasize the roles played by the environment
and by coastal communities, small-scale production, participative management of
marine areas, etc. concerning current economic policies promoting overextraction
and the exploitation of the seas. The emphasis in this last vision is on the role of
research and development in both the emergence of new economic activities, such
as bioprospecting or renewable energy (i.e., tidal), and in the development of new
technologies that can “green” more traditional ocean or marine industries, for
example, efforts to cut carbon emissions of shipping (Hassanali 2020). Within
this vision, some authors even include financial innovations, such as debt-for-
nature swaps or the sovereign blue bond pioneered by Seychelles (Hassanali
2020).
As previous analyses suggest, the discussion on how the blue economy concept is
interpreted and used by the different actors is extremely important in the context of
policies for “transformations to the blue economy” such as the ones discussed in this
chapter, for several reasons. In a simplified way, a transformation is understood as a
process to achieve an objective. How this objective is defined has important impli-
cations in terms of the agents, the sectors, and the dimensions of development that
are considered in the design and execution of the policy (see Table 1). However, until
now, “there is no agreed definition and relatively little concrete guidance on how the
Blue Economy might be realized” (Voyer et al. 2021).
For example, a transformation to a blue economy dominated by a vision as a
business opportunity would include sectors such as maritime transport, industrial
fishing, ocean mining, tourism, or even the bioeconomy, where aspects of environ-
mental degradation or worsening of social conditions would be subordinated to
economic growth. At the other extreme, transformations consistent with a vision
of the blue economy as natural capital would be more in line with environmental
conservation objectives, such as creating protected areas and with instruments for
attracting financial resources such as blue carbon credits or ecotourism. At an
intermediate point, there would be transformations guided by visions of the blue
economy as a way of life, where artisanal fishing and social aspects would play a
preponderant role. The following sections will discuss the prevalence of the different
visions of the blue economy in the blue and green transformation strategies of Latin
America and the Caribbean.
Table 1 Visions of the blue economy

Visions of
the blue
economy Objectives Key actors Key sectors
Natural Conservation International Ecotourism in protected
capital NGOs and areas, research, PES, blue
government carbon
Business Growth and job creation Companies Fishing (all), shipping, oil
opportunity and gas, tourism
Livelihoods Poverty alleviation, food Small-scale Small-scale artisanal
security, and equity fishers, NGOs, and fisheries, food processing,
development ecotourism, arts and crafts
agencies
Innovation Greening of existing Universities, All sectors (greening)
industries and development research centers, Biotechnology, renewable
of knowledge-intensive and diaspora energy, mariculture
ones
Source: Adapted by the authors from Voyer et al. (2018)
Trade-Offs Between the Different Visions with Regard to the SDGs
The previous discussion highlights that “the Blue Economy is largely a discursive
construct, with relatively few practical implementation examples” (Voyer et al.
2021). There is also limited guidance on appropriate governance mechanisms or
how to adapt existing governance arrangements to implement the blue economy
concept following the Agenda 2030 principles (Bennett et al. 2019). Understanding
the interaction between economic, social, and environmental sustainability of the
ocean should be the first step in the design of a just and sustainable blue transfor-
mation. For instance, Silver et al. (2015) suggest four interactions that may illumi-
nate the interplay between economic gains and ocean sustainability.
First, oceans have become an integral element of natural capital. Oceans cover 2/3
of the earth and account for 97% of the water in the world. The concept of natural
capital lies at the center of capital accumulation, including physical and human
capital. Hence, the need to find new ways to measure and value natural capital has
gained currency, as the System of National Accounts (SNA) is less suited for the task
(Dasgupta 2021). In this line, any economic activity that leads to unsustainable
development in the ocean makes a dent in the long-term performance of the blue
economy in social and environmental terms. However, humanity has not come to the
stage to fully internalize the social costs of old and new ocean-based activities. For
instance, sustainable tourism does not always benefit the local population, and
cleaner technologies need more encouragement from the state (Yfantidou and
Matarazzo 2017).
Second, industrial growth has caused marine pollution, mainly through plastics.
Plastics have positive and negative uses, and balancing them in a way that contrib-
utes to the blue economy is still an open question (Dijkstra et al. 2021). A change in
business practices in the production, use, collection, and disposal of plastics can be
essential to meet employment and sustainability targets, and this is why some
authors argue that circular economy principles should be an integral part of a
transition to a blue economy (Martínez-Vázquez et al. 2021).
Third, small-scale fisheries have been the main source of livelihood for coastal
and island economies. Yet, the activity has lost dominance as small-scale fishers lose
access and rights through enclosure and privatization of exclusive economic zones
(EEZ), which account for 42% of the oceans (United Nations, UN, 2014). While the
high seas account for the remaining 58%, fishing is a privilege of a few rich countries
(Sala et al. 2018).
Fourth, the SIDS usually have a narrow domestic base, and exports are vital to its
development. Not surprisingly, the Pacific SIDS has been the loudest voice in favor of
the blue economy (Silver et al. 2015), and many of the blue economy strategies of the
Caribbean SIDS are explicitly linked to trade (UNCTAD 2019, 2020a, b, 2022a, b).
The blue economy does provide a broader product space depending on the size of the
ocean (Qi 2022). Yet, many of the Caribbean SIDS’ products are still in the first stage
of the global value chains.
In sum, the previous discussion shows that there is not a unique definition of the
blue economy but a myriad of visions that emphasize one dimension of sustainable
development over another – environmental for the natural capital, social for the
livelihoods, and economic for the business opportunity. While Latin American
countries are embracing the blue economy as a future development pathway, the
adoption of one or another vision might have important implications for their
capacity to comply with the Agenda 2030.
Pathways to Blue Economies in Latin America

and the Agenda 2030
Latin America Progress Toward Agenda 2030: Another Lost Decade?
The section provides a short overview of the current status of LAC countries with
regard to SDGs, particularly those related to the transition to a blue economy (BE).
After the relative success of the MDGs during the 2000s and the renewed commit-
ment to the 2030 Agenda for sustainable development in 2015, governments of the
region have held five meetings under the framework of the Forum of the Countries of
Latin America and the Caribbean (ECLAC 2022, p. 7). The Forum aims to report the
regional progress and challenges concerning the 17 Sustainable Development Goals
(SDGs) through the systematic collection and dissemination of statistical data.
The last meeting was vital because it focused on reinterpreting the increasingly
adverse and uncertain global economic context, considering that in 2020 LAC had
the most profound economic downturn and the highest percentage of Covid-19
infections and deaths in the world (ECLAC 2022, p. 13). The main result of the
assessment shows that the region has progressed toward 68% of the 111 targets but
that they are insufficient to achieve the comprehensive spirit of the Agenda 2030.
The critical areas, or the silent crises as they are labeled in the report, are four:
education (SDG 4), gender inequality (SDG 5), and marine and terrestrial biodiver-
sity (SDGs 14 and 15). The critical situation in these objectives is not only the result
of the pandemic. Before the Covid pandemic hit the region, there were already some
warning signs of the halting or regression from the targets of many of the SDG
indicators: coverage of social protection systems (target 1.3), safely managed drink-
ing water (target 6.1), renewable energy share in final consumption (7.2), the growth
rate of GDP per capita (8.1), manufacturing value added (target 9.2), domestic
material consumption (12.2), greenhouse gas emissions (target 13.3), mangrove
area (14.2), resources for statistical capacity building (17.19)., forest area (target
15.5), and government revenue (target 17.1), among others (ECLAC 2020, p. 7).
There are, as expected, significant differences across countries. For the analysis,
the authors use the SDG ranking scores, as provided by the United Nations, with a
sample of 26 countries comparing the scores in 2000 and 2021. While the region
contained 33 countries, no SDG data was available for seven countries: Antigua and
Barbuda, Bahamas, Dominica, Grenada, St. Kitts and Nevis, St. Lucia, and
St. Vincent and the Grenadines.
Figure 1 shows an increase in SDG scores across all countries, except for
Venezuela which experienced a decline of 3.3% during the period. The region has
two countries that have reached the average of the OECD countries: Chile and
Uruguay, while the rest remains below the OECD average. Of the 33 countries in
the region, only 2 countries (Bolivia and Paraguay) have no ocean access. The
remaining countries have a variety of coastline lengths. While the large countries
of Brazil, Mexico, and Argentina have a coastline longer than 10,000 kilometers,
small countries like Ecuador, Honduras, and Uruguay have more than 5000 kilome-
ters (Pruett and Cimino 2000). Nine countries are members of the SIDS (Belize,
Barbados, Cuba, Dominican Republic, Guyana, Haiti, Jamaica, Suriname, and
Trinidad and Tobago). The region has done reasonably well compared to the
world and the SIDS. However, there is a group of laggards vis-à-vis the world and
the SIDS: Haiti, Venezuela, Guatemala, Honduras, Guyana, and Panama, which all
belong to Central America or the Caribbean. These countries usually demand a
separate analysis because their economic performance is less tied to the commodity
cycle (ECLAC 2022, p. 15). In 2020, these economies recorded the largest economic
contraction in 30 years.
Having presented the overall SDG ranking data, it is also essential to look at
specific SDGs, particularly those closely related to natural capital, business, liveli-
hoods, or innovation, as they might illustrate the baseline of different countries to
adopt different BE visions and its trade-offs. Figure 2 presents the four visions
around the blue economy (Juda 1986), indicating which SDGs could better represent
that vision. Partnerships and strong institutions are placed at the center as enablers of
a transition toward a blue economy (Cisneros-Montemayor et al. 2021; Niner et al.
2022). Table 2 below presents all the indicators.
Fig. 1 Changes in the SDG score ranking by country. (Source: Calculated by the authors based on
SDG ranking data from Sachs et al. (2021))
Fig. 2 SDGs in relation to the different visions of the blue economy. (Source: Adapted by the
authors based on (a) Voyer et al. (2018), and (b) United Nations, https://www.un.org/
sustainabledevelopment/. Note: The content of this publication has not been approved by the
United Nations and does not reflect the views of the United Nations or its officials or Member
States)
Livelihoods
SDGs 4 (education), 5 (gender), and 6 (access to clean water) are the main indicators
selected for livelihoods. The scores show an improvement over the period
290
Table 2 Percentage changes in the SDG ranking scores by country
Source: Calculated by the authors based on data from Sachs et al. (2021)
A. Palacio et al.
2000–2021. However, countries with the highest levels of education, such as Cuba,
Barbados, and Jamaica, did experience a drop. These island states had reached a
score similar to OECD countries at the beginning of the 2000s. Jamaica generates
some concern because its score on education went back by 11% during the period.
Panama and Paraguay also experienced similar drops but have come from lower
levels. The remaining countries in the sample had increased education and gender
equality despite the Covid outbreak. However, the region suffered an educational
quality crisis before the Covid-19 outbreak. For instance, almost half of third graders
in 2019 had not reached the minimum proficiency level for numeracy and literacy
2019 (Alonso et al. 2022).
Furthermore, during the pandemic, the massive shutdown of educational systems
in the region had the most prolonged duration in the world. Regarding SDG 6 (access
to clean water), the trend across countries is moving in the right direction. Cuba and
Barbados have also achieved levels similar to those of OECD countries in the 2000s.
The Dominican Republic shows the lowest score (47 out of 100) in the group but
also the highest increase (16.8%).
Business Opportunities and Innovation

SDGs 8 (good jobs and economic growth), 9 (industry, innovation, and infrastruc-
ture), and 12 (responsible consumption and production) are the main indicators for
business opportunities. Since the 2010s, the rate of growth of GDP for Latin
America and the Caribbean region has shown a persistent decline (CEPAL 2022).
The growth rate of regional GDP fell from an average of 1.9% for the period
2010–2019 to around a 0.1% in 2019. The scores indicate a mixed picture regarding
SDGs 8, 9, and 12. Eight out of 26 countries have experienced a drop in SDG
8. Large countries like Argentina and Colombia have experienced sizeable job
creation and growth increases, while Brazil and Mexico have seen a reduction in
the score. A similar reduction applies to Belize, Guyana, and the Dominican
Republic.
Regarding SDG 9, the scores indicate that the region suffers from a dramatic
deficit in industry, infrastructure, and innovation. However, the overall score of some
countries, especially the SIDS, is six times lower than that of the OECD and three
times lower than that of the world, which might have important implications for the
type of strategy they might adopt. The good news, however, is that all the countries
show a positive variation for the period 2000–2021. Regarding SDG 12, the scores
indicate a reversal in every single country. However, all countries have a similar or
higher level than those countries. As in SDG 13, the low level of industrialization
makes up for the high level of responsible consumption and production.
Natural Capital
SDGs 13 (climate change), 14 (life below water), and 15 (life on land) are the leading
indicators for natural capital. Table 2 shows that in 2000 most LAC countries had
higher ranking scores in climate change than the world (86) and OECD average (54).
In general, advanced OECD countries tend to have lower scores due to industrial-
ization. The world also shows a higher score than the OECD countries because more
than half of global CO2 emissions rely on the hands of a few: the USA, EU, Russia,
and China. However, 15 countries decreased their score in 2021, signaling a

deterioration concerning this indicator.
The region has eight countries considered to be megadiverse, which refers to most
of Earth’s species. Some argue about a crisis in this dimension because studies reveal
a biodiversity loss of 89% since 1970 (Bárcena Ibarra et al. 2020).The overall trend
is mixed regarding life on land (SDG 15). Suriname has the highest score in the
sample. The score difference between Suriname and the other countries is over 20%.
In contrast, Cuba lies at the bottom of the ranking. Furthermore, the authors see eight
SIDS countries experiencing a reversal in the score, including Barbados, Jamaica,
Trinidad, Tobago, and Belize.
Regarding life below water (SDG 14), few indicators are available to monitor the
progress toward this SDG accurately. However, the overall trend is positive regard-
ing the scores and change for most countries compared to the SIDS, the OECD, or
the world. Chile, Cuba, and Ecuador appear to be taking care of their blue economy
potential and leading the region. Their scores are 15 to 20% higher than the SIDS,
the OECD, and the world. Similarly, 12 countries show faster growth rates in the
SDG 14 than in the overall SDG score, a sign of progress and commitment. In
contrast, only five countries in the sample are experiencing a reversal in the indica-
tor: Costa Rica, Mexico, Trinidad Tobago, Guyana, and Guatemala.
The next section will analyze the different components of SDG 14 for the region
based on a broader literature review. Any reduction in SDGs 13, 14, and 15 among
the LAC countries could indicate that they are struggling with the trade-off between
economic growth and environmental conservation. Some of the reasons may lie in
the low diversification of their economies, insufficient regulation, and difficulties in
finding the balance between the livelihoods of the communities and the mandate to
preserve nature.
In sum, the previous data shows that while Latin American countries have
improved the social baseline conditions over the last decade, the improvement has
not been even, with some countries dropping in their education scores, which might
have long-term implications regarding blue transformation capacity. Regarding the
economic baseline, and with all caveats about country diversity, while growth might
have improved, there has been a manifest worsening of scores for responsible
consumption and production (greening the economy) and innovation (transforma-
tion capacity). Finally, the indicators about natural capital might signal a struggle
between economic performance in terms of growth and environmental protection.
The Blue Economy in Latin America: A Deeper Look at SDG

14-Related Policies and Goals
The literature review, including policy documents related to LAC and coming from
UN organizations, treats the transition toward the blue economy as a relatively
marginal step to reach the SDGs and comply with the 2030 Agenda. This is a
significant gap, taking into account how important marine resources are for the
region, as discussed before. Indeed, from the selected policy documents, only one
– The outlook for oceans, seas, and marine resources in Latin America and the
Caribbean: conservation, sustainable development, and climate change mitigation –

evaluates SDG 14 in this region for the last few years. This policy document from
Tambutti and Gómez (2020) from ECLAC presents and discusses the main trends
and developments in legal and institutional frameworks related to the targets of life
below water, including gaps and barriers, and sets them concerning SDG 13: climate
action as well (see Fig. 3). Interestingly, the concept of the blue economy, as not
mentioned once in the policy report, shows the limited importance of this academ-
ically relevant concept in practice. In what follows, the authors summarize the state
of the art of each of the dimensions for Latin America based on Tambutti and
Gómez (2020).
Concerning 14.1 Reduce Marine Pollution, LAC aims to prevent and signifi-
cantly reduce marine pollution of all kinds by 2025. In terms of waste and chemicals,
the report considers that the LAC region is heavily affected by plastic pollution,
especially by microplastics, particularly in the western tropical and subtropical
Atlantic and beaches of the Caribbean Sea (Tambutti and Gómez 2020). Moreover,
the Gulf of Mexico presents the largest hypoxic areas, or so-called dead zones, in the
region and of the world, indicating how problematic water pollution has become in
this region. For this reason, a Regional Action Plan on Marine Litter Management
(RAPMaLi) was developed in 2014 to ensure proper waste management mecha-
nisms across sectors of the wider Caribbean region (Tambutti and Gómez 2020).
Concerning the second target of SDG 14, the LAC region aims to sustainably
manage and protect marine and coastal ecosystems, including strengthening their
resilience and taking action for their restoration by 2020. To measure target 14.2
Fig. 3 The different dimensions of SDG 14: life below water. (Source: Prepared by the authors
based on Tambutti and Gómez (2020))
Protect and Restore Ecosystems, the Ocean Health Indicator (OHI) was developed
to account for biological, physical, economic, and social factors impacting the
oceans’ health. Compared to the global landscape, the LAC region scores slightly
lower than the global average, especially because of low scores in food provision,
natural products, tourism, and recreation (Tambutti and Gómez 2020). In terms of
subregions, the Pacific region’s scores are relatively high (67–77 of 100), except for
the areas belonging to Peru, Guatemala, El Salvador, Honduras, Nicaragua, Costa
Rica, and Panama (50–60 and <50 of 100). Related to the Atlantic region, the Gulf
of Mexico has good scores (67–77 of 100), such as most of the SIDS in the
Caribbean. Antigua and Barbuda and the Bahamas sit at the top of their distribution.
Finally, the Patagonia large marine ecosystems (LME) have a relatively high score as
well (67–77 of 100) (Tambutti and Gómez 2020).
More specifically, the LAC region has prioritized indicator C-14.2 Mangrove
Area, which indicates that the mangrove cover in the region has declined by more
than 20% between 2001 and 2018. Particularly the Atlantic and Pacific coasts of
Central America are areas of concern given that approximately 40% of the currently
mangrove species are listed as “threatened with extinction” (Tambutti and Gómez
2020). Mangroves represent the highest opportunity for conserving and restoring
blue carbon. Mangroves can store up to four times more carbon than any other forest
in the world and could contribute significantly to the decarbonization goals of the
region (World Bank, 2019). Furthermore, they play a significant role in disaster
mitigation and the provision of livelihoods (Tambutti and Gómez 2020).
With regard to 14.3 Reduce Ocean Acidification, the LAC region aims to
minimize the impacts of ocean acidification, which is measured by the average
marine acidity (pH), through scientific cooperation (Tambutti and Gómez 2020).
The lowest surface pH values on the globe are found in the Eastern and Northeastern
Tropical Pacific covering the Pacific Ocean side of Mexico and Central America up
to Ecuador. Furthermore, the report considers that ocean acidification in the LAC
region is particularly dangerous for marine life and human communities in the
Caribbean SIDS, due to the impacts on coral reefs. Indeed, LAC welcomes the
second-largest barrier reef of the world, namely, the Mesoamerican Barrier Reef
(MABR), out of which 65% to 80% risk to be threatened by acidification by the
2030s (Tambutti and Gómez 2020).
Target 14.4 Sustainable Fishing aims to regulate harvesting and end overfishing,
as well as illegal, unreported, and unregulated (IUU) and destructive fishing activ-
ities while implementing science-based management plans producing the maximum
sustainable yields in line with biological and environmental boundaries (Tambutti
and Gómez 2020). Of global fish stock losses due to poor fisheries management,
Latin America and the Caribbean account for approximately 7%. At the same time,
the number of management plans per year has stagnated over the years, indicating a
lack of urgency in tackling the problem. Nevertheless, the policy document reports
that 80 communities or industries adopted global voluntary standards certified by the
Marine Stewardship Council (MSC) based on the following indicators: stock status
of the target fishers, impacts on ecosystems, and species and management, highlight-
ing a slight shift toward sustainability (Tambutti and Gómez 2020).
Concerning 14.5 Conserve Coastal and Marine Areas, the LAC region com-
mitted to conserve at least 10% of their EEZ by 2020, measured by the coverage of
protected areas in relation to marine zones and the proportion of marine protected
areas (MPAs) compared to total marine area (Tambutti and Gómez 2020). This target
is the only one of SDG 14: life below water that has been reached in time in the LAC
region. Nevertheless, regional disparities can be observed: while Chile, Mexico,
Ecuador, and Brazil contribute significantly to the number of MPAs in the region and
countries such as Martinique, Bonaire, Guadeloupe, and Saint Martin dedicate over
95% of their EEZ to MPAs, over 20 countries are still far from reaching this goal
(Tambutti and Gómez 2020).
The next target is 14.6 End Subsidies Contributing to Overfishing, stating that
by 2020, certain forms of fisheries subsidies that contribute to illegal, unreported,
and unregulated (IUU) fishing should be eliminated and substituted by new subsidies
redirected to sustainable fisheries. In a worldwide comparison, LAC only receives
5.6% of global subsidies destinated to overfishing, as the global leaders are China
(21%), the European Union (11%), the United States of America (10%), and the
Republic of Korea (9%), meaning that there is a high potential for the region to
become more competitive once these subsidies are eliminated (Tambutti and Gómez
2020). For instance, in 2018 in Mexico, 80% of the fishing subsidies were directed to
just 25% of the beneficiaries, while small-scale fisheries only received 30% of the
total amount of subsidies, indicating that an elimination of such subsidies could turn
into a fair assignation of public funds (Tambutti and Gómez 2020). The LAC region
aims to tackle IUU fishing through the adherence to several international treaties,
which aim to combat weak governance, bad economic incentives, and barriers to
enforcement, all factors preventing a sustainable transition. The region is on track
with the ratification of the treaties proposed by the Food and Agriculture Organiza-
tion (FAO), but some countries such as Guatemala, El Salvador, Honduras, Haiti, the
Dominican Republic, Colombia, and Bolivia are rather reluctant and have potential
for improvement in this regard (Tambutti and Gómez 2020).
Target 14.7 Increase the Economic Benefits from Sustainable Use of Marine
Resources aims to improve the economic benefits for SIDS and least developed
countries resulting from the marine resources, such as the sustainable management
of fisheries, aquaculture, and tourism, by 2030 and is measured as the percentage of
sustainable fisheries of GDP (Tambutti and Gómez 2020). From a geographical
perspective, LAC includes 16 SIDS that are part of the United Nations System and
9 nonmember countries. Ensuring that tourism development and environmental
management go hand in hand is necessary particularly in the SIDS given that both
activities are vital for the sustainability and resilience of their economies (Tambutti
and Gómez 2020).
Finally, the crosscutting target 14.A Increase Scientific Knowledge, Research,
and Technology for Ocean Health measures the proportion of total research
budget allocated to research in the field of marine technology (Tambutti and
Gómez 2020). The aim is to increase scientific knowledge, develop research capac-
ity, and transfer marine technology. At the national level, many LAC countries
present several centers collecting oceanographic data aligned with the
Intergovernmental Oceanographic Commission (IOC), while at the regional level,

several research networks have been established between universities and interna-
tional organizations. Moreover, at the international level, the Ocean Info Hub (OIH)
Project aims to facilitate the exchange of data and information (Tambutti and Gómez
2020). Six countries of the LAC region, namely, Brazil, Argentina, Mexico, Chile,
Puerto Rico, and Uruguay, are placed among the top 40 countries in terms of ocean
science-related institutions, with an expending of 0.045% of GDP for Brazil,
Colombia with 0.56% of GDP, and Peru with 7.76% of GDP.
Target 14.B Support Small-Scale Fisheries (SSF) aims to provide access to
marine resources and markets for small-scale artisanal fishers and is measured by the
degree of application of a legal, regulatory, policy, or institutional framework
protecting access rights for small-scale fisheries (Tambutti and Gómez 2020).
Although the data concerning this target are very weak, it is important to collect
information about the state of small-scale fisheries, particularly in LAC, given that
SSF support livelihoods, provide employment opportunities, and ensure food secu-
rity for more than 2.3 million people (Tambutti and Gómez 2020). Additionally, SSF
“represent over 90% of the catches in the Caribbean region, more than 60% of the
value in the Mesoamerican region. Even for South America in which SSF represent
less than 30% of the catches, it represents almost half of the value of fisheries”
(Tambutti and Gómez 2020, p. 48). Nevertheless, currently ocean policies contribute
to patterns reproducing inequalities for SSF, especially when it comes to indigenous,
women, and other minority subgroups, as they are often underrepresented in
decision-making processes and suffer disproportionately from degraded ecosystems.
For this reason, the FAO proposed the first global bottom-up consultative process –
the Voluntary Guidelines for Securing Sustainable SSF – conducted between 2011
and 2014, with the aim of implementing local projects that work toward reaching
target 14.B. Of 108 projects worldwide, 12 were found in Latin America and the
Caribbean (Tambutti and Gómez 2020).
Concerning 14.C Implement and Enforce International Sea Law, the target
aims to enhance conservation and the sustainable use of oceans through the imple-
mentation of international law resulting from the United Nations Convention on the
Law of the Sea (UNCLOS) (Tambutti and Gómez 2020). UNCLOS addresses many
aspects of ocean governance, such as environmental control, scientific research,
economic and commercial activities, etc. Within LAC, six countries have not ratified
the Convention: Colombia, El Salvador, French Guiana, Peru, Puerto Rico, and
Venezuela (Tambutti and Gómez 2020). Nevertheless, many more treaties and
conventions exist in the LAC region additionally to UNCLOS that deal with similar
topics, such as the Inter-American Convention for the Protection and Conservation
of Sea Turtles, the Inter-American Tropical Tuna Commission, the Lima Conven-
tion, the International Commission for the Conservation of Atlantic Tunas, or, for
instance, the Cartagena Convention and its protocols.
Possible pathways referred to in the report to reach both SDGs 13 and 14 are the
restoration and conservation of coastal and marine ecosystems, the shift to more
sustainable seafood-based diets, the sustainable transformation of ocean-based trans-
port, and the development of ocean-based renewable energy, touching upon different
visions of the blue economy. Interestingly, no reference is being done to other

traditional industries that are highly dependent from the marine environment like
tourism or oil and gas.
The natural capital pathway “restoring marine ecosystems”: Restoring blue
carbon ecosystems, such as mangroves, seagrass beds, and salt marshes, are impor-
tant opportunities to mitigate annual GHG emissions. In the LAC region, mangroves
represent the best opportunity for carbon storage, given the CO2 storage capacity
(Tambutti and Gómez 2020). Indeed, Brazil, Colombia, Cuba, and Mexico account
for 97% of the continent’s potential and 24.8% of the global potential of carbon
storage. Furthermore, the authors consider that seagrass beds represent another
opportunity to store carbon in Latin America and the Caribbean, given that Mexico,
Cuba, Nicaragua, Belize, and Honduras are the top five countries having most
seagrass in the region (Tambutti and Gómez 2020, p. 59).
The livelihoods pathway “shifting to a seafood-based diet”: A shift to a more
seafood-based diet could reduce CO2 emissions, as mollusks do not require feeding
in mariculture systems, thus emitting very low emissions. Nevertheless, they also
consider that a shift is sustainable only if no mangrove is removed for shrimp
farming, for instance. Overall, the authors conclude that the LAC region as such is
not ready yet for a shift, as fuels subsidies are still in place, incentivizing carbon-
intensive fishing activities, and given that IUU fishing practices mostly remain
unaddressed (Tambutti and Gómez 2020). Within this area, one can also include
some knowledge-intensive activities such as seaweed production for food
consumption.
The business opportunity “greening maritime transport and energy produc-
tion”: Ocean-based transport currently accounts for 3% of current global greenhouse
gas (GHG) emissions and has the potential to double within 2050 given the increas-
ing trends on maritime transports (Tambutti and Gómez 2020). For this reason, more
investments and research need to tackle energy efficiency in maritime transports to
avoid an excessive increase in CO2 emissions. Furthermore, a transition toward more
sustainable and just economic activities is strongly needed beyond transportation,
such as tourism or energy, as discussed next. LAC has a great potential for offshore
wind generation, or energy production from waves, tides, or temperature and salinity
gradients (Tambutti and Gómez 2020). However, despite the potential, there are few
investments in these types of energy generation. Only Brazil is the leading country in
the region when it comes to offshore energy production, counting six projects under
review for licenses.
The innovation opportunity pathway: Although not explicitly discussed by
Tambutti and Gómez (2020), innovation lays at the core of any of the discussed
pathways. Restoration and conservation require new funding mechanisms, such as
blue bonds and debt-for-nature swaps. Livelihoods will require new technologies for
the sustainable production and transformation of seafood, for certification and
monitoring but also social innovations, as for example, related to consumption
habits. Greening existing economic activities will also require the development of
new technologies, notably those related to new sources of energy production.
Finally, and although not explicitly discussed in the report by Tambutti and
Gómez (2020), the transition toward a blue economy might also imply the develop-
ment of new activities, which will also rely heavily on innovation. However, what
the existing literature does not discuss are the trade-offs between different visions
and alternatives. This is, of course, not an easy task. In what follows, and to conclude
this chapter, the authors will illustrate how different pathways unfold, in practice,
and their trade-offs by looking at some country examples.
Blue Pathways in Practice
While the previous sections provide a situational overview of the blue economy in
Latin America as a whole and the potential pathways, this section deepens into
specific cases to illustrate the diversity of currently undergoing blue transformation
pathways in the region. While blue economy policies and strategies are slowly
taking root in different Latin American countries, they differ considerably with
regard to the vision, sectors, and actors that are part of that strategy. Using the
taxonomy of blue economy visions proposed by Voyer et al. (2018) and discussed in
section “The Different Visions of the Blue Economy”, in what follows the authors
illustrate how different countries have predominantly adopted particular visions as
guiding their transition to a just and sustainable blue economy. It is important to
highlight that while most of the countries follow a combination of different visions,
to reflect their past trajectory and specialization, it is possible to identify a dominant
vision by looking at the actors, sectors, and narrative used in the different policy
documents.
As highlighted by Hassanali (2020), the four visions of the blue economy are not
mutually exclusive. Over time, the blue economy strategy is a combination of
different policies, projects, and initiatives representing different “visions.” However,
visions around blue economies as business opportunity tend to coevolve with visions
of the oceans as a driver of innovation, both in transforming existing economic
activities and in developing new knowledge-intensive ones (Hassanali 2020; Voyer
et al. 2018). Similarly, the vision of oceans as natural capital tends to fit better with
notions of oceans as livelihoods, and a focus on issues of equity and sustainability,
particularly in coastal communities depending on artisanal fishing. The following
cases illustrate these different pathways.
The Natural Capital and Livelihoods Pathway: Belize and Costa Rica
Belize is often portrayed as an example of transitions emphasizing environmental
sustainability and livelihoods of coastal communities, including social equity and
well-being. This is observed in the variety of initiatives aimed at improving the
living conditions of artisanal fishers as well as increasing the marine protected areas
(Bers et al. 2017). Costa Rica, on the other hand, is suggested as a country that could
potentially follow this transition pathway, but that has not yet fully embraced it.
In Belize’s blue economy strategy, the protection of the coral reef is closely
related to the livelihoods of coastal communities. Belize’s blue transition is thus
being characterized by a combination of protection of natural resources and the
promotion of sustainable marine fisheries, sustainable marine aquaculture, seafood

processing, and marine and coastal tourism (Hassanali 2020; UNCTAD 2020a,
2022c). That is, Belize’s blue economy strategy combines elements of the natural
capital vision with an emphasis on livelihoods. Regarding the natural capital vision,
Belize is one of the few Latin American countries that have met the Aichi biodiver-
sity targets for the conservation of marine and terrestrial areas. In 2017 it was
estimated that nearly 20% of its marine area were under protection (Brent et al.
2017). This is particularly important when one takes into account that Belize is part
of the second longest barrier reef in the world, the Meso-American Barrier Reef
(Hassanali 2020). According to Hassanali (2020), the country now has 10 marine
reserves and has protected over 13 spawning sites. The national protected areas
system relies on a combination of private protected areas and indigenous and
community conserved areas (ICCAs) and comanaged public areas (Brumbaugh
2017). One of the interesting aspects of Belize’s blue economy strategy relates to
the focus on participatory ocean governance and equity (Hassanali 2020), two of the
key components of just blue transitions (Bennett et al. 2019; Cisneros-Montemayor
et al. 2019). The country has long experience with experimentation with the
co-management of the protected areas (Brumbaugh 2017), triggered mostly by the
scarcity of financial resources that could be diverted for the protection of the oceans.
Partnering with the local communities for a better management of the fisheries as
well as with international NGOs for financial resources, the Belizean government
has been able to develop a blue economy strategy that aims at improving the
livelihoods of the local fishers through training, self-regulation to improve standards
and equity, and local enterprise development (Hassanali 2020).
A green leader, Costa Rica, has the potential to become also “blue leader” (World
Bank, 2019), but that potential has not been fully developed. The country has been
largely focused on the conservation of the natural resources on land rather than on
the extensive ocean surface which represents 92% of the country’s surface
(UNCTAD 2019). As of today, the country does not have an explicit blue economy
strategy which outlines the principles of the blue transition. In the past, the intensive
exploitation of fisheries has led to a significant resource scarcity and ecosystem
deterioration. It is not surprising that the country scores quite low in the ocean health
index in comparison with other countries in the region (Tambutti and Gómez 2020).
Today, coastal communities present the highest levels of absolute and relative
poverty (Sanchez 2022), which have worsened after the Covid pandemic (UNDP
2022), particularly among women, youth, and people with lower formal education
levels. In contrast with Belize’s widespread co-management governance, the country
has followed a rather top-down strategy for the management of fisheries. The
exception is the few Marine Areas for Responsible Fishing in the Pacific coast.
Within this model, artisanal fishers can proactively request the delimitation of an
area and participate in the elaboration and implementation of the management plan
(Baeta & Chaminade, 2022). Nonetheless, the country does not have certified
sustainable fisheries nor a framework for sustainable certification (UNCTAD
2019). Furthermore, most available documents focus on the exploitation of already
scarce marine resources, like tuna and other pelagic species (UNCTAD 2019).
The Business Opportunity and Innovation Pathway: Bahamas

and Grenada
Bahamas is an interesting case to study as its blue economy strategy is a combination
of initiatives that respond to a vision of blue economy as a business opportunity with
elements of natural capital and innovation, as discussed next. Bahamas was one of
the pioneers in the development of a blue economy vision (Failler 2020) in Latin
America. The Bahamas has historically been a conservation leader in the Caribbean,
at least by the standards of its times, with the establishment of no-take marine
reserves (Brumbaugh 2017, p. 36). The country has 36 marine protected areas,
which account for about 10% of its national and territorial waters. The health of
their marine environment is high. Bahamas ranks at the top of the Ocean Health
Index in the region, with very high scores for carbon storage, artisanal fishing
opportunities, and tourism and recreation (Tambutti and Gómez 2020). Over time,
however, there has been a certain downgrading of the protected areas, which
nowadays often include human activities (Brumbaugh 2017). The promotion of
maritime and coastal tourism, maritime transport, shipbuilding and repair, and
(sport) fishing have gained importance in the country’s blue economy strategy.
Bahamas depends strongly on its shipping and port industry for the food provision,
but it is also an important hub for global transhipment (Failler 2020), with potential
negative consequences for the environment. Furthermore, the strategy of pursuing a
blue economy strategy as a business opportunity has benefited equally the popula-
tion. Currently, the high per-capita income is not equally distributed, with strong
geographical concentration in the large island, where the economic activity is
clustered, but with high rates of unemployment in the rest of the country, which
are as high as 25% among youth (Failler 2020). It is precisely in these peripheral
islands that the population most depends on the marine resources for their
livelihoods.
The negative consequences of the change of strategy, from one based on conser-
vation to one based on mass tourism and shipping, became obvious in 2019 when
hurricane Dorian hit the Bahamas and the year after when the Covid pandemic
stalled all tourism worldwide. While the hurricane showed the importance of healthy
natural ecosystems in disaster mitigation, the second provided the government with
an opportunity to rethink the development strategy (Failler 2020). As a consequence,
some of the elements of the natural capital vision of the blue economy were brought
back in the national plans, such as those related to conservation, restoration of
damaged ecosystems, and valorization of marine ecosystems. Furthermore, the
country is also exploring how innovation can contribute to greening existing
marine-related activities such as shipping and maritime transport, reduce or mitigate
the environmental impact of tourism, and transition toward renewable energy
sources (Failler 2020). However, the successful adoption of this innovation pathway
is currently limited by existing knowledge, capacity, and know-how (Failler 2020).
Bahamas is a good example of how the ocean as a good business has had negative
consequences in terms of well-being, equity, and the environment, but also of how
innovation can contribute to transition to a more sustainable pathway.
Grenada’s case is also illustrative of how oceans as business opportunity and as an

innovation driver coevolve. Grenada is one of the first countries in the CARICOM to
launch a “Blue Growth Master Plan” (Hassanali 2020. As the name indicates, the
strategy primed economic growth based on the use of marine resources. Not
surprisingly, some of the cornerstone sectors and activities of the strategy included
tourism, shipping, deep-sea fishing, and even seabed mining and offshore oil and gas
extraction (Hassanali 2020), which required gray infrastructure like ports, marinas,
and harbors. As most of the island’s infrastructure is located in the coastal zone, the
economy is vulnerable to impacts of sea-level rise, inundation, erosion, and storm
surges, while the steep slopes are vulnerable to landslides (Patil et al. 2016).
Similarly, to what happened in the Bahamas, the gradual degradation of the natural
ecosystems has impacted negatively the resilience of the islands to natural disasters
and climate change. And there is a risk that the degradation of the natural ecosystems
of Grenada might also impact negatively the tourism industry depending on how the
sector perceives the quality of the marine environment and the experience it offers
(Patil et al. 2016). As a consequence, in 2020 the country started to revise their blue
economy strategy, incorporating more explicitly elements of the oceans as natural
capital vision (UNEP 2022). In the new 15-year-long plan (2020–2035), and along
with greening the previous pillars, Grenada incorporates “mechanisms to support the
protection of coastal environments and communities, increase resilience to mitigate
sea level rise and severe weather events, support small-scale fisheries and research
offshore renewable energy” (UNEP 2022, p.6).
Additionally, the new plan also refers to the development of new ocean-based
economic activities, notably aquaculture, marine renewable energy, or marine bio-
technology (Patil et al. 2016, p. 55) in clear alignment of oceans as drivers of
innovation. Some examples of innovative solutions are the establishment of the
world’s first underwater sculpture park in the west coast of the country, which was
recognized as the top 25 wonders of the world by the National Geographic (Patil
et al. 2016). The country is also actively exploiting some of its unique natural
resources, like its submarine volcano, to support research-based activities (Patil
et al. 2016). The emphasis in knowledge production and research is also manifest
in the plan to create a Blue Growth and Oceans Governance Institute, linked to
St. George University (Patil et al. 2016).
Conclusions
The point of departure in this chapter was the old question of whether the previous
decade of LAC is another lost decade, particularly adding the environmental dimen-
sion to the economic and social dimension, and whether the blue economy could be a
potential pathway to achieve the commitments set up by the Agenda 2030. The
review of the literature showed that the blue economy is a social construct and that,
at least, four different visions of the blue economy could coexist, each of them
emphasizing different dimensions of sustainable development. So, the extent to
which a particular blue economy pathway could contribute to achieving the Agenda
2030 would depend very much on the initial conditions as well as the dimensions
that a particular vision would address.
The analysis of the current progress of Latin America toward the SDGs revealed
what some authors have called the “silent crises”: a worsening of education (SDG 4),
increasing gender inequality (SDG 5), and a reduction of marine and terrestrial
biodiversity (SDGs 14 and 15). Additionally, the data revealed an overwhelming
reverse in the scores for responsible consumption and production (SDG 12). How-
ever, both the data and the literature review have shown that there are major regional
differences in LAC countries given their socio-ecological and economic priorities,
highlighting once more the urgent need for regional policies tackling the objectives
of each region and country. In general, tackling the silent crises would need to
consider pathways that emphasize the social and environmental dimension. Hitherto,
most countries still lack effective ecological conservation projects that respect
vulnerable communities and consider them as fundamental components of ocean
economies.
The analysis is in line with the most recent ECLAC report monitoring the state of
the blue economy in Latin America (Tambutti and Gómez 2020). Current activities
need to be reoriented toward more sustainable practices, and economic incentives
need to be redirected to sustainable choices, avoiding harmful subsidies to
unsustainable activities, as well as to diversify markets, avoid and reduce the
pollution of the seas, and strengthen marine protected areas if blue economy
strategies are to contribute effectively to the Agenda 2030 in the region. However,
the adoption of blue transformation pathways based on “natural capital,” “liveli-
hoods,” or “sustainable business opportunities” will require a significant innovation
capacity, as the cases illustrate. At the core of the transformation capacity then lie
education and solid institutions. Moreover, governments should improve knowledge
and technology sharing with other countries and follow-up of regional multilateral
agreements to strengthen the capacity of ecosystems to mitigate and adapt to climate
change (Tambutti and Gómez 2020).
Acknowledgments This chapter was written, thanks to the financial funding from the Swedish
Research Council, project “Sustainable Development of Small Island States” (VR 2019-04117).
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SDGs and Latin American University:
Impact of Scientific Knowledge Production
in Policy Documents
Thais Aparecida Dibbern, Evandro Coggo Cristofoletti,

Milena Pavan Serafim, and Denis dos Santos Alves
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308
SDGs and the Social Commitment of the Universities and Science . . . . . . . . . . . . . . . . . . . . . . . . . . . 309
Methodological Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
Results and Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
University of São Paulo (USP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
National Autonomous University of Mexico (UNAM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317
Los Andes University (UNIANDES) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321
Overview of Mapped Practices and Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327
Final Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 332
Abstract
The scientific community is an important actor in the implementation of the
Sustainable Development Goals (SDGs) regarding education, knowledge pro-
duction, and public engagement. The aim of this chapter is to identify and analyze
how Latin American universities have been addressing the SDGs from the
production of scientific knowledge and, along with that, influencing policy
documents. In particular, it aims to identify whether this knowledge production
has been articulating the SDGs’ agenda through its citation impact in policy
documents. The chapter considers the following Latin American universities:
University of São Paulo (Brazil), National Autonomous University of Mexico
(Mexico), and Los Andes University (Colombia). At the theoretical level, it
T. A. Dibbern (*) · E. C. Cristofoletti

DPCT/Unicamp, Campinas, Brazil
e-mail: Thais.Dibbern@haw-hamburg.de; evcoggo@unicamp.br
M. P. Serafim · D. dos Santos Alves
FCA/Unicamp, Campinas, Brazil
e-mail: milenaps@unicamp.br; alvesd@unicamp.br

https://doi.org/10.1007/978-3-031-16017-2_37
308 T. A. Dibbern et al.
articulated the debate on the role of universities and the scientific community in
the implementation of the SDGs within the discussions on the social commitment
of public universities in Latin America. Methodologically, the chapter is divided
into two procedures: (1) bibliographical and documentary research on the incor-
poration of the SDGs in the institutional framework of the selected universities
was conducted; (2) centrally, the research used the Overton.io software to identify
how the knowledge production of the universities, classified according to their
related SDGs, has been used in governmental documents. The results show that
the knowledge production of universities has been used by governments and
intergovernmental agencies, especially classified under SDGs 10, 11, 3, 8, and
1 stand out. Furthermore, the results contribute to shedding light on incipient
discussions about the interconnection between the SDGs, universities/scientific
knowledge production, and public policies.
Keywords
Sustainable Development Goals · Scientific community · Knowledge
production · University’s impact · Latin America
Introduction
Launched in 2015 by the United Nations Heads of State, the Sustainable Develop-
ment Goals (SDGs) incorporate a series of objectives and targets that aim to
stimulate integrated actions toward sustainable development, considering the eco-
nomic, social, and environmental dimensions. This agenda, despite being globally
disseminated and shared, faces, in the Latin American and Caribbean countries,
several challenges for its implementation, considering the context marked by cultural
and, above all, socioeconomic inequalities – also intensified by the Covid-19
pandemic. One example is the lack of human and financial resources, data, and
support from national states and other civil society actors.
Despite these challenges, the SDGs have started to be incorporated by other
actors/sectors in society, such as private companies (profit and nonprofit), third-
sector institutions (social organizations, public interest civil society organizations,
and NGOs), and the scientific community in general (Higher Education Institutions,
Centers, Centers and Laboratories, and Funding Agencies for Research and Devel-
opment). Considering this specific community, it is possible to verify a series of
actions and activities that have been developed institutionally, such as the perfor-
mance of Latin American and foreign scientific associations that seek to produce
new knowledge and influence the development of public policies guided by scien-
tific knowledge, in view of the challenges linked to the 2030 Agenda (Dibbern and
Serafim 2021).
It is, therefore, a community that has been playing an important role in the
implementation of the 17 SDGs, considering its possibilities for generating and
sharing new knowledge, in addition to activities focused on teaching, research,
SDGs and Latin American University: Impact of Scientific. . . 309
university extension (or community engagement), public communication of science,

and its influence on national (and international) public policies. The Latin American
scientific community within universities is investigated in this chapter because it is a
key actor among the stakeholders involved in the realization of this global develop-
ment agenda and because of its prominence in the investigated regional context
(Latin America). In this sense, the aim is to identify and analyze how Latin American
universities have been addressing the SDGs from the production of scientific
knowledge and, along with that, influencing policy documents. In particular, it
aims to identify whether this knowledge production has been articulating the
SDGs’ agenda through its citation impact in policy documents produced by govern-
ments, nongovernmental organizations, nonprofit organizations, intergovernmental
agencies, and think tanks. For this purpose, the chapter considers the following Latin
American universities: University of São Paulo (Brazil), National Autonomous
University of Mexico (Mexico), and Los Andes University (Colombia). These
were prioritized because they are internationally recognized for their quality and
history of research and training in the Latin American context and abroad, as well as
play an important role in the national landscape.
The questions that guided the chapter are as follows: (1) In what way have the
selected Latin American universities been incorporating the 2030 Agenda in their
institutional activities? (ii) From the SDGs’ objectives, in what way has the knowl-
edge generated by researchers linked to the selected Latin American universities
been incorporated by policy documents? Methodologically, sharing an exploratory
approach, the chapter is divided into two procedures: the first one is related to the
bibliographical research of the studies/research produced in the scope of the selected
universities that directly mention and consider the SDGs. This search was done
using the official repositories of each university; the second procedure is related to
the use of the Overton.io software to identify how the knowledge production of these
universities, classified according to their related SDGs, has been used in govern-
mental documents and think tanks.
Therefore, the chapter is organized into three parts, in addition to this introduction
and final considerations. The first part aims to present an overview of the social
commitment of universities in the incorporation and implementation of the SDG
agenda. The second part aims to present the methodology used to identify the actions
and practices of the selected universities. Finally, the third part presents the identified
results and their analysis.
SDGs and the Social Commitment of the Universities and Science
In general, the field of education and science has been considered an important actor
in the implementation of the SDGs (Leal Filho et al. 2021; Owens 2017). Notably,
higher education – and especially universities that conduct teaching, research, and
engagement – places an important role, precisely because it encompasses a specific
formative dimension (higher-level professional training), scientific knowledge pro-
duction, several interactions with external stakeholders – e.g., governments,
companies, community, and third sector, and scientific awareness and communica-
tion. In addition, universities can also become spaces for experimentation – such as
living laboratories and real-world labs – and technological development aimed at
sustainable development, developing alternatives (on their own campus or in other
locations) with potential future application in the wider society. This diverse and
complex range of possibilities brings an interesting challenge to the proposed debate
(relationship between university, sustainable development, and SDGs) since the
deliberate inclusion of SDGs as a strategic institutional agenda in higher education
institutions or bottom-up initiatives from the academic community can take on
complex, varied, and rich formulation and implementation trajectories in theoretical,
practical, and political learning – as can be observed in several case studies in the
collection on Sustainable Development in Higher Education (Leal Filho et al. 2017a,
b, c, d, 2018a), as well as by the data reported in this chapter itself.
Briefly, it is possible to highlight, for example, the following dimensions: (1) the
inclusion of the SDGs and themes related to climate change education, climate
justice education, and education for sustainable development, in the teaching
approaches and curricula of higher-level courses (Chaleta et al. 2021; Ferguson
and Roofe 2020; García-González et al. 2017; Shulla et al. 2020; Disterheft et al.
2013; Sato et al. 2020; ISCN 2018; UNESCO 2017); (2) conducting scientific
research on the problems integrated by the SDGs, as well as Sustainable Develop-
ment Research, with the engagement of funding agencies (Baumgartner 2011; Leal
Filho et al. 2018b; Zhu and Hua 2017; Olawumi and Chan 2018; Waas et al. 2010;
Van Kerkhoff and Lebel 2006; Shi et al. 2019; Salvia et al. 2019; ISC 2020; 2021);
(3) the formation of national and international scientific networks and communities
directly related to the topic (Kass et al. 2017; Dibbern and Serafim 2021), such as
Sustainable Development Solutions Network (SDSN), Global University Network
for Innovation (GUNi), and the Belmont Forum; (4) the development of engagement
experiences (e.g., public engagement, university extension), science communica-
tion, living labs, sustainable campus, and innovations (Lipschutz et al. 2017; Botero
et al. 2017; Seyfang and Smith 2007; Bell et al. 2012; Aleixo et al. 2017; Purcell
et al. 2019; GUNi 2019; Macedo et al. 2019); (5) the inclusion of the SDGs in the
institutional/strategic agenda of universities, in governance, as well as stimulating
the integration between teaching, research, engagement, and management for sus-
tainability in higher education (Bauer et al. 2017; Becker et al. 2017); among other
possible avenues. Such dimensions, of course, may present interesting articulations
among themselves, given the complexity of HEIs and their interaction with the
external environment, as well as the multifaceted and interdisciplinary nature of
sustainable development.
Therefore, there are a variety of ways in which universities can contribute to the
SDGs as they are “uniquely placed to lead the cross-sectoral implementation of the
SDGs, providing an invaluable source of expertise in research and education on all
sectors of the SDGs, in addition to being widely regarded as neutral and influential
players” (El-jardali et al. 2018: 1). Considering the focus of this chapter, the debate
on knowledge production can be highlighted. As mentioned, universities – consid-
ering macro-contextual factors such as science and technology policies and funding
agencies, as well as their knowledge production subunits (laboratories and research

groups)– have an important role in knowledge production on sustainable develop-
ment and the SDGs. In research, there is demand for advancing knowledge within
individual disciplines (within disciplinary cultures) in various areas of knowledge, as
well as conducting inter- and transdisciplinary research (Ruiz-Mallén and Heras
2020; GUNi 2019). For example, the report “Transformations to achieve the Sus-
tainable Development Goals” (IIASA 2018) highlights research on the existing
connections between poverty, hunger, and health; health, sanitation, and inequalities;
poverty and climate; among others. In addition to research on climate change,
investigation is encouraged on issues related to the “effects of poverty on health and
economy, of education on inequalities, renewables on cities, climate mitigation on the
oceans, and of cities on water, economy, governance and infrastructure” (IIASA
2018: 100). In other terms, it can be said that the SDGs demand the production and
dissemination of knowledge and related innovations/technologies, with the potential
of societal appropriation from the dialogue with external stakeholders. What is more,
the SDGs theme can evoke concepts such as “action agenda for science,” “knowledge-
based transformation,” “mission-oriented science,” “mission-driven research,” and
“societal impact of science” (Fecher and Hebing 2021).
In this aspect, an addendum can be made: on the one hand, universities can
produce knowledge directly related, or with an explicit strategic orientation, to the
17 SDGs, as well as to the so-called Sustainable Development Research; on the other
hand, it is possible to state that universities have been conducting, throughout its
historical trajectory, relevant knowledge production from a societal and sustainable
development point of view in several areas of knowledge, allowing such production
to be framed or classified according to the SDGs it relates to. In theoretical and
methodological terms, it is possible to distinguish between research production that
is somehow directly influenced by global agendas related to sustainable develop-
ment (e.g., SDGs); on the other hand, it also becomes relevant to identify and
categorize the knowledge production carried out, in a general way, within the
SDGs. In this chapter, the second aspect is evidenced since the methodology used
allows such identification and classification.
Back to the debate on university research SDGs, another point of emphasis refers
to the role of scientific expertise in the political debate, public policies, and
policymaking processes. It showed that the scientific community also constitutes
itself as an important political actor within the debate on sustainable development
and climate change, exerting pressure in political arenas and public opinion, as well
as acting as epistemic communities in public policies as actors carrying scientific
expertise (Cointe et al. 2019; Kourtelis 2021; Chancel et al. 2018). It can also
highlight the possible partnership arrangements between university and government
in conducting research and initiatives related to sustainable development and the
very use by stakeholders external to the university (government, intergovernmental
agencies, NGOs, policy groups, think tanks, etc.) of research that can contribute to
the formulation, implementation, and evaluation of sustainable development policies
(MacDonald et al. 2018; Withycombe et al. 2018; Haywood et al. 2019; Florini and
Pauli 2018; Horan 2019). In the systematization of El-Jardali et al. (2018) on the
performance of universities in the face of the SDGs, governments and communities

constitute important external actors to the university, benefiting from the following
aspects: access to analytical skills, research services, topical expertise, and capacity-
building initiatives; evidence-informed policymaking and practice; new perspectives
and fresh insights into policy areas and priorities, and how evidence and data can
inform them; enablement of creative and unconventional problem-solving for
policymaking; among others. Evidently, the relationship between universities and
external stakeholders and the use of scientific research in policymaking can also be a
process shrouded in tensions and conflicts since the strategic objectives, interests,
and institutional trajectories of the different actors may diverge, as well as there is the
issue of academic and scientific autonomy (Kohtamäki and Balbachevsky 2018;
Benneworth et al. 2016).
In addition to the debate on the interaction between research and policymaking
processes for sustainable development, the debate on the social commitment of the
public university can also be brought up. Such debate has important roots in the
Latin American context, especially in the discussion about the action of universities
in overcoming historical societal problems observed in the countries of the region
(Goergen 2020; Sguissardi 2019; Bernheim and Chauí 2008; Dias Sobrinho 2015;
Kobylarek 2019; AUGM 2021; Appe et al. 2017). Worth highlighting, for example,
is the influence of the 1918 Reforma de Córdoba in Argentina, which generated a
modernizing impulse in the transformation of universities on the continent, including
greater democratization and orientation to the production of scientific knowledge
and university engagement capable of observing the societal needs of the context
(Tapia 2012; Abba and Streck 2021; Cristofoletti and Serafim 2020; González and
Fernández-Larrea 2018). In this sense, the focus on the university’s social commit-
ment brings to light, from different perspectives, how Latin American public uni-
versities have been assuming – or failing to assume – responsibilities and
commitments toward their surroundings and context throughout their trajectory:
beyond the typical activities foreseen in its ethos, also considering the issue of
didactic-scientific autonomy, it is discussed how universities engage or commit
themselves to public problems (social, economic, political, cultural, environmental,
among others), as well as seek to act and interact with diverse social segments in
solving or mitigating these problems. In this respect, it is important to understand the
social commitment “agendas” undertaken by universities. Furthermore, the debate
on social commitment includes a normative aspect that considers, in its core, that
public universities, in addition to training aimed at professional qualification in
general, should assume themselves as public institutions that preserve their demo-
cratic, inclusive, and knowledge socialization character, aligning their training and
knowledge production with the needs and problems of the majority of the popula-
tion, human rights, and sustainable socioeconomic development. As presented, such
engagement process is complex and conflictive, influenced by public policies on
higher education and science and technology, by institutional policies and academic
practices carried out in faculties, institutes, departments, and research groups.
In this scope, the SDGs can be configured as an element inserted in the “social
commitment” assumed by universities and research to the societal problems of their
context. In this aspect, having as focus the interaction between university, research,
and policymaking for the SDGs, the data exposed (below) aim to bring a broad
notion, from three large Latin American universities of how the knowledge pro-
duced, categorized by the 17 SDGs, has been incorporated in policy documents.
Methodological Procedures
This chapter is structured through bibliographic and document review activities and
access to secondary data about the scientific productions of the selected universities
(University of São Paulo, National Autonomous University of Mexico, and Los
Andes University) related to the SDGs. Therefore, the websites and institutional
repositories of each university were consulted and analyzed, seeking to identify both
the actions and practices developed, as well as the bibliographic productions that are
in direct connection/integration with the goals and objectives of the 2030 Agenda
(Fig. 1).
For each university database, the authors used a series of keywords such as 2030
Agenda, Global Goals and Sustainable Development Goals, in English, Portuguese,
and Spanish languages. In addition to these databases and keywords, the authors
used Overton.io as the main source of data for this chapter. The data collected from
this software presents information regarding publications produced by authors
linked to universities that were directly cited in governmental, intergovernmental
(IGO), think tanks, and other associations’ documents. From this, in a beta version, it
is possible to identify which documents are related to the SDGs, considering the
keyword matching process of the software – in other words, the software makes
classification of the policy documents according to the SDGs. The identification and
analysis of the data collected allow to demonstrate the social impact of the scientific
production of universities in relation to the formulation of public policies, as well as
its connection with the 2030 Agenda.
In this sense, in order to clarify the form of operation of the software, Fig. 2
presents the process by which the analysis is performed: at first, there is the
publication of studies and research by authors linked to universities; after their
Fig. 1 Research design. (Source: Author’s elaboration)

Fig. 2 Overton.io analysis. (Source: Author’s elaboration)
publication, governmental and intergovernmental organizations, think tanks, and

others start using this produced knowledge as a basis for the formulation of public
policies, legal documents, and publications in general. Therefore, the purpose of the
software is to identify the connection between such scientific publications and their
reproduction in the scope of policy documents. To do this, the software performs the
mapping of government databases and other stakeholders in each country, classify-
ing the information obtained through analysis categories (such as university/author
cited, year of publication, source cited, area of knowledge, SDG linked, among
others).
From the identification and collection of data obtained through the Overton.io
software, it was possible to analyze and present an overview of the actions and
practices of each selected university regarding the incorporation of the SDGs in their
institutional policies, being possible to measure the impact of their scientific pro-
ductions on the formulation of governmental public policies and documents pro-
duced by other stakeholders mapped by the software. However, it should be noted
that the data analyzed in this chapter are limited using the software since the
databases that make it up do not include all the governmental and intergovernmental
organizations and think tanks that exist in the world.
Therefore, the presentation of the results obtained through the developed research
is carried out by the university, seeking to present an overview of its characterization
and general context, as well as its performance in relation to the SDGs. The
description of the case studies is focused on the results concerning the application
of the software, which classifies the production of knowledge used in public policies
by SDGs. Therefore, the structure of the results follows the following order:
(1) general characterization of the university (data on its emergence, location,
number of courses offered, and students enrolled); and (2) overview of the biblio-
graphic production and its impact on public policies, considering its classification by
SDGs. In this stage, it aimed to synthesize the information obtained through tables
and graphs that present the total number of mentions per SDG, considering the type
of data source (whether governmental, intergovernmental, think tanks, or others) and
the main data source (institution that directly cites the work produced by authors
linked to universities). Therefore, the SDGs most cited by the identified policy
documents are highlighted, presenting the main topics addressed by them. Through-
out the data exposure, some information about the incorporation of SDGs in the
strategic/institutional scope of universities is highlighted.
Results and Analysis
As highlighted in the previous section, the presentation of the results will be based
on an overview of each university. Therefore, the first will be the case of the
University of São Paulo (USP, Brazil), followed by the National Autonomous
University of Mexico (UNAM, Mexico) and Los Andes University (UNIANDES,
Colombia). Although several institutional initiatives are exposed, the main informa-
tion presented in this section is based on data obtained through the Overton.io
software. More emphasis will be given to the case of UNAM since it presents a
greater structuring/organization of practices aimed at the implementation of the 2030
Agenda in the institutional context.
University of São Paulo (USP)
The University of São Paulo, established in 1934 and located in São Paulo, is
considered one of the higher public universities in Brazil. With a tradition of
excellence in teaching and research, USP is responsible for about 20% of Brazil’s
scientific production, offering 183 undergraduate courses, 239 graduate programs,
and about 88,000 students enrolled in all areas of knowledge (USP 2021).
Being recognized in several world rankings, the case of USP is quite relevant
when analyzing how the SDGs can be incorporated by Latin American higher
education institutions. In 2016, for example, the university received the Sustainable
Campus Excellence Award (USP 2016) from the International Sustainable Campus
Network (ISCN). The university was recognized for the work developed by students,
faculty, and staff within the scope of its institutional Environmental Policy, which
was created with the aim of promoting efficient environmental management inte-
grated with the university’s principles. Among the themes worked on, it is possible
to highlight the working groups formed around the following topics: water and
effluents, green areas and ecological reserves, sustainable buildings, environmental
education, energy, fauna, mobility, reduction of greenhouse gas emissions and
pollutant gases, solid waste, sustainability in the administration, and land use and
occupation (USP 2021). Figure 3 presents the sustainability timeline within the USP.
In 2020, in the ranking prepared by the British consultancy Times Higher
Education (THE), USP reached 14th position as the university in the world most
committed to the SDGs, and in 2021, after a 47% inclusion in the number of
universities evaluated, it reached 48th position in the same ranking (2nd place in
Latin America). This ranking evaluates the universities in terms of research, scien-
tific dissemination, and governance, considering the actions developed on gender
inequality, quality of education, economic growth, climate change, health and
welfare, sustainable consumption, and production, among others. As for its overall
score, USP reached 90 points out of 100, reaching eighth place in poverty eradica-
tion, fifth place in zero hunger, and seventh place in clean energy (USP 2021).
In addition, when exploring the institution’s databases, it was possible to identify
a series of practices that directly cite the SDGs as a strategic north of action. The
main one refers to the promotion and support for university extension practices
linked to the UN’s sustainable development agenda, named the 1st Promotion of
Culture and Extension Initiatives linked to the UN Sustainable Development Goals,
linked to the Pro-Rectory of Culture and University Extension (PRCEU 2020), as
well as other actions, such as the publication of short articles in the university’s
institutional portals about the relationship between the SDGs and the commitment by
universities (Dorado et al. 2020). In terms of academic production, there were
identified a total of 55 studies, among doctoral theses and master’s dissertations
Fig. 3 USP’s sustainability timeline. (Source: Author’s elaboration, according to USP (2021):
http://www.sga.usp.br/linha-do-tempo-da-sustentabilidade-na-usp/)
published between the period 2015 and 2021 that deal directly with this research
agenda.
The most interesting results refer to those obtained through the Overton, which
present a total of 12,685 policy documents citing research from USP, from 643 dif-
ferent sources (from 95 countries). Among this result, 11,120 policy documents are
related to at least one of the SDGs. The categorization of these documents by SDGs
can be seen in Table 1.
As can be observed, the main sources of data for obtaining the information were
based on institutional sites of governmental, intergovernmental, think tank, and other
organizations. The use of expertise by the government and national political orga-
nizations stands out; however, one of the main sources that cite papers produced by
USP authors refer to the World Bank, followed by the World Health Organization
and Publications Office of the European Union. It is also possible to observe that
most of the documents produced by authors linked to USP and that were cited in
these policy documents refer to themes related to SDGs 10, 3, and 11, respectively.
The least related SDGs in the classification presented by Overton are SDGs
14, 4, and 17. Given the exploratory nature of the chapter, which aims to raise
data and initial questions about the impact of universities on policymaking, it is not
possible to explain this pattern of thematic distribution by SDGs. It draws attention,
however, to issues related to inequality, well-being, health and sustainability, as well
as the use of this expertise by international organizations that, to some extent, have
influence in the geopolitical sphere. The type and nature of the expertise used, and
the types of research conducted (areas of knowledge, basic and applied research,
evidence gathering, etc.) are also open; in this respect, the issues addressed can be
linked to local and national problems as well as global ones.
Specifically about SDG 10, the main topics addressed refer to “science and
technology,” “health,” and “diseases and conditions.” Similarly, the main topics
concerning SDG 3 refer to “health,” “science and technology,” and “diseases and
conditions.” And, as for SDG 11, the main topics are related to “environment,”
“science and technology,” and “economy, business, and finance.” (Table 2)
Within the SDGs most cited in policy documents (SDGs 10, 3, and 11), it is
possible to notice a wide variety of themes, such as education, economy, science and
technology, health, resources and energy, among others. This shows that the most
contemplated SDGs (with number of classifications by Overton) are those broader in
terms of thematic, covering research on several themes – on the other hand, a safe
hypothesis is that the less contemplated SDGs are more specialized and specific.
National Autonomous University of Mexico (UNAM)
Regarding the National Autonomous University of Mexico (UNAM), founded in

1551 under the name “Real y Pontificia Universidad de Mexico,” it is considered an
important university in Mexico and Iberoamerica. The university has about 366,000
students enrolled in 132 undergraduate programs, 42 graduate and specialization
programs, and 38 professional technical courses (UNAM 2021). Among its scientific
Table 1 Policy documents citing research from USP related to the SDGs
SDG categories Count Main source type Main key source (institutions)
SDG 2,423 Government (864), IGO (759), National Institute for Health and
10: Reduced government–healthcare agency Care Excellence (360), World
inequalities (535), and think tank (488) Health Organization (251), World
Bank (245), and Guidelines in
PubMed Central (211)
SDG 3: Good 1,227 IGO (463), government (417), World Health Organization (270),
health and IGO–healthcare agency (275), World Bank (95), Guidelines in
well-being and think tank (197) PubMed Central (94), and Centers
for Disease Control and Prevention
(68)
SDG 1,134 IGO (454), think tank (318), World Bank (117), IPCC (76),
11: Sustainable government (286), and World Health Organization (74),
cities and IGO-development bank (145) and Analysis & Policy Observatory
communities (71)
SDG 2: Zero 911 IGO (421), think tank (259), World Bank (117), Food and
hunger government (191), and Agriculture Organization of the
IGO-development bank (142) United Nations (90), United
Nations Environment Programme
(64), and International Food Policy
Research Institute (53)
SDG 13: Climate 766 IGO (311), think tank (256), IPCC (101), World Bank (62),
action government (166), and Publications Office of the European
IGO-development bank (78) Union (38), and Analysis and
Policy Observatory (33)
SDG 702 IGO (246), think tank (206), World Bank (79), Publications
12: Responsible government (183), and Office of the European Union (72),
consumption and IGO-development bank (91) United Nations Environment
production Programme (45), and Food and
Agriculture Organization of the
United Nations (43)
SDG 1: No 673 IGO (348), IGO-development World Bank (151), United Nations
poverty bank (182), think tank (172), Environment Programme (53),
and government (116) National Institute for Health and
Care Excellence (43), and World
Health Organization (36)
SDG 8: Decent 641 IGO (291), think tank (180), World Bank (129), Publications
work and IGO-development bank (174), Office of the European Union (48),
economic growth and government (123) Inter-American Development Bank
(38), and Analysis & Policy
Observatory (34)
SDG 9: Industry, 602 Think tank (207), IGO (179), World Bank (63), Publications
innovation, and government (162), and Office of the European Union (56),
infrastructure IGO-development bank (92) Analysis & Policy Observatory
(34), and Inter-American
Development Bank (26)
(continued)
Table 1 (continued)
SDG 15: Life on 524 Think tank (175), IGO (173), International Union for
land government (159), and Conservation of Nature (55), Food
IGO-development bank (46) and Agriculture Organization of the
United Nations (47), Publications
Office of the European Union (46),
and World Bank (40)
SDG 416 Think tank (158), IGO (140), World Bank (45), Publications
7: Affordable and government (99), and Office of the European Union (25),
clean energy IGO-development bank (53) Analysis & Policy Observatory
(19), and United Nations
Environment Programme (18)
SDG 6: Clean 295 IGO (111), government (95), World Bank (43), Publications
water and think tank (76), and Office of the European Union (30),
sanitation IGO-development bank (52) United Nations Environment
Programme (20), and World Health
Organization (17)
SDG 16: Peace, 258 Think tank (100), IGO (75), World Bank (31), National Institute
justice, and government (65), and for Health and Care Excellence
strong IGO-development bank (41) (23), Analysis & Policy
institutions Observatory (17), and Publications
Office of the European Union (11)
SDG 5: Gender 209 IGO (82), think tank (72), World Bank (25), World Health
equality government (38), and Organization (24), National
IGO-development bank (30) Institute for Health and Care
Excellence (19), and Analysis &
SDG 14: Life 167 Government (65), IGO (50), International Union for
below water think tank (45), and other (7) Conservation of Nature (23),
United Nations Environment
Programme (21), Publications
and Government of Canada (14)
SDG 4: Quality 156 IGO (81), IGO-development World Bank (34), UNESCO (15),
education bank (47), think tank (38), and Inter-American Development Bank
government (22) (12), and Analysis & Policy
Observatory (11)
SDG 16 IGO (8), IGO-development World Bank (7), International
17: Partnerships bank (7), think tank (7), and Science Council (4), Centre for
for the goals government (1) Policy Studies (1), and Publications
Office of the European Union (1)
Source: Author’s elaboration according to Overton.io
production, a total of 22 theses (doctoral and master’s), as well as scientific articles

on the SDGs, were identified in its institutional repository. As for the THE 2021
ranking, UNAM is in 69th position as the university in the world most committed to
the SDGs (18th place in Latin America). In this, it is in 13th place in industry,
Table 2 Top 10 most cited SDG subject areas – USP

SDG 10 SDG 3 SDG 11
# Subject area Count Subject area Count Subject area Count
1 Science and 1,916 Health 1,170 Environment 878
technology
2 Health 1,910 Science and 967 Science and 832
technology technology
3 Health; 1,245 Health; diseases and 875 Economy, 646
diseases and conditions business, and
conditions finance
4 Health; health 911 Health; health 513 Economy, 591
treatment treatment business, and
finance; economic
sector
5 Science and 773 Science and 383 Environment; 561
technology; technology; social natural resources
social sciences sciences
6 Economy, 742 Health; diseases and 366 Health 476
business, and conditions;
finance communicable
disease
7 Economy, 622 Health; diseases and 357 Science and 356
business, and conditions; technology; social
finance; communicable sciences
economic disease; virus disease
sector
8 Education 552 Economy, business, 256 Environment; 338
and finance natural resources;
water
9 Environment 436 Education 247 Health; diseases 280
and conditions
10 Society 415 Health; diseases and 246 Economy, 252
conditions; illness business, and
finance; economic
sector; agriculture
innovation, and infrastructure, 30th place in poverty eradication, and 67th place in
health and welfare.
Unlike the other universities detailed here, UNAM has an interesting systemati-
zation regarding its performance in relation to the 2030 Agenda. This systematiza-
tion is based on an institutional website that identifies and categorizes all the
activities developed within the university in relation to each SDG between 2015
and 2019. Called “La UNAM y los Objetivos de Desarrollo Sostenible,” the portal
presents a total of 972,696 actions aimed at the UN’s sustainable development
agenda (UNAM 2020). Therefore, for each SDG it is possible to identify the total
number of published articles, patents produced, and projects developed over the
years, as well as the total number of partnerships between the university and
governments, businesses, civil society organizations, among others. As can be seen

in Table 3, the most worked on goals and targets in the scope of this university refer
to SDGs 3, 10, and 4, in view of the number of declared actions. Regarding
knowledge production (in terms of published articles), SDGs 3, 11, and 15 stand
out, respectively. In terms of patents, ODS 9, 3, and 7 are more prominent. Finally, in
relation to the total number of partnerships with other stakeholders in society, actions
linked to SDGs 4, 8, 3, and 12 stand out.
In addition to these actions, the UNAM also presents a series of indicators that
measure the achievement of the SDGs in relation to its institutional policies and
guidelines (UNAM 2020). It is, therefore, a portal dedicated to highlighting the
commitment of this university in relation to the 2030 Agenda, given the actions and
practices performed institutionally. Regarding the data obtained through the Over-
ton, a total of 5,901 policy documents citing research from UNAM, from 487 differ-
ent sources (from 83 countries), are presented. Within the consulted data, 7,223
policy documents are related to at least one of the SDGs. The categorization of these
can be seen in Table 4.
As can be seen, most of the documents produced by authors linked to the UNAM
and that were cited in governmental, intergovernmental, and other sources refer to
topics related to SDGs 11, 10, and 13, respectively. Specifically, the main topics
addressed under SDG 11 refer to “environment,” “science and technology,” and
“natural resources.” As for SDG 10, it is possible to observe a greater prominence of
topics related to “science and technology,” “health,” and “environment.” And, in
reference to SDG 13, “environment,” “natural resources,” and “science and tech-
nology” stand out. Therefore, the main topic in common between such SDGs refers
to “science and technology,” followed by “environment” (Table 5).
Therefore, as observed, the UNAM case is similar to the USP case, and the SDGs
most cited in the policy documents found by Overton refer to SDGs 10 and 11.
However, it differs due to the number of documents cited and mapped by the
software, as well as in relation to the categorization of its actions in relation to the
SDGs. Specifically about this categorization, the UNAM is considered as a noted
case in this chapter, being the only university that has a systematization of its actions
and practices in favor of the UN sustainable development agenda.
Los Andes University (UNIANDES)
Continuing the presentation of the case studies, Los Andes University

(UNIANDES), founded in 1948, is considered one of Colombia’s significant private
universities, in view of the wide range of undergraduate and graduate programs it
offers (43 undergraduate programs, 33 specializations, 76 master’s degrees, and
17 doctorates). The university has about 19,000 students enrolled in all areas of
knowledge, being dedicated to education (teaching) and research.
As for the actions developed in favor of the 2030 Agenda, UNIANDES is part of
a project to support the implementation of the SDGs in Colombia, funded by the
Delegation of the European Union in Colombia. It also participates in the “Centro de
Table 3 Total UNAM actions in relation to each SDG (2015–2019)

Number Number Number Number of partnerships
of of of (civil society, companies,
SDG Count papers patents projects government, etc.)
SDG 1: No 53,453 397 0 63 618
poverty
SDG 2: Zero 31,119 546 5 43 342
hunger
SDG 3: Good 119,976 2,248 68 499 1,465
health and well-
being
SDG 4: Quality 89,545 329 0 412 1,975
education
SDG 5: Gender 64,450 184 0 98 137
equality
SDG 6: Clean 39,280 1,105 10 115 595
water and
sanitation
SDG 64,348 716 19 58 488
7: Affordable and
clean energy
SDG 8: Decent 59,014 337 1 49 1,647
work and
economic growth
SDG 9: Industry, 41,109 53 122 8 759
innovation, and
infrastructure
SDG 10: Reduced 90,195 423 3 58 145
inequalities
SDG 42,618 1,758 1 127 1,165
11: Sustainable
cities and
communities
SDG 80,857 228 14 69 1,465
12: Responsible
consumption and
production
SDG 13: Climate 61,779 765 5 62 442
action
SDG 14: Life 13,623 635 4 27 164
below water
SDG 15: Life on 41,739 1,331 9 166 657
land
SDG 16: Peace, 50,778 79 0 37 72
justice, and strong
institutions
SDG 28,813 0 0 0 22
17: Partnerships
for the goals
Source: Author’s elaboration according to UNAM information
Table 4 Policy documents citing research from UNAM related to the SDGs
SDG 1,042 IGO (398), think tank (331), World Bank (100), IPCC (85),
11: Sustainable government (270), and International Union for Conservation
cities and IGO-development bank (133) of Nature (72), and Publications
communities Office of the European Union (60)
SDG 10: Reduced 958 IGO (367), government World Bank (132), World Health
inequalities (271), think tank (240), and Organization (74), Analysis & Policy
IGO-development bank (176) Observatory (43), and Centers for
Disease Control and Prevention
(CDC) (42)
SDG 13: Climate 738 IGO (288), think tank (233), IPCC (109), World Bank (59),
action government (189), and Publications Office of the European
IGO-development bank (77) Union (44), and International Union
for Conservation of Nature (410)
SDG 15: Life on 712 Think tank (274), government International Union for Conservation
land (227), IGO (194), and of Nature (140), Government
IGO-development bank (50) Publishing Office (50), Publications
and Food and Agriculture
Organization of the United Nations
(39)
SDG 547 IGO (196), think tank (173), Publications Office of the European
12: Responsible government (161), and Union (57), World Bank (54),
consumption and IGO-development bank (66) International Union for Conservation
production of Nature (43), and United Nations
SDG 2: Zero 501 IGO (187), think tank (167), Food and Agriculture Organization of
hunger government (125), and the United Nations (51), United
IGO-development bank (49) Nations Environment Programme (42),
World Bank (40), and CGIAR (36)
SDG 1: No 466 IGO (216), think tank (143), World Bank (84), United Nations
poverty IGO-development bank (96), Environment Programme (40),
and International Union for Conservation
government (85) of Nature (26), and Analysis &
SDG 382 IGO (136), think tank (130), World Bank (52), Publications Office
7: Affordable and government (103), and of the European Union (31), United
clean energy IGO-development bank (62) Nations Environment Programme
(19), and International Union for
Conservation of Nature (17)
SDG 9: Industry, 372 IGO (122), think tank (122), Publications Office of the European
innovation, and government (106), and Union (40), World Bank (34), Inter-
infrastructure IGO-development bank (60) American Development Bank (22), and
Analysis & Policy Observatory (18)
SDG 3: Good 358 IGO (166), government World Health Organization (71),
health and well- (101), IGO-healthcare agency World Bank (41), Publications Office
being (72), and think tank (60) of the European Union (20), and
Centers for Disease Control and
Prevention (CDC)(17)
(continued)
Table 4 (continued)
SDG 8: Decent 318 IGO (141), think tank (85), World Bank (37), Publications Office
work and government (76), and of the European Union (22), Inter-
economic growth IGO-development bank (62) American Development Bank (20),
and Food and Agriculture Organization
of the United Nations (15)
SDG 6: Clean 251 IGO (86), government (84), World Bank (29), Publications Office
water and think tank (72), and of the European Union (20), United
sanitation IGO-development bank (35) Nations Environment Programme
(18), and International Union for
Conservation of Nature (14)
SDG 14: Life 230 Government (89), think tank International Union for Conservation
below water (79), IGO (55), and other (7) of Nature (39), Publications Office of
the European Union (21), Food and
Agriculture Organization of the United
Nations (18), and United Nations
SDG 16: Peace, 138 Think tank (49), IGO (42), Analysis & Policy Observatory (14),
justice, and strong government (33), and Inter-American Development Bank
institutions IGO-development bank (27) (14), House Committees (13), and
World Bank (13)
SDG 5: Gender 132 IGO (69), IGO-development World Bank (30), Analysis & Policy
equality bank (40), think tank (40), Observatory (12), Inter-American
and other (12) Development Bank (9), and IZA
Institute of Labor Economics (9)
SDG 4: Quality 67 IGO (39), IGO-development World Bank (10), Inter-American
education bank (17), government (13), Development Bank (6), Analysis &
and think tank (11) Policy Observatory (4), and
UNCTAD (4)
SDG 11 IGO (7), think tank (4), and UNCTAD (4), International Science
17: Partnerships IGO-development bank (2) Council (2), Asian Development
for the goals Bank (1), and Centre for Policy
Studies (1)
Desarollo Sostenible para América Latina” (CODS) of the Sustainable Development

Solutions Network (SDSN). This center is composed of universities, companies, and
governments of Latin America and the Caribbean, with the objective of contributing
to the dissemination of knowledge and training on sustainable development and its
connections with the region (CODS 2021).
Regarding scientific production on the SDGs, UNIANDES presents a total of
1585 theses, dissertations, and articles published in its institutional repository. In
relation to the THE 2021 ranking, it ranks 13th among Latin American countries, not
being evaluated at the global level. As for the data obtained through the Overton.io
software, there were identified a total of 3438 policy documents citing research from
UNIANDES, from 381 different sources (from 60 countries). Specifically about the
Table 5 Top 10 most cited SDG subject areas – UNAM

SDG 11 SDG 10 SDG 13
1 Environment 929 Science and 782 Environment 707
technology
2 Science and 765 Health 537 Environment; 553
technology natural resources
3 Environment; 714 Environment 428 Science and 545
natural resources technology
4 Economy, 535 Economy, 364 Economy, 366
business, and business, and business, and
finance finance finance
5 Economy, 498 Science and 355 Economy, 336
business, and technology; social business, and
finance; economic sciences finance; economic
sector sector
6 Environment; 464 Economy, 314 Environment; 333
natural resources; business, and natural resources;
water finance; economic water
sector
7 Science and 317 Environment; 295 Environment; 323
technology; social natural resources climate change
sciences
8 Environment; 289 Health; diseases 292 Weather 257
nature and conditions
9 Health 284 Society 210 Science and 213
technology; social
sciences
10 Environment; 244 Education 196 Environment; 178
climate change nature
SDGs, 3260 policy documents are directly related to them. The categorization by
SDGs can be visualized in Table 6.
The SDGs most often cited by governmental and intergovernmental documents
that refer to work produced by UNIANDES faculty-researchers refer to SDGs
10, 11, and 8, respectively. As for SDG 10, the main topics refer to “science and
technology,” “social sciences,” and “education.” As for SDG 11, the main topics are
“science and technology,” “economy, business, and finance,” and “environment.”
And finally, regarding SDG 8, the main topics are related to “science and technol-
ogy,” “economy, business, and finance,” and “social sciences” (Table 7).
As in the cases of USP and UNAM, UNIANDES also presents the higher number
of cited documents related to SDGs 10 and 11, considering the data obtained through
Overton.io. Therefore, among the selected universities, it is the case that has the
lowest number of citations in identified policy documents. These numbers, as in
other cases, should be analyzed with caution, since Overton’s data sources vary by
country and region, presenting only an overview of how the knowledge produced by
them is incorporated into policy documents.
Table 6 Policy documents citing research from UNIANDES related to the SDGs
SDG 678 IGO (353), World Bank (165), Inter-American
10: Reduced IGO-development bank Development Bank (71), IZA Institute of
inequalities (239), think tank (207), and Labor Economics (64), and World Health
government (83) Organization (32)
SDG 357 IGO (176), think tank World Bank (53), IPCC (34), Inter-
11: Sustainable (106), IGO-development American Development Bank (26), and
cities and bank (80), and government Analysis & Policy Observatory (22)
communities (52)
SDG 8: Decent 317 IGO (184), World Bank (91), Inter-American
work and IGO-development bank Development Bank (44), Analysis &
economic (139), think tank (94), and Policy Observatory (17), and IZA
growth government (22) Institute of Labor Economics (17)
SDG 1: No 312 IGO (206), World Bank (107), Inter-American
poverty IGO-development bank Development Bank (41), United Nations
(151, think tank (75), and Environment Programme (18), and
government (19) Analysis & Policy Observatory (12)
SDG 2: Zero 206 IGO (113), think tank (58), World Bank (46), IFPRI (19), Food and
hunger IGO-development bank Agriculture Organization of the United
(57), and government (25) Nations (15), and United Nations
SDG 9: Industry, 204 IGO (91), think tank (66), World Bank (34), Inter-American
innovation, and IGO-development bank Development Bank (21), Analysis &
infrastructure (57), and government (32) Policy Observatory (14), and
Publications Office of the European
Union (11)
SDG 192 IGO (89), think tank (61), IPCC (40), World Bank (20),
13: Climate government (33), and Publications Office of the European
action IGO-development bank Union (11), and Analysis & Policy
(25) Observatory (9)
SDG 16: Peace, 151 IGO (70), think tank (59), World Bank (33), Inter-American
justice, and IGO-development bank Development Bank (11), Peace Research
strong (44), and government (20) Institute Oslo (11), and Publications
institutions Office of the European Union (9)
SDG 3: Good 143 IGO (73), World Bank (26), World Health
health and well- IGO-development bank Organization (25), Analysis & Policy
being (31), think tank (31), Observatory (10), and Centers for
IGO-healthcare agency Disease Control and Prevention (CDC)
(25) (10)
SDG 15: Life on 138 IGO (50), think tank (48), IPBES (19), International Union for
land government (35), and Conservation of Nature (14), CGIAR
IGO-development bank (11), and Publications Office of the
(12) European Union (9)
SDG 5: Gender 128 IGO (67), World Bank (40), Inter-American
equality IGO-development bank Development Bank (10), IZA Institute of
(52), think tank (48), and Labor Economics (10), and Peace
government (9) Research Institute Oslo (9)
(continued)
Table 6 (continued)
SDG 4: Quality 126 IGO (80), World Bank (42), Inter-American
education IGO-development bank Development Bank (19), Analysis &
(62), think tank (32), and Policy Observatory (9), and IZA Institute
other (9) of Labor Economics (7)
SDG 125 IGO (56), think tank (35), World Bank (23), Publications Office of
12: Responsible IGO-development bank the European Union (10), Analysis &
consumption (31), and government (25) Policy Observatory (9), and United
and production Nations Environment Programme (9)
SDG 6: Clean 77 IGO (40), World Bank (15), Analysis & Policy
water and IGO-development bank Observatory (9), Publications Office of
sanitation (23), think tank (16), and the European Union (7), and Inter-
government (12) American Development Bank (7)
SDG 64 IGO (27), think tank (22), World Bank (14), United Nations
7: Affordable IGO-development bank Environment Programme (5), Analysis
and clean energy (16), and government (11) & Policy Observatory (4), and
Publications Office of the European
Union (4)
SDG 14: Life 34 Think tank (14), United Nations Environment Programme
below water government (10), IGO (10), (6), International Union for Conservation
and IGO-development of Nature (5), Publications Office of the
bank (2) European Union (3), and GOV.UK (2)
SDG 8 IGO (6), IGO-development Hellenic Foundation for European and
17: Partnerships bank (2), and think tank (2) Foreign Policy (ELIAMEP) (2),
for the goals International Transport Forum (2),
OECD (2), and World Bank (2)
Overview of Mapped Practices and Actions
Each university has its own specificity in relation to the way it acts toward the SDGs.
In general, the data extracted from the Overton.io software show that USP presents,
in total absolute numbers, more policy documents citing research related to at least
one SDG and, in the cut by SDG, stands out with the largest number in almost all,
except for SDGs 14 and 15 that have more citations of UNAM’s research. In
percentage terms, the three universities have their production cited focusing on
SDGs 10 (UNIANDES: 20.80%; UNAM: 13.26%; USP: 21.79%) and
11 (UNIANDES: 10.95%; UNAM: 14.43%; USP: 10.20%). Besides these, two
other SDGs stand out by higher education institutions: (i) at USP, SDGs 2 (8.19%)
and 3 (11.03%); (ii) at UNAM, SDGs 13 (10.22%) and 15 (9.86%); and (iii) at
UNIANDES, SDGs 1 (9.57%) and 8 (9.72%).
It is valid to point out that, in relation to USP and UNIANDES, seven objectives
and, in relation to UNAM, six objectives are represented by less than 4% of the total
number of policy documents citing research per institution under analysis. The
policy documents citing research related to SDG 17, per institution, are the lowest
Table 7 Top 10 most cited SDG subject areas – UNIANDES

SDG 10 SDG 11 SDG 8
1 Science and 580 Science and 286 Science and 272
technology technology technology
2 Science and 391 Economy, business, 233 Economy, 236
technology; and finance business, and
social sciences finance
3 Education 312 Environment 228 Science and 191
technology;
social sciences
4 Health 310 Economy, business, 204 Economy, 176
and finance; business, and
economic sector finance;
economy
5 Economy, 239 Science and 156 Science and 136
business, and technology; social technology;
finance sciences social sciences;
economics
6 Society 205 Environment; 133 Economy, 116
natural resources business, and
finance;
economic sector
7 Education; 181 Economy, business, 108 Education 98
school and finance;
economic sector;
transport
8 Science and 174 Health 98 Labor 97
technology;
social sciences;
economics
9 Politics 152 Economy, business, 91 Politics 71
and finance;
economy
10 Economy, 150 Environment; 86 Health 67
business, and natural resources;
finance; water
economic sector
in all three (USP: 0.14%; UNAM: 0.15%; UNIANDES: 0.25%). These highlights
can be visualized in Figs. 4 and 5.
Figure 5 represents policy documents citing research from the perspective of the
SDGs and in absolute numbers, i.e., using the same dataset as Fig. 4, but showing the
behavior of totals per SDG compared in absolute numbers. Thus, some comments
are necessary to help the reading of this figure: its structure is composed of five
geometric shapes arranged one inside the other that have 17 vertices and the same
central point, and each geometric shape is a quantitative level of policy documents
citing and each vertex is an SDG; consequently, the three lines that represent each of
the universities under analysis are arranged, demonstrating the comparison of
absolute numbers by SDG and the trends of research citations by higher education
institution.
Regarding this comparison, it is important to highlight that it is limited by the
Overton.io database – in this aspect, this comparison should be taken as an initial
effort to approach the debate/study about university and policymaking (which is why
the comparative data is not the focus of this chapter). In any case, especially
considering the figures, one can observe a pattern (quantitatively and proportionally
larger) of documents that relate to SDGs 10, 11, 3, 8, and 1. Again, it is possible to
hypothesize about these research findings. Whether the data are presented by
university or an initial effort at comparison, the data open the way for an interesting
Fig. 4 Total of policy documents cited by university and SDGs. (Source: Author’s elaboration)
Fig. 5 Total of policy

documents cited by university
and SDGs (spider chart).
(Source: Author’s
elaboration)
research agenda on the relationship between knowledge production, policymaking,

and the SDGs.
Final Considerations
This chapter seeks to contribute to recent debates about how higher education
institutions can contribute to the implementation of the 2030 Agenda. Specifically,
it aims to present how the Latin American scientific community, especially those
three universities at the region, has been incorporating this theme at the institutional
level. In this sense, it was possible to conduct an exploratory mapping of the various
actions and practices that USP, UNAM, and UNIANDES have been carrying out to
implement this agenda. In a particular and more objective way, it aimed to identify
how the knowledge generated by researchers linked to the selected universities has
been incorporated by policy documents dealing with the SDGs, i.e., seeking to
measure how this knowledge has influenced the process of policy formulation,
legal documents, and publications in general, produced by governmental and inter-
governmental organizations, think tanks, and other institutions, considering the use
of Overton.io.
The results achieved vary according to the particularities of each university, being
possible to identify specific actions and activities, as well as to obtain an overview of
the practices that have been carried out and based on the SDGs. In the case of USP,
for example, it was possible to trace a timeline in relation to institutional policies
focused on sustainability, the position achieved in relation to THE ranking, as well as
the number of citations in policy documents that address the SDGs and their
institutional scientific production. UNAM, on the other hand, does not present in
its institutional website a timeline of its actions focused on sustainability, but it
presents summarized data about its direct contributions to the SDG agenda, being
possible to quantify the number of papers produced on each SDG, as well as the
number of projects, patents, and partnerships with governmental, intergovernmental,
and civil society organizations. As in the case of USP, and through access to data
produced by Overton, it was possible to identify the total number of citations in
policy documents dealing with the SDGs and their institutional scientific production.
Finally, in relation to UNIANDES, special emphasis can be attributed to its partic-
ipation in the Centro de Desarrollo Sostenible para América Latina (CODS), linked
to the SDSN, as well as the amount of scientific production (including master’s and
doctoral theses and papers) related to the SDGs’ theme. Likewise, it was also
possible to quantify and measure the citations related to policy documents that
deal with the SDGs and their institutional-scientific production.
Specifically about the data obtained through the Overton, it was possible to
observe the following: (1) in percentage terms, the three universities have their
production being cited focusing on SDGs 10 and 11; (2) USP presents, in total
absolute numbers, a higher number of policy documents citing research related to at
least one SDG, except for SDGs 14 and 15; (3) the number of specific citations on
SDG 17 is the lowest in relation to the other SDGs, considering the three universities
analyzed (the hypothesis refers to the lowest number of specific publications on this
SDG in relation to the others); (4) the main sources that cite the work of these
universities refer to government (national level), the World Bank, the World Health
Organization and the Publications Office of the European Union; (5) among the main
areas of knowledge involved in these policy documents are “science and technol-
ogy,” “health,” and “environment.” The initial hypothesis is that these SDGs cover
broader themes – being more “holistic” – which increases the absolute quantity of
themes in the policy documents. In addition, it can be seen that the circulation of
scientific knowledge crosses the national and international spheres, encompassing
several institutions closer to policymaking. Evidently, the chapter is limited by a
more general and quantitative approach, opening space for questions and hypotheses
based on the data.
Considering that the data presented in this chapter were generated through an
exploratory research, further specific studies on the production of Latin American
scientific knowledge about the SDGs and its reverberation in the scope of public
policies, legal documents, and other publications from governmental and intergov-
ernmental organizations, think tanks, and others are encouraged – especially qual-
itative studies, as they are able to reveal the specific conditions, context, and impacts
of knowledge on policy. The software used allowed to produce a preliminary
quantitative analysis of this relationship, and it is necessary to carry out future
studies that analyze qualitatively this link and impact (especially analyzing other
sources that are not included in Overton.io).
In this sense, some conclusive analyses can be raised: (1) the research shows that
expertise is being used in national and international scope (in relevant quantities),
revealing an extensive field for research and debate; (2) in this line, the results
demonstrate that various institutions and stakeholders appropriate the research
conducted in Latin American universities – from the literature, it is known that
knowledge is used to ground, legitimize, give symbolic or practical strength, and
provide cognitive elements to political actors and public policies. Thus, the data also
call attention to the need to understand how each institution (government, NGOs,
think tank, etc.) deals with knowledge; (3) the data also show that the research
conducted in three universities with significant importance in the national, regional
(Latin America), and international scope is trickling down into policy documents,
which raises reflections on the realization of the social commitment of the public
university through research, especially by the social relevance of the classified topics
(in this case, framing the research by SDG); (4) finally, the debate developed in the
chapter and the preliminary empirical survey also point to the possibility that the
SDGs can be a strategic tool for universities to develop institutional policies aimed at
sustainable development, as well as stimulate both research on the themes and the
creation of awareness about how the production of knowledge can contribute to the
SDGs –of course, a process full of tensions, conflicts, and that are inserted in certain
macro, meso, and micro contexts. It is also necessary to point out that the SDGs’
agenda, within the debate on social commitment of Latin American universities, also
raises issues related to asymmetries and inequalities in the processes of production
and circulation of knowledge within the global dynamics of science, taking into
account that the Agenda 2030 is also embedded in political and geopolitical disputes;
in short, the SDGs point as a relevant possibility to be critically integrated by Latin
American universities in their trajectories of social commitment practices.
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COVID-19 and Its Influence on Sustainable
Development Goal 4: Latin America
and Caribbean Region
Nora Munguia
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339
The Socioeconomic Impacts of the COVID-19 Pandemic in Latin America
and the Caribbean . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
The COVID-19 Pandemic and Its Disruption to the World’s Educational Systems . . . . . . . . . . . 340
COVID-19 Disruptions to Latin America’s Educational System . . . . . . . . . . . . . . . . . . . . . . . . . . . 341
The Cost of the Pandemic on Education Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344
COVID-19 Vision and Resilience Initiatives for SDG 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
Resuming Education: From Disruption to Recovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346
Perspectives on the Post-COVID-19 Era in Latin American and Caribbean Region
Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 348
Abstract
Sustainable Development Goal 4 (SDG 4) guarantees an inclusive and equitable
education that promotes learning opportunities for all. To successfully meet SDG
4, the UN fostered the Incheon Declaration, establishing a series of actions to
operationalize education policies worldwide. The outlook seemed optimistic with
adopting a decade of action toward fulfilling the 2030 Agenda and the SDGs.
Regretfully, the emergence of the COVID-19 pandemic stopped the momentum
by generating significant disruption at all levels of schooling worldwide. With
restrictive measures keeping a large part of the population in quarantine, schools
N. Munguia (*)
Sustainable Development Graduate Program, University of Sonora, Hermosillo, Mexico
e-mail: nora.munguia@unison.mx

https://doi.org/10.1007/978-3-031-16017-2_97
338 N. Munguia
found themselves in the dilemma of maintaining the institutions open while

protecting the health of their students, teachers, and administrators. Several
strategies were put into operation with different outcomes. Among the most
popular was the shift to virtual education, which at the beginning, its implemen-
tation was deficient but proved its usefulness and value over time. However,
recent reports from several international agencies, such as UNESCO, IMF, World
Bank, and ECLAC, to mention a few, have warned of the risk of leaving a good
part of the Latin American and Caribbean region without educational
opportunities.
This conceptual chapter explores the COVID-19-related issues that have
collapsed two of the main SDG 4 pillars crumbling: quality and inclusion. In
addition, the content highlights diverse strategies used to overcome vulnerabil-
ities in educational systems worldwide, particularly in Latin America and the
Caribbean. Hopefully, with the insight gained from this unfavorable situation,
administrators, educators, policymakers, and other critical stakeholders of the
education systems might focus better on building resilience to further disruption
and progress toward SDG 4.
Keywords
COVID-19 · Educational disparities · Latin America and the Caribbean · SDG 4
Introduction
Achieving quality education for all while maintaining a healthy planet free of
pollution and a sustainable lifestyle for all members of society has been on the
official agenda of the United Nations since the Earth Summit in 1992 (United
Nations 1992). However, a greater emphasis on a more inclusive, equitable, and
sustainable education was added in the decade of education for sustainable devel-
opment (DESD). The DESD played a vital role in the development and growth of
students, preparing and empowering them to integrate sustainability principles into
their style of life (UNESCO 2016). Although this decade did not yield the results
hoped for, it provided the basis to fully enable a more inclusive, equitable, and
sustainable education worldwide (Benavot 2016), which is the ultimate purpose of
Sustainable Development Goal 4 of Agenda 2030 for Sustainable Development
(U.N. General Assembly 2015).
To increase the likelihood of success, the Incheon Declaration was adopted
during the World Education Forum in 2015; it comprises a series of actions to
operationalize education policies worldwide to fulfill the commitment of UN mem-
ber states to meet Sustainable Development Goal 4 (UNESCO 2015). As a result, by
2019, the United Nations reported a moderate degree of compliance by the member
states concerning implementing measures to reach targets but highlighting that
despite progress, there were still disparities in educational opportunities and
COVID-19 and Its Influence on Sustainable Development Goal 4:. . . 339
outcomes among regions (United Nations 2021). Regretfully, the fast spread of
COVID-19 has increased the risk of losing momentum due to weakening economic
and social conditions since the World Health Organization announced the pandemic
(WHO 2020).
In that unfavorable context, education systems were among the first to succumb to
the extent that most schools at all levels had to close to avoid massive contagion
during the initial phase of COVID-19 when little or no knowledge was available
about the disease. When uncertainty and chaos reigned in those days, the United
Nations Educational, Scientific, and Cultural Organization (UNESCO) reported that
over 100 million children would have had reading comprehension problems
(UNESCO 2020a). In response, UNESCO established the Global Education Coali-
tion, whose main target is to unlock solutions to support learners and teachers with a
principal focus on inclusion and equity (UNESCO 2020b). Although more than
2 years have passed since the emergence of COVID-19, inclusion and equity remain
significant priorities. Further reports indicate that the pandemic disruptions did not
have the same impact on the entire population, harming, more significantly, vulner-
able communities in the poorest countries (GEMR 2020). Worst still, implementing
strategies to counter COVID-related disruptions through online teaching may have
even widened educational gaps (García Jaramillo 2020).
This conceptual chapter explores the issues that have affected education institu-
tions and systems, at all levels, due to the disruptions of COVID-19 and the potential
implications on their ability to meet SDG 4, especially in Latin America and the
Caribbean. Notably, countries in Latin America and the Caribbean have been
profoundly affected by COVID-19 (Parker and Alfaro 2022), which is catastrophic
considering that even before the start of the pandemic, this region had reported
significant inequalities (Elacqua et al. 2020). Moreover, according to the World Bank
statistics (2021), the area experienced a severe impact, especially with increased
unemployment rates from 2019 to 2020. It is precisely the latter information that
makes evident the enormous challenge Latin American and Caribbean governments
must face in solving the educational crisis caused by the pandemic.
Methodology
This conceptual chapter has been written to explore issues that have modified
education modes of teaching and learning due to COVID-19 and implications on
the ability to meet SDG 4, with emphasis on Latin America and the Caribbean. To
this end, a literature analysis was conducted from more than 70 literature sources,
such as scientific articles, books, book chapters, and reports from specialized
agencies of the United Nations, like UNESCO. Although the reference list is not
exhaustive yet, it covers themes more sensitive to fulfill the goal of this conceptual
chapter. In addition, the author offers claims based on her expertise as a senior
sustainability researcher in the field of education.
340 N. Munguia
The Socioeconomic Impacts of the COVID-19 Pandemic in Latin

America and the Caribbean
More than 2 years have passed since the onset of the COVID-19 pandemic, caused
by the spread of the coronavirus SARS-CoV-2 virus. It was first detected in
December 2019 in Wuhan, Hubei province in China, and its fast propagation
interrupted practically all businesses, economic, and social systems. In those days,
it was difficult to count the damage; however, the predictions about the global
economy by the International Monetary Fund were not encouraging at all, projecting
its collapse to unprecedented low levels (IMF 2020). As expected, countries in the
global south suffered, and continue to suffer, from the ravages of the pandemic. The
Economic Commission on Latin America and the Caribbean (ECLAC and CEPAL
in Spanish) recognized that although most of the 2022 economic indicators have
shown signs of recovery, they still do not reach their levels during the pre-pandemic
(UN-ECLAC 2022a).
Not only was the global economy affected, but decisions involving closures and
interruptions at the international, national, and local levels severely affected social
systems. The COVID-19-related disruptions in the region have inflicted so much
damage that ECLAC has declared the region “one of the most affected in health,
social and economic terms, which shows that the costs of inequality they are
unsustainable.” (UN-ECLAC 2022b:11). For example, it is estimated that more
than 160 million students from Latin America and the Caribbean were somehow
affected (UN-ECLAC-UNESCO 2020). The pandemic highlighted the lack of
preparation everywhere to respond to a situation of such magnitude. As a result,
COVID-19 has caused significant disruptions not only to SDG 4 but also to all goals,
to the extent that achieving these as proposed by the 2030 Agenda may be unlikely,
given the current levels of achievements (United Nations 2020, 2021). The follow-
ing sections of this chapter focus on how expectations of achieving SDG 4 have
faded since the pandemic.
The COVID-19 Pandemic and Its Disruption to the World’s

Educational Systems
With restrictive measures keeping a large part of the population in quarantine,

schools found themselves in the dilemma of maintaining the institutions running
while protecting the health of their students, teachers, and administrators. Hence, this
unprecedented situation made school administrators invest in distance education like
never before and rapidly convert it to distance learning (Zimmerman 2020;
Govindarajan and Srivastava 2020). However, the need for instruction via the
internet, television, or radio created challenges for students and teachers, forcing
everyone to adapt to new pedagogical methods (Hodges et al. 2020). The toll on
student learning in the future remains to be seen, but a UNICEF report (2021)
estimated at the beginning of 2021 that 131 million preschool and secondary
education students in approximately 11 countries lost at least 75% of their teaching

time in classrooms from March 2020 to September 2021.
As a consequence of the latter, two of the main SDG 4 pillars were crumbling:
quality and inclusion. Faced with the possibility that children and adolescents lose
the academic year, the return of students to the classroom became a priority increas-
ingly as time passed (Catalano et al. 2021). Ensuring quality education ceased to be
an essential issue to focus on restarting teaching. In this context, the best quality
online instruction was not delivered to all, resulting in poor academic performance
for the most vulnerable social groups (Powers et al. 2020). Concerning inclusion,
experts noted the shift to online schooling had not been the best substitute for face-
to-face education (Schramm et al. 2021). It is claimed that online instruction
modified the patterns of children and youth socialization and increased education
costs, causing students’ marginalization from their studies (Hörisch 2021). Given
this saddening situation, some scholars demand public policies that reverse the social
disadvantage of remote learning and the lack of direct communication, mainly
among younger students (Murai and Muramatsu 2020).
COVID-19 Disruptions to Latin America’s Educational System
Disruptions in Basic Educational Programs

A UNICEF report (2021) indicated that almost a third of the world’s population of
school-age adolescents (463 million children) did not have access to a remote system
to continue with their classes once schools closed after the outbreak of the COVID-
19 pandemic. The UN-ECLAC-UNESCO (2020) report indicated that 32 of the
33 countries in Latin America and the Caribbean region had to suspend their school
activities due to the pandemic. The outbreak caused a series of problems related to
academics and food and nutrition shortages in the student population, especially in
the most vulnerable regions, such as isolated areas and those outside the large cities.
The pandemic also resulted in psychological complications, such as the anguish
of those who did not receive adequate educational care. Furthermore, with the
transition to an online educational system, the education of children and young
people became increasingly dependent on their parents, who were suddenly asked to
follow schedules and tasks previously performed by teachers, which is a situation
not recommended for the long term (Formosinho 2021). This scenario led to stress
among parents, who saw their role change from a complementary role to a primary
role supporting their children’s education as if they were teachers. This stress was
exacerbated for parents of children with developmental difficulties because of their
specific needs (Brklja and Lu 2020). From a gender perspective, COVID-19 dispro-
portionately affected working women who faced significant tension in balancing
their work and domestic roles, including overseeing their children’s schoolwork
(Adisa et al. 2022). Other women reported experiencing panic attacks from having
the infection or sharing the deaths of family members or close friends (Saha et al.
2021; Sifat 2021).
342 N. Munguia
Although high school teachers did their best, they also struggled. Stressors among
teachers during the pandemic were related to the new challenges and demands of
online teaching, which increased their chances of experiencing stress, anxiety,
depression, insomnia, and anger (Truzoli et al. 2021). Adapting to or rapidly learning
web-based platforms was the first source of stress for many teachers, because they
were not used to working in an information technology environment. In addition,
teachers interacted collaboratively with their peers to encourage one another during
remote work, which was not a common practice before the pandemic (Darling-
Hammond and Hyler 2020). However, by the second half of 2021, many countries
began reopening schools from remote learning to hybrid learning models as health
conditions improved. Two years after the start of the COVID-19 pandemic in early
2022, a larger-scale reopening of school systems in the region began to occur, and a
higher proportion of students returned to face-to-face classes. However, not all
countries in the region have been in the same situation.
Because of the specific nature of school systems and each country’s situation,
school openings occur at different rates that vary according to the level of the
recovery process that each government considers independently. However, all
school openings must be subject to prevailing health conditions and each country’s
policies and protocols.
Disruptions in Higher Education

In its 2016 report, UNESCO recognized the critical role that higher education
institutions play in fostering sustainability knowledge that encourages attitudes
that enable a more sustainable society (UNESCO 2016). Furthermore, a novel
study mapping sustainability initiative in higher education institutions in Latin
America confirmed that teaching is a common pathway in guiding students to
develop sustainability knowledge, competencies, and behaviors (Leal-Filho et al.
2021b).
Higher education institutions (HEIs) were no exception to the WHO’s declaration
of the COVID-19 pandemic and restrictions on in-classroom learning, so adjusting
and changing to distance education was necessary. This occurred at universities
worldwide (Cicha et al. 2021). According to a global survey by the International
Association of Universities (IAU) on the impact of COVID-19 on higher education,
98% of the 424 universities surveyed faced disruptions related to COVID-19 in their
teaching and learning activities (Marioni et al. 2020).
Although some universities had used distance learning before the pandemic, their
teaching models were not focused on online instruction. The COVID-19 pandemic
forced universities to adopt digital media in their daily practices to continue remote
teaching (WEF 2020). These changes caused stress among professors, students, and
administrators (Kyne and Thompson 2020).
In addition, given the need to move educational activities to students’ homes,
conflicts and tensions emerged that ranged from access to a home computer and
connectivity (sometimes related to signal quality or connection speeds) to more
significant disputes or concerns, such as anxiety, sleep problems, poor nutrition, and
little or no physical activity. All of these issues harmed students’ health and behavior
patterns. The factors that created these conflicts and tensions for students are
described below.
• Higher Education and International Mobility
The COVID-19 pandemic forced the suspension of international mobility and

student exchanges while disrupting the research activities of 80% of students
(Marioni et al. 2020). The IAU’s global survey indicated that nearly 50% of the
respondents’ research projects were compromised to a certain extent, and 21%
claimed that scientific research was stopped entirely. This situation presented eco-
nomic challenges for international students because of the repercussions of being
away from home, such as searching for accommodations, scholarships, and job
opportunities. As a result, these students were forced to return to their countries or
cancel international travel and remain on hold until further notice. In addition, they
experienced the airline crisis and the closure of borders, which made international
travel impossible for students attending nearly 90% of higher education institutions
worldwide. Furthermore, university partnerships were disrupted for approximately
64% of the responding universities (Leal-Filho et al. 2021a).
• Problems Related to Students’ Health and Behavior
The pandemic led to students’ anxiety, tension, depression, and uncertainty about
the future. The emotional anguish related to the health of relatives, close friends, or
the inability to contact them directly also psychologically affected students. In
addition, their routines changed, including their sleep hours, eating habits, and
recreational or sports activities (Du et al. 2021). The pandemic also revealed the
importance of monitoring students’ mental health and providing psychological
support to help them deal with crises, whether from the COVID-19 pandemic or
other issues that may have affected their professional development. The conse-
quences of facing adversity, whether in the short or long term, can be immeasurable
for cognitive development and can affect learning ability in the long term. Some
students experienced economic problems with needing help to pay for food, housing,
or the additional costs for the internet. HEIs focused on building resilience to the
COVID-19 crisis by implementing innovative approaches to support and encourage
students as they adapt to the new normal.
• The Digital Divide Between Wealthy and Vulnerable Communities
In this chapter, it has been reiterated that the differentiated impact of COVID-19
has been more significant for professors and students in institutions in vulnerable
communities than those in wealthy neighborhoods. The digital divide is a term used
to describe “the gap between individuals, households, businesses, and geographic
areas at different socioeconomic levels with regard both to their opportunities to
access information and communication technologies (ICTs) and to their use of the
Internet for a wide variety of activities” (OECD 2001, p. 5). Before the pandemic,
344 N. Munguia
digital inequalities in terms of higher bandwidth, faster connections, and lower

latency were already presented when comparing countries in the global north and
south (The Internet Society 2019). Further, parallel to the above disparities, the
underlying infrastructure and digital literacy were already shown in educational
systems (Zhang 2023; Li 2022).
While online teaching held the hope of keeping campuses on, it also brought
diverse challenges to higher education institutions, such as connectivity and cyber-
security, that not all could solve promptly, exacerbating preexisting inequalities that
prevent quality education for all (Lorente et al. 2020). Therefore, when authorities in
traditional campus-based universities faced the dilemma of shifting to online instruc-
tion, they did it under different conditions. Moreover, in most cases, the adoption of
ICTs underwent a trial-error process that gradually revealed deficiencies related to
low connectivity access in educational institutions in many countries (Benalcázar
et al. 2022). In a certain way, the latter situation prevented the right of the most
vulnerable people to receive equal education (Kasımoğlu et al. 2022) and widened
the digital divide mainly among older persons and females with a lack of digital
skills (Liu and Fan 2022).
In Latin America and the Caribbean, HEIs, professors, administrative and support
staff, and students have made significant efforts to adapt quickly to the systemic
changes caused by the pandemic and keep alive the hope of meeting SDG 4. Still, it
is not straightforward to predict the outcomes of these measures in crucial indicators
such as avoiding young students dropping out of university. Nevertheless, according
to the UN-ECLAC (2022c), national educational initiatives and policies
implemented in the region make it possible to reach target 4.3, target 4.5, and target
4. b by 2030, and the trend is in the right direction for the rest of the target associated
with SDG 4. Still, progress is slow to meet those targets by 2030.
The Cost of the Pandemic on Education Systems
According to a policy paper issued by UNESCO, there was a US$148 billion annual
financing gap in low- and lower-middle-income countries to achieve SDG 4 from
now until 2030, and COVID-19 has increased the gap immeasurably (UNESCO
2020c). In practice, it is not hard to understand that vulnerable communities are
paying the highest cost in vulnerable regions. According to the 2030 Agenda and
SDG 4, vulnerable groups include children, youth, people with disabilities and
HIV/AIDS, older adults, indigenous people, refugees, internally displaced people,
and migrants (UN 2015: 23). In the core of the SDG 4’s purpose of reaching a more
inclusive, equitable, and sustainable education for all are those vulnerable groups.
Therefore, the aim of SDG 4 led to the need to clarify that everyone’s right to
education must be guaranteed at all levels, including the availability and access to
education and quality, inclusive education adapted to the needs and aspirations of
vulnerable groups (Vargas 2019).
Yet, UNESCO (2022) estimated that two-thirds of the 2020–2021 academic year
was lost worldwide due to school closures. Thus, education should not be
understood only as the knowledge offered in the classroom but should be studied
more logistically to understand the problems associated with an uneducated gener-
ation. For example, data presented in the UN-ECLAC (2021) report showed that,
during the pandemic, incidents of violence increased in Latin America and the
Caribbean, with a 55% increase in physical aggression and a 48% increase in
psychological violence in parenting. Moreover, education represents the key to all
forms of recovery, including economic recovery. Therefore, decreasing the latest
data should be an incentive that helps make the return to face-to-face instruction a
reality. Still, it challenges educational institutions that must strive to offer recovery
and support services, including training teachers to comprehensively support chil-
dren’s needs in their studies (Turkewitz 2021). Higher education institutions also pay
a considerable toll due to the COVID-19 pandemic. Several scholars have
documented different short- and long-term impacts on their daily activities, but
mainly their capacity to teach, conduct research, and student mobility, among
other tasks, was seriously affected (Geryk 2023; Blaskovits et al. 2023; Saeed
et al. 2023; Sin et al. 2023).
The truth is that no single organization or agency could define accurately, in
economic or financial terms, how much COVID-19 has cost, because it has cost
millions of euros or dollars. But what is known is that the COVID-19 pandemic has
placed experts in different public and private settings on developing and analyzing
local and international approaches that help improve teaching conditions to get
ahead as soon as possible while avoiding lags in education levels.
COVID-19 Vision and Resilience Initiatives for SDG 4
The author of this chapter claims that member states stand at a memorable moment
where they can seize an opportunity to address the shortcomings created by the
COVID-19 pandemic. Although the past 3 years have been challenging, the world
and the region are better positioned to respond to the great challenge that still lies
ahead: guarantees an inclusive and equitable education that promotes learning
opportunities for all. Fortunately, governments worldwide approved different vac-
cines, allowing people to reshape their academic lives and return to campuses.
According to Mathieu et al. (2021), there is an estimated vaccine application of
12.24 billion doses worldwide. In turn, the COVID-19 Observatory in Latin America
and the Caribbean currently reports the share of people who received at least one
dose of the vaccine is between 76.91% and 92.71% of the population (UN-ECLAC
2023). Unfortunately, most likely, COVID-19 will continue to spread, and new
mutated variants of SARS-CoV-2 will emerge, creating uncertainty about their
potential threats.
Still, it is time to return to the new normal as best as possible. While it is
impossible to predict with certainty how quickly education systems will fully
recover from the pandemic, the outlook is encouraging. For instance, the United
Nations Centers for Disease Control and Prevention (CDC) predicted that by
February 2023, the number of newly reported COVID-19 deaths would likely
346 N. Munguia
decrease over the following week (CDC 2023). This prediction came true; therefore,
a better outlook is expected for the soon future.
Resuming Education: From Disruption to Recovery
As soon as the pandemic became more manageable, universities prepared plans to

return safely to the new normal. But then, the need for building resilient educational
systems was more than evident (Naidu 2021). Furthermore, the arrival of COVID-19
increased the likelihood of not reaching SDG 4 and all SDGs (Naidoo and Fisher
2020). In Latin America and the Caribbean, the chaos provoked by COVID-19
increased previous educational disparities (Cárdenas et al. 2022). Those increased
disparities were not avoided despite the multi-stakeholder efforts to foster hybrid
systems that combined face-to-face and virtual teaching (Radina and Balakina
2021). Therefore, equalizing opportunities and accelerating long-term progress in
children’s educational rights are significant concerns for most of the governments in
the zone (Reuge et al. 2021). In this sense, UNESCO-IESALC conducted a study to
identify opportunities in Latin America and the Caribbean. For instance, IESALC
(2020) suggested the following guidelines at the higher education level:
• Focus on efforts to ensure continuity with efficient support and follow-up.

• Design pedagogical measures to evaluate and generate learning support mech-
anisms for vulnerable students.
• Document all pedagogical changes and their impacts.
• Learn from mistakes and ensure that digitization and hybridization reach more
students.
In a follow-up report (2021), the UNESCO-IESALC described the following

three possible scenarios to return to the new normal depending on particular
conditions:
(a) Fully open – A return to face-to-face classes.

(b) Partially open – According to the school’s level of opening, there are several
options:
(i) Hybrid by region or by program: Only classes in some programs and
regions where the hybrid scheme is applied are held in person.
(ii) Hybrid by region: Only some regions will open for in-person instruction.
(iii) Hybrid by program: Only some programs, levels, or groups will be offered
in-person instruction.
(iv) Hybrid: All students rely on distance learning.
(c) Closed due to COVID-19 – No classes are held in places where reopening HEIs
is not yet possible.
As Milton Friedman stated: “Only a real or perceived crisis produces real change“
(1982: 7). The current COVID-19 crisis may be a good opportunity for a
fundamental rethinking of higher education, as it must build resilience against future

problems to ensure quality education for all. UNICEF-LACRO (2021 p. 3) shows a
firm relief: “Digital learning could be the great equalizer in education, if technol-
ogies and solutions are scaled up to work for the most vulnerable and marginalized
children and adolescents.” In this context, key stakeholders must keep planning
strategies to ensure quality education while meeting students, households, and
teachers’ emerging educational, economic, and psychosocial needs. However, it is
essential to be realistic and recognize that before institutions invest in digital
solutions, countries must guarantee internet connectivity for everyone (Guevara
Gomez 2021). By 2022, the majority of higher education institutions in the region
had gradually emerged from the effects of the pandemic (Velazquez 2022). Never-
theless, it is still too early to conclude that all obstacles have been overcome.
Perspectives on the Post-COVID-19 Era in Latin American

and Caribbean Region Education
The region’s efforts to progress toward quality education depend on several factors,
such as its economy, social equity, and political stability, which were severely
affected by the pandemic (UN-ECLAC-UNESCO 2020). Nevertheless, according
to a World Bank (2021) publication, the world must act urgently to reverse the
current educational situation in the region.
As previously mentioned, the COVID-19 pandemic imperiled educational insti-
tutions at both the primary and higher education levels, exposing institutional
deficiencies in the infrastructure and training of academic staff in the delivery of
online education (Brown and Salmi 2020). Furthermore, studies have shown signif-
icant inequalities in access to education among children and school-aged people,
suggesting that the Latin America and Caribbean region may take longer to regain
the desired level of education than other regions of the world (UN-ECLAC-
UNESCO 2020).
The problems resulting from the imbalances produced during the pandemic,
including the ability to work online and the quality of learning, may be overwhelm-
ing when returning to the classroom. Considering the socioeconomic conditions of
the countries in the region that have been affected by the pandemic, it can be
assumed that this will be a complicated scenario (Gómez and Uzin 2022). Since
schools have reopened with a hybrid approach, the focus should be on addressing
learning disparities. Countries in the region must measure how the magnitude of
learning inequalities and the incidence of learning loss has affected the implemen-
tation of compensatory educational policies to equalize the situation and avoid lags
as much as possible (Azevedo et al. 2020). Given the pandemic experience, the
future should focus on building inclusive and resilient educational systems that
respond efficiently to crises (van Zanten and van Tulder 2020; World Bank et al.
2021). Success stories in the region have shown promising results in information
management and educational management. For example, adaptive learning
348 N. Munguia
technologies have been used successfully in Ecuador and the Dominican Republic
(World Bank et al. 2021).
The COVID-19 crisis is an excellent opportunity for HEIs to reorganize. How-
ever, the process must be guided resiliently, creating an environment where present
and future concerns can be overcome (Guerrero et al. 2022). The commitment must
mainly be with students from vulnerable groups. Support must also be given to
teachers on the front lines and those overseeing the reorganization. To ensure that the
transition is completed with as few problems as possible, senior administrators must
play an essential role as adjustments are made. According to Ainsworth and Mac-
kenzie (2020), the economy would keep presenting problems for all educational
systems, so it is viable to continue with the combination of hybrid teaching.
It is difficult to specify the long-term effects of the COVID-19 pandemic on the
educational sector, but undoubtedly, education suffered a backslash. Therefore,
efforts aimed at strengthening education systems and rebuilding from the damage
caused by the pandemic are of paramount importance. The pandemic, which sur-
prised all educational and economic systems and society, should serve as an incen-
tive and help spur resilience to generate commitments to all actors so that no student
is left behind, especially the most vulnerable.
Unquestionably, the pandemic has caused significant educational losses in the
region. However, the current crisis is also an opportunity to turn education around in
Latin America and the Caribbean. Of course, efforts are required to improve the
educational situation, but this crisis could generate more inclusive and effective
educational systems that meet the guidelines of SDG 4 (Ferguson and Roofe 2020).
On the other hand, suppose the situation is not seized as an opportunity. In that case,
it may indicate that lessons were ignored from the pandemic, and the problematic
social, digital, and cognitive divides will inevitably deepen in the coming years. This
enormous challenge requires working strategically for adequate recovery and per-
haps reinventing the educational model in Latin America and the Caribbean region.
Build Back Better Together is more than a motivational motto! The lessons learned
during the COVID times must catalyze efforts to meet a more inclusive, equitable,
and sustainable education.
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Community Interactive Social Projects
to Achieving Sustainable Development
Goals: Yucatan’s Rural Areas, Mexico
Francisco Iván Hernández-Cuevas, Javier Becerril García,

Diana Estefanía Castillo-Loeza, and Edith Pereyra de la Rosa
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356
Green Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 360
Agrobiodiversity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 360
Food Security: Economic Access to Food . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361
Materials and Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362
Instruments, Information, and Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363
Poverty Profiles Estimation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363
Impact Assessment Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366
Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369
Impact Assessment Results and Contribution of the SP to SDGs . . . . . . . . . . . . . . . . . . . . . . . . . . 369
Income and Poverty (SDGs 1 and 2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
Green Work (SDG 8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375
Agrobiodiversity (SDGs 2 and 15) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 376
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 378
Abstract
Social, economic, and poverty problems persist worldwide, including in Mexico
and Yucatan, primarily in rural areas. These problems are frequently addressed by
public, private, or social institutions, by designing. The design, implementation,
F. I. Hernández-Cuevas
School of Management, Tourism and Marketing, Universidad Marista de Mérida, Merida, Mexico
e-mail: fhernandez@marista.edu.mx
J. Becerril García (*)
Faculty of Economics, Autonomous University of Yucatán, Merida, Mexico
e-mail: javier.becerril@correo.uady.mx
D. E. Castillo-Loeza · E. Pereyra de la Rosa
Patrimonio, Desarrollo y Sustentabilidad A.C., Merida, Mexico
e-mail: diana.castillo@padesac.org; edith.pereyra@padesac.org

https://doi.org/10.1007/978-3-031-16017-2_31
356 F. I. Hernández-Cuevas et al.
and evaluation of SPs with a focus on the exchange of knowledge through

dialogue – under the framework of the University’s Social Responsibility in
rural areas – have the purpose of addressing these local problems through civil
society and the university, as well as aligning with the Sustainable Development
Goals (SDGs) to 2030. The Autonomous University of Yucatan, with a grant from
the WK Kellogg Foundation, carried out 45 social projects from 2013 to 2017,
covering 22 municipalities in the southern and central areas of the state of
Yucatan. The impact assessment on local development and the fulfillment of the
SDGs at a regional scale were carried out through a quantitative cross-sectional
study with a quasi-experimental design using the propensity score matching
econometric analysis. A total of 313 households were interviewed, with
135 (43.1%) receiving at least one SP. The results indicate a higher monthly
income per capita of $439.76 MXN, a reduction in the probability of food poverty
by 17.5%, a greater use of agrobiodiversity with 4.07 species, and the perfor-
mance of green work in 0.42 of the households that participated in SPs. The
findings show strong evidence of the great potential that civil society and
universities have in achieving SDGs, but above all in strengthening grassroots
capacities in the inhabitants involved in the knowledge exchange.
Keywords
Income · Poverty · Agrobiodiversity · Green work · Maya · Impact assessment
Introduction
The rural population in Mexico is known for being the custodian of the cultural and
traditional legacy inherited by our ancestors. The dynamics in the rural environment
have changed over the years. For instance, in Yucatan, there has been a decline in the
agricultural activities that once dominated the area. Self-consumption production
used to be one of the main sources of food, but now rural households are more
dependent on the market food.
In recent decades, the rural Mayan population diversified their agricultural activ-
ities and began to engage in wage nonagricultural activities. Part of the peasants
diversified their production systems, some included fruit and vegetable production,
others beekeeping and livestock. Those who preferred nonagricultural labor have
opted to establish businesses in the communities or migrate to nearby municipalities,
cities, or abroad for wage-earning work (Yúnez-Naude et al. 2010). However, for
years Mayan population have suffered high levels of marginalization and poverty,
malnutrition, discrimination, and human rights violations (Robles-Zavala 2010).
Public, private, or social institutions design projects to address a problem or
correct an economic, social, or environmental failure in a particular society, like the
rural population in Yucatan. Once designed, the project is implemented to address
the problem. For any institution, it is essential to carry out the impact assessment
(IA) to analyze whether the program corrected addressed a community’s concern.
Community Interactive Social Projects to Achieving Sustainable. . . 357
With the results of the IA, the institution has elements to decide on the objectives and
scope of the original project: redesign it, rethink its objectives, or cancel it.
The impact of a social project is the quantitative magnitude of the change in the
problem of the target population because of the interaction with the lines of action of
the program (products, goods, and services). Therefore, the impact is directly
associated with the social problem that gave rise to the project: inequality, poverty,
malnutrition, morbidity, or increased capacities (Cohen and Martínez 1996).
The Autonomous University of Yucatan (UADY by its acronym in Spanish)
within its Institutional Development Plan (IDP) 2014–2022 considers the
university’s social responsibility (USR) engagement as one of its transversal axis.
The purpose is to actively contribute as higher education institution to the region’s
social and sustainable development. USR implies accountability to stakeholders and
society for the commitments acquired and their activities’ impacts. Within this
framework, the university promotes through the “social management of knowledge”
approach practical positive improvements related to the university research function:
the generation, dissemination, and application of knowledge and epistemological
models applied to development issues, in agreement with the local and regional
agenda (UADY 2017).
The active coloration between the W. K. Kellogg and the University, in mid-2012,
in a first stage, granted financing of US$50,000 to carry out various social projects of
community interaction during the 2013–2017 period. The SPs focused on priority
areas such as family economy, health, nutrition, strengthening of leadership in young
people and women, food security issues, habitat and environmental issues, preven-
tion of domestic violence and addictions, among other issues related to sustainable
and human development of the communities, serving 22 municipalities of high and
very high marginalization and food poverty (Canto 2015). More than 200 academics,
1500 students, 8000 local inhabitants with Mayan identity, and more than 20 aca-
demics from outside UADY have participated in the SPs.
An important particularity of the SPs is that they contemplate community inter-
action and interculturality (interacting among local language – Maya – and Spanish,
as well as respecting the Mayan cosmovision) in real learning scenarios for under-
graduate and graduate students, in all its components: social service, professional
practice, thesis, case study, and volunteering, among others; with the voluntary and
enthusiastic participation of the inhabitants of the communities where the SPs are
implemented (from a bottom-up approach).
An important component of the SPs is the participation of the community
inhabitants. This is critical since they are the ones who raise from the beginning
the issue of concern in their community. Thus, prior to implementation, the project’s
objectives and scope are designed between academics and community inhabitants –
always with the supervision and approval of community authorities. Each SP
contemplates a total duration of 36 months. Figure 1 illustrates the UADY SP
cycle. The theoretical and philosophical support of UADY’s approach to the SPs
incorporates the social management of knowledge, through the exchange between
local Mayan knowledge, grounded in the inhabitants’ cosmovision and the scientific
Fig. 1 Cycle of UADY – Teaching

social projects. (Source: Own Qualification:
elaboration adapted from Diploma in
Parsons (2009)) SP
University
Call for Social
Authorities:
Projects (SP)
objectives &
UADY
scope SP
SP Design:
SP Impact University +
Assessment Community
Inhabitants
Result of the
Call and
Implementation
SP
knowledge of academics, researchers, and students, through a rigorous exercise of

intercultural communication between university students and local inhabitants
(Gabriel 2015). Academics with teaching qualifications and understanding of the
Mayan people and culture with a cognitive and epistemological emphasis participate
in many SPs.
The SPs’ main objective is to execute projects with the participation of aca-
demics, students, and local inhabitants from rural areas of Yucatan to create knowl-
edge and solutions to identified problems deemed as necessary to address by the
local inhabitant, through intercultural communication and knowledge exchange.
Social constructions are the forms of life; what is considered real and true is how
ordinary members of society construct daily reality (Pinch 2015). While knowledge
is the certainty that the phenomena are natural and have specific characteristics
(Berger and Luckman 2001).
For the purposes of impact evaluation, it is understood that community interac-
tion and social construction of knowledge between academics and university stu-
dents with local actors are the beneficiaries of social projects. The theoretical
approach to the social construction of knowledge is the one proposed by Berger
and Luckman (2001):
1. Secondary internalization refers to specialized knowledge, in this case, knowl-

edge related to the production of food of plant and animal origin. This knowledge
is acquired from socialization.
2. Socialization never ends, so local actors compare their knowledge of food
production and the reality of teachers and students.
There is community interaction in the process of social construction of knowl-

edge (SCK) between teachers and students of UADY and local actors. Communi-
cation between both groups is a crucial point for SCK to take place. As Gabriel
(2015) indicates, communication between these groups, which come from different
cultural contexts, is determined by the local context in which this communication is
established. The factors that affect communication are sociocultural, the distribution
of power, and hierarchies, among others.
In order to be more efficient in SPs in which groups from different social contexts
interact, it is convenient to orient communication toward a broad code. This code
will help the speaker, through planning, to express their purposes and experience in
an explicit verbal manner. In contrast, restricted codes will not facilitate verbal
expression because they focus on identifying a social group. For example, local
actors who perform Mayan rituals or ceremonies have a greater understanding of
these processes compared to young people from the same context who have not
participated in such ceremonies and do not understand the meaning of the
words used.
Gabriel (2015) suggests that for communication between both groups that come
from different cultural contexts, it is necessary to establish dialogues based on a
balanced relationship and share a common interest in knowledge. Likewise, he
indicates that this exchange of knowledge based on an equitable relationship man-
aged with ethics and personal conduct will result in the value of friendship and trust.
The community’s participation is included throughout the different stages of the
SPs: design, implementation, execution, and assessment of its objectives. The
intercultural communication that exists between academics, students, and local
inhabitant consists of
• Emic: the point of view from the local inhabitant

• Etic: the point of view from the external observer, i.e., the academic and students
Therefore, the diagnosis made by academics, called etic, is accepted by emic, the
local actors.
Although several UADY’s and the W.K. Kellogg Foundation SPs address mul-
tiple Sustainable Development Goals (SDG), this chapter focuses on the experience
of evaluating the direct impact of the following SDGs:
• 1 – No poverty at the goal target: By 2030, reduce at least by half the proportion
of men, women, and children of all ages living in poverty in all its dimensions
according to national definitions.
• 2 – Zero hunger at the goal targets: By 2020, maintain the genetic diversity of seeds,
cultivated plants, and farmed and domesticated animals and their related wild species,
through soundly managed and diversified seed and plant banks at the national,
regional, and international levels, and promote access to and fair and equitable
sharing of benefits arising from the utilization of genetic resources and associated
traditional knowledge, as agreed internationally. By 2030, ensure sustainable food
production systems and implement resilient agricultural practices that increase
productivity and production, that help maintain ecosystems, that strengthen capacity
for adaptation to climate change, extreme weather, drought, flooding, and other
disasters, and progressively improve land and soil quality.
• 8 – Decent work and economic growth at the goal target: Improve progressively,
through 2030, global resource efficiency in consumption and production and
work to decouple economic growth from environmental degradation.
• 15 – Life on land at the goal target: Take urgent and significant action to reduce
the degradation of natural habitats, halt the loss of biodiversity, and, by 2020,
protect and prevent the extinction of threatened species.
And an indirect impact in SDG 4 – Quality education for the theoretical an

empiric approximation of the social projects in rural areas from Yucatan, Mexico.
Green Work
Work is, in principle, an act that happens between man and nature; however, the
concept of work also considers the exchanges between man and nature within specific
social conditions (Hirata and Zariffian 2007). Therefore, a double aspect of work is
distinguished: the man/nature relationship and the relationship between man/man.
In its most basic form, green work reduces the negative environmental impact on
the status quo (Annandale et al. 2004; Martinez-Fernandez et al. 2010). However, for
this study, the operational definition provided by the ILO (2014) is used, which
defines green work as any position that (1) generates a product or service related to
the environment (efficiency, conservation); (2) helps to be more sustainable in any
process in their respective industry; and (3) drives a decent job.
According to the ILO (2014), the economic sectors that show a higher percentage
of environmental jobs, in relation to the total number of people involved in the
economic activity, are renewable energy (22%), waste recycling (12%), sustainable
construction (11%), forest use and reforestation (8%) and clean industry (7%),
organic agriculture (6%), sustainable tourism (2%), and government (2%).
Agrobiodiversity
According to Smale (2006), agrobiodiversity is the plant and animal diversity used
in food production and agriculture, livelihood sustainability, and ecosystem conser-
vation. The loss of agrobiodiversity is an alarming problem; in the last 100 years,
90% of crop diversity and more than 600 livestock races have been lost
(CIP-UPWARD 2003). There is concern in the government agenda, as well as in
civil society organizations (CSOs) and certainly in academia (universities and
research centers). The government, nongovernmental organizations (NGOs), and
academia are actively involved in trying to reverse the loss through public policy
programs, USR plans and research, innovation, and technology transfer projects,
among many other actions.
In Mexico, agriculture that allows the continuity, maintenance, and in situ
conservation of native agrobiodiversity is performed in rural areas. For instance, in
the rural areas of Yucatan, these include activities in the home garden – locally called
Solar (is where the dwelling and the backyard are located; it includes the area of
cultivated plants or vegetation and livestock or backyard animals). It has a solid link
to the social and cultural aspects of the families that use it (García de Miguel 2000;
Mariaca Méndez 2012), or backyard with crops and animals, apiculture, and the
Milpa (an agroecological system, intercropping maize, beans, and squash), which
allow for the conservation of agrobiodiversity. These practices are characteristic of
traditional agriculture and are related to the Mayan cosmovision, have a low impact
on the agroecosystem, and are characterized by the transmission of knowledge from
generation to generation (Hernández Xolocotzi 1988).
Food Security: Economic Access to Food
In 1974, at the World Food Summit, the concept of food security was defined, from
the point of view of food supply: “That there be sufficient global stocks of basic
foods at all times to maintain a constant expansion of consumption . . .” (FAO 2015).
In 1996, food security was redefined: “As the state in which all people have, at all
times, physical, social and economic access to sufficient, safe and nutritious food
that satisfies their daily energy needs and food preferences to lead an active and
healthy life” (FAO 1996).
Economic access to food is related to the purchasing power of the members that
make up a household and according to the National Council for the Evaluation of
Social Development Policy (CONEVAL by its acronym in Spanish) (2019), the
problem exists when there is an inability to obtain a basic food basket, even if all
income is used from the family unit (household) to acquire it and that allows having
the minimum intake of nutritional requirements, thus defining the “monetary line of
food poverty.” So then, the problem in this analysis focuses on all those inhabitants
who do not have the power to buy a basket of food, or food poverty.
In such a way, food poverty is considered in this study as the indicator that
represents the zero-purchasing power of the population to acquire basic foods, i.e., a
dimension of food insecurity.
According to CONEVAL (2020), during the period 2016–2018, extreme poverty
at the national level has been reduced, going from 7.2% in 2016 to 7.0% in 2018, and
8.5% in 2020 inhabitants nationwide. This increase for 2020 can be directly attrib-
uted to COVID-19 mitigation strategies such as physical distancing and the eco-
nomic pause (business closure). In the case of Yucatan, there was an increase in
extreme poverty of 5.5% from 2018 to 2020, exposing a substantial impact on
household income and their diet.
Materials and Methods
The study was carried out using a quantitative approach of quasi-experimental cross-
sectional design and inferential scope. The research was carried out in the homes of
22 localities in 15 municipalities in the southern state of Yucatán (Fig. 2): Yaxcabá,
Maní, Tekom, Chankom, Cantamayec, Tahdziú, Tixcacalcupul, Mayapán, Teabo,
Tzucacab, Mama, Tixmehuac, Sotuta, Hoctún, and Chikidzonot. The State of
Yucatan has a total of 106 municipalities, and Yucatan is one of the 32 Mexican
states, at federal level.
According to data from the Population and Housing Census carried out by the
Statistic and Geography National Institute (INEGI by its acronym in Spanish) in
2010, the number of inhabited private dwellings in these towns is around 13,407. An
essential aspect of the study area is that it is in the so-called “Milpa region,” which is
considered one of the most traditional regions of the state. For example, the
communities belonging to this area had not allowed the dominance of bovine
livestock, citrus farming, and other commercial processes, preserving the Milpa’s
traditional productive dynamics (Fenzi et al. 2015). This characteristic is of vital
importance for the present research because many traditional practices such as the
Milpa are agroecological systems that contribute to biodiversity and, therefore, are
green work.
Fig. 2 Study area. (Source: Own elaboration based on INEGI (2015))

To estimate the study sample, a simple sampling of the total population in the
15 municipalities according to the information from INEGI (2010) was used.
Applying the sample size formula provided by (Stephens and Spiegel 2009):
Z 2α ∙N∙p∙q
n¼
i2 ðN 1Þ þ Z2α ∙p∙q
where n is the sample size, N is the population size, z is the value corresponding to
the Gaussian distribution, Zα ¼ 0.05 ¼ 0.05 ¼ 1.96, p is the expected prevalence of the
parameter to be evaluated (p ¼ 0.5), q is 1 p (q ¼ 0.5), and i is the expected error
(6%, i ¼ 0.06).
For the sample distribution among the 22 localities (Table 1), the criterion of the
number of projects currently in operation by the UADY in conjunction with the
W. K. Kellogg Foundation was used. A minimum of 265 households were needed to
maintain sample representativity. Therefore, the 265 households were distributed by
their percentage weight of the total number of projects that were carried out in the
localities. It is essential to mention that, due to the probability of not finding a
participating household, an additional 20% of interviews were considered, resulting
in at least 313 households being interviewed.
Instruments, Information, and Sources
The information from the households of small rural producers was collected through
a complete income survey. The instrument collects information on each member
who lives in the household, demographic information, and for each member, their
economic activity, number of beneficiaries of public policy programs, and a com-
prehensive household spending component, as well as education and health. The
survey contains up to 20 sections (Table 2), and in each section 20 questions, i.e.,
400 questions, most of them close ended.
The survey period was from February 2017 to June 2017. All interviews were
conducted physically and directed to the head of the household (woman or man). All
the information collected was captured in a spreadsheet, which was later exported to
statistical and econometric analysis software to obtain estimates and calculations.
Poverty Profiles Estimation
The monetary approach to poverty focuses on income or expenses to measure

poverty and uses it to determine the amount of money to reduce the incidence of
poverty. Therefore, this approach assumes that differences in income or consumption
expenditures can summarize differences in the population’s welfare; i.e., poor
households/individuals are defined by insufficient income to cover the cost of certain
essential goods. Therefore, depending on the unit of analysis, all households or
364
Table 1 List of households in the study area and sample

Municipality Location Inhabited houses UADY–Kellogg Programs Proportion (%) Sample
1 Yaxcabá Chimay 25 3 7.69 20
Yaxunáh 162 8 20.51 54
Kancabzonot 253 3 7.69 30
Libre Unión 426 1 2.56 20
Popolá 50 1 2.56 7
Tiholop 317 1 2.56 7
Yaxcabá 722 1 2.56 7
2 Cantamayec Cantamayec 375 2 5.13 13
Cholul 94 1 2.56 7
3 Mayapán Mayapán 754 3 7.69 20
4 Maní Maní 982 2 5.13 13
Tipikal 220 1 2.56 7
5 Tixcacalcupul Tixcacalcupul 773 1 2.56 7
6 Tekom Tekom 536 1 2.56 7
7 Chankom Chankom 161 1 2.56 7
8 Tahdziú Tahdziú 737 3 7.69 20
9 Tzucacab Tzucacab 2263 1 2.56 7
10 Mama Mama 752 1 2.56 7
11 Teabo Teabo 1359 1 2.56 7
12 Sotuta Sotuta 1326 1 2.56 7
13 Tixmehuac Dzutóh 32 1 2.56 7
14 Hoctún San José Oriente 211 1 2.56 7
Total 12,530 39 100 265
Source: Own elaboration based on INEGI (2010)
F. I. Hernández-Cuevas et al.
Table 2 Sections of the full income survey

Section Description Section Description
I Demography XI Other activities
II Education XII Frequency of food consumption
III Income from activity XIII Housing characteristics
IV Economic activities XIV Credit
V Economic activity XV Natural resources (use)
VI Agriculture activity XVI Public policy programs
VII Solar activity XVII Decent job
VIII Solar activity animals XVIII Household assets – expenses
IX Solar activity XIX Group memberships
X Beekeeping XX Health of household members
Source: Own elaboration
individuals transform income into well-being in the same way (Bourguignon and
Spadaro 2003).
Therefore, a poverty line can be interpreted as a point in the consumer spending
function, which gives the minimum cost for a household to reach a given level of
utility at prevailing prices and for specific household characteristics (Ravallion
2000).
In economic terms, a household with a vector x of characteristics consumes a
specific basket of goods in quantities q. These household preferences can be
expressed in a utility function u (q, x) that assigns a unique number to each possible
q, given x. Therefore, the consumer spending function is e ( p, x, u), representing the
minimum cost of a utility level u for a household with characteristics x when faced
with a price vector p (Ravallion 2000). Therefore, for a household that maximizes its
utility, the utility level uz is necessary to avoid falling into poverty, then, the poverty
line can be expressed as
z ¼ eðp, x, uzÞ
The wide use of the monetary approach to the measurement of poverty has been
justified in two main aspects: (1) it is based on the approach of minimum rights,
where a certain basic income is considered a right due to the freedom of choice that it
offers and not by the level of utility it can provide; and (2) the use of a monetary
indicator is used not because it is capable of measuring utility, but because it assumes
that it can appropriately substitute for other aspects of well-being and poverty itself
(Ruggeri et al. 2003).
To estimate the monetary poverty lines, data from CONEVAL (2017) for rural
consumption baskets was used, which identify three measures of poverty incidence:
(1) food poverty (line 1), which referred to the population whose income monthly
per capita is not enough to purchase a basic food basket; (2) poverty of capabilities
(line 2), a population whose monthly per capita income is not enough to purchase the
basic food basket and, in addition, meet the necessary expenses in health and
education; and (3) heritage poverty (line 3), i.e., a population whose monthly per
Table 3 Poverty monetary Poverty line Range ($MX) Nominal value

lines
Food poverty $0–979.42 1
Poverty of capabilities $979.43–1209.03 2
Heritage poverty $1209.04–1576.07 3
Not poor $1576.08 0
Source: Own elaboration based on data from CONEVAL (2017)
capita income is not enough to meet the expenses in food, health, education, and, in
addition, the necessary expenses in housing, clothing, and transportation.
From the above, the monthly costs per capita for rural areas by the poverty line
were as follows: line 1 of food poverty ¼ MX $979.42 (US$47.47); line 2 of poverty
of capacities ¼ MX $1209.03 (US$58.60); and finally line 3 of equity ¼ MX
$1576.07 (US$76.39) (Table 3).
In the case of the severity of poverty, it is necessary to calculate the Foster, Greer,
and Thorbecke Index or FGT (1984). It can be noted as
1 q z yi α
Pα ¼
n i¼1 z
where z is the poverty line, yi is the ith lowest income, n is the total population, q is
the number of persons/households who are poor, and α 0 is a “poverty aversion”
parameter. The FGT index allows to measure the incidence of poverty through the
variation of α; for α ¼ 0, the incidence of poverty is obtained; for α ¼ 1, the poverty
gap, and finally, for α ¼ 2, the severity of poverty. The FGT index was calculated
using the PovDeco Module in STATA 17 ®.
For the complementary calculations to the levels of income inequality, the Gini
coefficient and the graphic expression with the Lorenz curve were used, which
represents the accumulated percentage of income (% Yi) received by a specific
population group (% Pi) ordered in ascending order according to the amount of
their income (Medina 2001).
Impact Assessment Method
The impact assessment aims to identify changes in the well-being (social and
economic) of the inhabitants of the beneficiary communities. In other words, its
objective is to demonstrate the cause-and-effect relationship between the activities of
the SPs and the benefits generated, and not that these would have occurred anyway in
a “without projects” scenario (Vanclay et al. 2015; Richards and Panfil 2011;
Khandker et al. 2010). In such a way, the possible improvement detected in the
conditions of rural households is caused by the programmed activities and not due to
other factors.
To identify the incidence of the actions carried out by the social projects financed
by W. K. Kellogg’s, a propensity score matching (PSM) method was used. The PSM
constructs a statistical comparison group based on a treatment participation
probability model using observed characteristics. Based on this probability, or

propensity index, beneficiaries are then matched with non-beneficiaries. The average
treatment effect of the program is calculated as the difference of means in the results
of these two groups (Khandker et al. 2010). Following this methodology, it is
possible to identify the incidence of the projects on the participants.
Considering the above, the well-being assumption that individuals assume mea-
sured from their income was established for the decisions to participate in social
projects, as a linear function of a vector of explanatory variables (Xi) and a dichot-
omous variable of participation (Ri). The linear regression equation can be specified
as
Y i ¼ X’i bv þ d Ri þ ui ð1Þ
where Yi, is the average monthly income of individual i; the literal ui is the random
error term with normal distribution; and Ri is the dichotomous variable 1 or 0 about
being a beneficiary or not of social projects; Ri ¼ 1 if the household is a beneficiary
of the social projects financed by the W. K. Kellogg and Ri ¼ 0 in any other type of
situation. The vector X’i represents the characteristics of the individual, his home,
and the locality where he lives. The decision of individuals to participate in social
projects or not is independent of the profile of individuals or their households
because the decision of a household to participate (or not) is based on their own
decisions; in other words, it is not a random decision.
If individuals take a neutral risk in the decision to participate in social projects,
then the function of the decision to be a beneficiary of the project can be expressed as
R I ¼ X’I g þ ei ð2Þ
where R*I is a latent variable that denotes the difference between the utility of
participating in social projects, USPi, and the utility or benefit of not participating
in social projects, UNSP. The individual will decide to participate in social projects if,
R*I ¼ USPi UNSP > 0. The term X’Ig provides an estimator of the difference in the
utility of participating in social projects (USPi UNSP) using the profile of the
individuals and the physical characteristics of their households Xi, as explanatory
variables, while ei is the error term.
For the estimation of Eqs. (1) and (2), it is necessary to describe the relationship
between being a participant in social projects and their income level, equations that
could be interdependent. Being a beneficiary of social projects could help increase
household income and contribute to changing or not the condition of poverty (from
poor to nonpoor home). Therefore, the assignment of “treatment (an individual who
is beneficiary of social projects)” is not random; it will be systematically different
within the group of beneficiaries of social projects. In particular, the bias in self-
choice occurs if the unobservable factors influence both error terms in the income
equation (ui), and in the decision to participate or not participate (ei), which may
result in correlation in the disturbance terms in the income (1) and decision
(2) equations. Hence, estimating Eq. (1) through ordinary least squares (OLS) is
incorrect because biased and inefficient estimators would be obtained.
The PSM method does not need assumptions about the functional form to model a
specific relationship between the results and the prediction of the results. However,
the drawback of the PSM model is the conditional independence assumption (CIA),
which states that, for a given set of covariates, participation is independent of
potential outcomes.
The average treatment effect (ATE) is an essential element in assessing the
impacts of individuals who are beneficiaries of social projects and those who are
not. Taking Roseanbaun and Rubin (1983) into consideration, the ATE (Di) is
defined in a counterfactual framework as
Di ¼ Y SP i Y NSP i ð3Þ
YSPi YNSPi denotes the income of an individual i who is a beneficiary of social

projects (SP) and the individual who is not, respectively. For the estimation of the
impact of Eq. (3), the problem arises because for an individual YSPi or YNSPi is only
known, but not for both individuals. This can usually be expressed as
Y I ¼ Di Y SP i þ ð1 Di Þ Y NSP i Di ¼ 0,1 ð4Þ
Denoting P as the probability of observing an individual with D ¼ 1, the mean

treatment effect (ATE), τ, can be specified as
τ ¼ P E Y SP jD ¼ 1 E Y NSP jD ¼ 1 þ ð 1 PÞ
E Y jD ¼ 0 E Y
SP NSP
jD ¼ 0 ð5Þ
Equation (5) implies that the effect of participating in social projects for the entire
sample is the average weight of the effect of participating of all individuals in social
projects (treatments) and those who do not participate (controls), with each weight
by its relative frequency. The main problem of causal inference comes from the fact
that the unobservable counterfactuals, E(YSP| Di ¼ 0) y E(YNSP| Di ¼ 0) cannot be
estimated (Smith and Todd 2005).
When data availability does not provide information on the counterfactual situ-
ation, the problem of missing information increases, which is required to directly
estimate the effects on income from being a beneficiary of SP. The analysis of the
general objective of the evaluation addresses the problem mentioned above using the
PSM method that summarizes the characteristics of the pretreatments for each
objective within an index variable, then uses the propensity score to be matched
with individuals’ similarities (Rosenbaum and Rubin 1983). The PSM, which is the
probability of being assigned to conditioned treatment on pretreatment variables, is
assigned by
pðXÞ ¼ Pr½D ¼ 1jX ¼ E½DjX; pðXÞ ¼ FfbðXi Þg ð6Þ

where F {} represents a normal or logistic cumulative distribution, and X is a vector

of pretreatment characteristics.
Two essential assumptions are required to estimate treatment effects based on the
PSM method. The first assumption is conditional independence mentioned above.
The second assumption is the average treatment effect for treatments (ATT), defined
only within the standard support region. These assumptions ensure that individuals
with the same values of the characteristic vector X have a positive probability of
being participants or not (Heckman et al. 1998).
Once the propensity score is calculated, the ATT can be estimated through
ATT ¼ E Y SP i Y NSP i jDi ¼ 1 ,
ATT ¼ E E Y SP i Y NSP i jDi ¼ 1 , pðXI Þ ,
ATT ¼ E E Y SP i jDi ¼ 1, pðXÞ E Y NSP i jDi ¼ 0, pðXÞ jDi ¼ 1
Different methods have been put in the literature to match similar individuals who
are beneficiaries or nonbeneficiaries. However, the commonly used method is the
“nearest neighbor” (NNM) and the Kernel-based (KBM). The NNM method consists
of matching everyone with treatment and control or, in other words, the individual as
similar as possible who is a beneficiary with who is not a beneficiary of social
projects. This method is usually applied with replacements. The second step is to
calculate the differences, for this case, the monthly per capita income, for each “pair”
of paired units, and finally, the ATT is obtained as the average of all the differences.
The denotation of the PSM applied to monthly per capita income was replicated for
the other independent variables: agrobiodiversity, food poverty, and green agricul-
tural work.
In summary, the variables used for the econometric calculations are described in
Table 4.
Results
Impact Assessment Results and Contribution of the SP to SDGs
Of the 313 households that make up the sample, 135 were participants with at least
one SP from UADY (treatment group), and 179 were not participants (control
group). A mean difference analysis and Student’s t-test were performed for the
households that participated in at least one social project and those who did not
participate in the descriptive statistical analysis. The results are shown in Table 5.
From Table 5, it is possible to observe a difference in the total annual income of
the households that participate in the social projects versus those that do not.
However, the Student’s t-value was not significant. On the other hand, the house-
hold’s productive activities turned out to be significant, specifically those related to
Table 4 Variables of the methodological framework

Variable Definition Type
Dependent variable
Monthly income Amount of money received monthly per person in Mexican Continuous
per capita pesos
Green agricultural Number of green agricultural work carried out by the Continuous
work household: Milpa, beekeeping, backyard animals’
management and home gardens
Food poverty If the household has a monthly per capita income between Dummy
$979.43 and $1209.03 Mexican pesos
Agrobiodiversity Number of diversity units of crops, animal, and bees’ Continuous
management in Milpa and home garden
Independent variable
Household’s head 1 if the head of the household is male Dummy
sex
Household’s head Age in years of the head of the household Continuous
age
Household’s head Years of formal education of the head of the household Continuous
education
Household’s head 1 if the head of the household speaks the Mayan language Dummy
speaks Maya
Family size Number of members living in the same household Continuous
Public policy Number of public policy programs that the household and Continuous
programs its members receive
Car 1 if the household has the asset Dummy
Radio 1 if the household has the asset Dummy
Tricycle 1 if the household has the asset Dummy
Firewood 1 if the household uses firewood as its main fuel Dummy
Deer hunt 1 if the household conducts deer hunting Dummy
Source: Own elaboration
greater use of biodiversity on the site (number of crops) and the performance of
agroecological activities such as the Milpa. The production of the Milpa tends to be
for family self-consumption and is not intended for sale since there are few surpluses
for this purpose (Turrent Fernández et al. 2012).
There would be a big difference in the availability of animals that the household
has if it participated in the programs of social projects versus those that did not. The
realization of beekeeping has been present in most Mayan households in the Yucatan
peninsula (Toledo et al. 2008); this variable is consistent with other studies that
indicate that beekeeping contributes to household development because it represents
an important source of income (Becerril García and Hernández Cuevas 2020). It is
compatible with sustainable rural development by promoting ecosystem services in
its operation (Hernández Cuevas 2018).
From the analysis according to their participation in social projects (Table 6), the
statistically significant variables were possession of “motorcycle,” “television,”
Table 5 Sociodemographic data by household (t-test)

Does not participate Participate
Variable in SP in SP t-Value
Total annual income (MX$) 44,004.26 53,521.63 1.21
Household’s head (1 ¼ man) 0.84 0.81 0.64
Household’s head age 50.42 46.42 2.37
Household’s head education 5.11 6.02 2.07
Family size 4.15 4.37 1.01
Solar 0.99 0.97 1.29
Solar crops 5.69 8.43 5.50
Milpa crops 2.14 2.8 2.59
Milpa 0.67 0.78 2.18
Beekeeping 0.16 0.39 4.72
Total animals 20.52 25.68 1.88
Public policy programs (number) 2.72 3.40 4.17
Direct transfers of public policy 10,552.18 8919.52 1.62
programs
Handicrafts 0.49 0.57 1.33
Household’s head health (1 ¼ good) 0.59 0.58 0.18
Firewood 0.89 0.91 0.59
Hunt deer (1 ¼ yes) 0.07 0.20 3.35
Gather medicinal plants (1 ¼ yes) 0.02 0.11 3.20
Source: Own elaboration based on data collected, n ¼ 313
Table 6 Available goods Participated in SP

Assets available in the home
according to participation in
(1 ¼ if it had) No Yes t-Value
SPs (t-test)
Car 0.04 0.03 0.22
Motorcycle 0.08 0.15 1.79
Tricycle 0.28 0.34 1.25
Bike 0.81 0.77 0.85
TV 0.82 0.92 2.69
Refrigerator 0.48 0.46 0.36
LP gas stove 0.11 0.15 1.04
Radio 0.49 0.48 0.13
Washing machine 0.51 0.65 2.39
Computer 0.08 0.17 2.31
Cell phone 0.54 0.61 1.23
Tablet 0.04 0.05 0.28
“washing machine,” and “computer,” all in favor of those who did participate in
social projects.
Contemplating the descriptive statistical information by the Student’s t-test, a
logistic model of participation in social projects was built, which works for the
impact estimates by propensity score matching. The results are presented in Table 7.
Table 7 Data from the logistic regression model for SPs’ beneficiaries
Variable Coefficient Standard error z P>z
Household’s head sex (1 ¼ man) 0.378 0.327 1.15 0.249
Household’s head age 0.014 0.010 1.46 0.145
Household’s head education 0.059 0.037 1.58 0.113
Household’s head speaks Maya (1 ¼ yes) 0.118 0.624 0.19 0.849
Family size 0.027 0.068 0.40 0.693
Public policy programs (number) 0.266 0.088 3.02 0.003*
Has a car 0.167 0.589 0.28 0.776
Has a radio 0.175 0.248 0.71 0.478
Has a tricycle 0.390 0.267 1.46 0.145
Collects firewood (1 ¼ yes) 0.008 0.449 0.02 0.985
Hunts deer (1 ¼ yes) 0.927 0.371 2.49 0.013*
_Constant 0.501 1.162 0.43 0.66
n ¼ 313; LR chi2(11) ¼ 30.98; Prob > chi2 ¼ 0.0011; pseudo R2 ¼ 0.0724; *P < 0.05
Source: Own elaboration based on data collected 2017
Table 8 Results of the impact evaluation with propensity score matching

Algorithm
PSM-Logit Outcome Treated Controls Difference t-stat
ATT Household monthly per 1206.76 961.12 245.63 2.42
capita income
ATT Food poverty 0.48 0.64 0.16 1.91
ATT Green agricultural work 2.57 2.16 0.41 2.26
ATT Agrobiodiversity 13.83 9.76 4.07 3.88
Source: Own elaboration based on data collected. n ¼ 313, number of treatments ¼ 135, number of
controls ¼ 178
The logistic model results showed that the variables’ number of public policy
programs that the household receives and the fact of dedicating themselves to deer
hunting increase the probabilities of participating with statistical significance.
With the logistic model results, it was possible to estimate the impacts on each of
the dependent variables. The results are detailed in Table 8.
As observed in Table 8, being part of a social project from the UADY enables the
household to produce four times more diversity in crops and animals than a
household that does not participate. SPs with community interaction and knowledge
exchange through dialogue to address problems in Yucatan have had a positive
impact on rural households’ agrobiodiversity since the programs allow for the
maintenance and continuity of the agricultural and animal diversity in most farming
systems such as Milpa, home garden, backyard animal, and apiculture. The SPs were
first implemented in 2013, and one of the areas of emphasis was the strengthening of
productive capabilities and agroecological knowledge. These results indicate that the
knowledge provided has been internalized over the years by household participants
of the projects, which is reflected in their traditional agricultural practices and,
therefore, in the production of local agrobiodiversity.
In this sense, the promotion of agrobiodiversity is enhanced by the increase in

green agricultural work carried out by households who participate in SP, which
allows economic support in rural areas, compatible with economic growth and
improvement of environmental conditions. This is also reflected in the monthly
income per capita of $254.63MXN (US$12). The impact on the total monthly per
capita income of beneficiaries of social projects in the territory is undoubtedly due to
the construction of social knowledge and skills, promoted by the UADY’s SPs.
Thus, it is concluded that the beneficiary inhabitants of social projects generate
capacities, and these capacities provide an essential source of income for their
families and the territory. This monetary resource is net, which, together with the
capacities in solving health, environmental, and habitat problems, makes part of the
population deciding to work in some productive activity to help the precarious
economic conditions of households with high and very high marginalization. This
means that the households that participated in the social projects managed to reduce
the situation of food poverty by 16%.
Income and Poverty (SDGs 1 and 2)
The annual income of rural households interviewed behaved as follows: 17.46%

derived from direct transfers of public policy programs that represent an average
annual total of $7649.78MXN, 29.92% from green agricultural work representing
$13,106.04MXN average annual pesos, and finally 52.61% of other activities where
salaried, nonsalaried, and non-green work are integrated, with an average of
$23,046.61 MXN pesos/year in such a way that the average annual income of a
rural household, according to survey data, is $43,802.45MXN.
Now, of the 313 rural households interviewed, 297 (94.89%) reported doing at
least one green agricultural work; i.e., they mentioned having any of the following
activities: Milpa, beekeeping, management of backyard animals, or home gardens
(Solar). The remaining 16 are engaged in different activities, many of them salaried
in nearby cities (Fig. 3).
Being specific in the income generated by the green agricultural work (GAW), the
activity that generates the most annual income is the Milpa, with 50.08% of the total
income generated by the GAW, which is equivalent to $15,799.23 average annual
pesos/household. In second place is beekeeping with 23.34%, which is equivalent to
$7363.10 MXN/year per household, followed by backyard animals management
with 18.58% of the GAW income, which is equivalent to an average annual income
per household of $5861.81 MXN. Finally, the home garden reports a 7.99% share of
household income by GAW, representing $2522 MXN/year in monetary terms
(Fig. 4).
The FGT index was calculated to estimate the severity of poverty: the incidence
through the variation of α; i.e., for α ¼ 0, the incidence of poverty is obtained; for
α ¼ 1, the poverty gap, and, finally, for α ¼ 2, the severity of poverty is obtained. The
results of the analysis of the components of poverty can be seen in Table 9.
17.46%
Direct transfers of public
policy programs
52.61%
Other activities
29.92%
Green
Agricultural work
Fig. 3 Household income distribution. (Source: Own elaboration based on data collected, n ¼ 313)
Fig. 4 Percentage of annual 7.99%

income generated by type of Home gardens
green agricultural work. 23.34%
(Source: Own elaboration Beekeeping
based on data collected,
n ¼ 313)
50.08%
Milpa
18.58%
Backyard animals
management
Table 9 FGT index for FGT index α

food poverty line 1
α0: Incidence 0.65
α1: Depth or intensity 0.38
α2: Severity 0.27
Number of inhabitants ¼ 1331 313 households
Source: Own elaboration based on data collected. Estimations were
calculated with PovDeco on STATA ®
For more detailed information, the calculation was carried out considering the
participants of the SP and nonbeneficiaries. The results are shown in Table 10.
Following the same scheme, the Gini coefficient was calculated for both groups,
resulting in 0.54 for households that are not beneficiaries of social projects and 0.57
for households that are beneficiaries of social projects. This data suggests greater
inequality in the monthly income of households that are beneficiaries of social
Table 10 FGT index for food poverty line 1 by participation in SP

FGT index α households not benefited by SP α households benefited by SP
α0: Incidence 0.69 0.59
α1: Depth or intensity 0.39 0.36
α2: Severity 0.28 0.25
Households ¼ 313 178 households 135 households
Source: Own elaboration based on data collected, n ¼ 313. Estimations were calculated with
PovDeco on STATA ®
Fig. 5 Lorenz curve. (Source: Own elaboration based on data collected, n ¼ 313)
projects. However, it is essential to mention that not all projects were focused on
improving family income, this element being a key factor for this analysis.
On the other hand, the inequality observed in the sample measured through the
Gini inequality coefficient was 0.56, higher than that reported by CONEVAL in
2010 with 0.47; i.e., there is an increase in inequality in income distribution. To
illustrate the behavior of these variables, the Lorenz curve was used in Fig. 5.
Green Work (SDG 8)
The most common GAW activity is the management of backyard animals with
80.83% of the sample, followed by Milpa (71.88%), then by home gardens
(45.69%), and finally beekeeping with 26.20% (Table 11).
As there is the possibility of simultaneously carrying out several activities related
to GAW, Table 12 reports the number of this type of work per household.
Table 12 is very revealing since it denotes that 34.82% of the households
interviewed perform at least two GAW in their income diversification and life
Table 11 Green Agricultural green work Frequency %

agricultural work in rural
Milpa 226 72.20
households
Beekeeping 82 26.20
Backyard animal management 252 80.51
Home gardens 177 56.55
Table 12 Number of green agricultural work done per household

Green agricultural work Frequency % Accumulated
0 ¼ none 16 5.11 5.11
1 42 13.42 18.53
2 109 34.82 53.35
3 107 34.19 87.54
4 39 12.46 100.00
Total 313 100.00
support strategy, followed by households that carry out three GAWs with 30.02%
and households that carry out four GAWs with 10.22%. It is essential to mention that
many of the activities of the GAW are complementary to each other; i.e., the Milpa
benefits from beekeeping, and the administration of the family garden complements
the management of backyard animals (Hernández Cuevas et al. 2019).
Agrobiodiversity (SDGs 2 and 15)
Households reported 52 diversities of crops produced in the Milpa; therefore, in

terms of variety, each household has an average of 2.42 diversity of crops in this
production system. The crops most found in household’s Milpa were Maize (Zea
mays), followed by squash (Cucurbita moschata) and beans (Phaseolus vulgaris).
The variety of crops in the home garden (Solar) is greater compared to the crops
reported in the Milpa system; a total of 147 diversity of crops were found in the
households. The most frequently reported crop is sweet orange (Citrus x sinensis), in
190 households, lemon criollo (Citrus aurantifolia Swingle) in 119, tangerine (Cit-
rus x reticulata) in 114, cilantro (Coriandrum sativum) in 108, sour orange (Citrus x
aurantium) in 105, habanero bell pepper (Capsicum chinense) in 85, radish
(Rhaphanus sativus) in 72, plum (Spondias spp.) in 70, tomato (Lycopersicon
esculentum) in 64, mango (Mangifera indica) in 63, coconut (Cocos nucifera) in
54, banana (Musa paradisiaca) in 51, among others. All those crops are an important
component in the diets of the Mayan communities.
Regarding the crops produced in the home gardens, the household members were
asked about the use of the crops. The classification of uses was self-consumption, sale,
ornamental, medicinal, and others. The frequency of each use in each classification
was consumption (85%), and on a lower frequency for sale (9%), ornamental (2%),
medicinal (1%), and less than 1% was other kinds of uses for the crops such as shade,
animal feed, celebrations, and wood.
The highest percentage of use of home garden crops or Solar by households is
self-consumption. Some households reported using the following crops for self-
consumption: sweet orange, lemon, mandarin, sour orange, mango, banana, coconut,
huaya, plum, cilantro, mint, habanero bell pepper, radish, and tomato. The first nine
crops are fruits. Families preferred to cultivate those because it is easier to produce
them since the maintenance and continuity of these crops involve less attention and
work, unlike vegetables.
Some of the crops reported for sale are cilantro, radish, tomato, habanero bell
pepper, sweet orange, tangerine, and sour orange. The families that produce and
consume have a surplus to be able to trade, but only 18% (57) of the families
reported selling at least one crop, a very low number compared to the total number
of families surveyed.
In the home garden, squash and corn are also planted, but less than in the Milpa. It
is also worth noting, according to López Barreto (2017), the home garden is now
used more frequently to planting crops that are traditionally planted in the Milpa, like
squash and corn, due to pests or adverse circumstances in the Milpa. This shows that
Mayan households have adaptation systems to face unfavorable environmental
contingencies.
The diversity of backyard animals was 1.73 on average. The animals managed in
the backyard were classified as poultry (Gallus gallus domesticus), pigs (Sus scrofa
domestica), bovines (Bos taurus), sheep (Ovis orientalis aries), rabbits (Oryctolagus
cuniculus), and horses (Equus ferus caballus). Poultry (roosters, hens, and chickens)
is the most reported species for the household, in 216. They are followed by the pig,
reported in 135 households.
Apiculture is an ancient tradition; still being carried out in Mayan communities
(Sotelo Santos et al. 2012). Rural Mayan households exploit two types of bees, the
stingless bee (Melipona becheii) and the European bee (Apis mellifera) (García-
Frapolli et al. 2008). Nineteen percent of the surveyed households reported produc-
ing honey from Apis mellifera species, while 6% reported producing honey from
Melipona becheii.
Conclusions
The results presented in this chapter are a reliable and statistically significant
example of the role of the SPs implemented by UADY – together with other factors
such as government public policy programs and actions of civil society organizations
– in contributing to increasing the general well-being and the achievement of the
2030 sustainable development goals. A model can be promoted and replicated in
other states of Mexico and other countries seeking to return their investments in
social, environmental, and economic areas.
These effects are explicit in households’ monthly income per capita, the realiza-
tion of green agricultural work, the promotion of local agrobiodiversity in the
traditional agroecological systems like the Milpa and Solar), the reduction of food
poverty, and inequality in monetary terms.
The data collected on the occupations of household members (green agricultural
work) confirm the sustainable ways of life that Ellis (2000) associated with rural
communities, but which are also oriented more to activities with direct economic
retribution, all as a risk prevention mechanism in the face of the increasing oppor-
tunity cost they face.
The theoretical and methodological approach focused on the multi- and interdisci-
plinarity, with the social construction of knowledge that characterized the social
projects financed by W.K. Kellogg Foundation, is framed in the challenge of breaking
the circular chain of accumulation of knowledge per se, described by Bordieu himself
(2002) toward the academia, linking logical and abstract elements of science with
elements of a culture and a language (Pike 1954), as is the Mayan–Yucatecan.
The economic and social dynamics altered by COVID-19 and its variants pose a
solid challenge to continue consolidating and strengthening relations between the
university, society, and private organizations. There is no doubt that the approach
proposed by UADY with social projects serves as a viable alternative for achieving
the SDGs at the local level in the rural areas of Yucatan, but also contributes directly to
national and international goals. In this sense, the methodological and theoretical
approach also proposed in the design and implementation of social projects could
serve as a public policy tool promoted by governments and thus strengthen the social
relations and diminish the adverse effects caused by mitigation measures of the
pandemic.
Acknowledgments Special thanks to all the inhabitants of the localities who gave their invaluable
time to answer all the questions. It is also very important to acknowledge the work of all social
services students, professional practice, thesis students, and volunteers who participated in the
impact evaluation and fieldwork. A deep thanks to Alejandra Garduño, officer of the W.K. Kellogg
Foundation, for her trust placed in preparing this Impact Assessment. To all the leaders and
managers of the Social Projects who gave us the facilities to access their information and results.
To the administrative and accounting staff of the General Coordination of Postgraduate, Research
and Liaison at UADY: Fanny Pérez and María Elena Díaz Escamilla. To Margarita Zarco, head of
the Social Projects Unit. Without a doubt, to the entire UPS team: María Elena Granados, Arleny
Dorantes, and Ericka Uicab. To the UADY General Finance Coordination: Mercy Cárdenas, Ruby
Soberanis, Lucy de la Guerra, and Wendy Castro. Special thanks to Mauricio López Barreto, PhD,
for reviewing the document in English.
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Gender Equity for Sustainable
Development: Barriers and Telehealth
Opportunities During the Pandemic
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 382
Gender Equity and the Sustainable Development Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 384
Enduring Debates in Reproduction and Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 388
Historical Roots of Population Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 390
State Authority and Individual Liberty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 392
The Struggle for Reproductive Autonomy in the Americans and Caribbean Region . . . . . . . . . 395
Expanding Social Movement Directed Telehealth as an Emergency Measure to Save
Lives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 396
Implementing SDG 5 in the Americas as the Pandemic Deepens the Gender Divide . . . . . . . . 398
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 399
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 402
Abstract
According to the Executive Director of the United Nations Population Fund,
sexual and reproductive health rights are the cornerstone of sustainable develop-
ment. This is particularly true in the Americas and the Caribbean Region where,
although birth rates have continued to fall since the 1960s, other metrics of gender
equity, including access to safe reproductive and abortion care, remain severely
limited or entirely out of reach. The COVID-19 pandemic has generated major
setbacks toward Sustainable Development Goal 5: Achieving gender equity,
particularly as poverty increases and healthcare resources are rationed. This
chapter seeks to historicize, contextualize, and analyze continuing struggles
over reproductive health rights, as a key component of sustainability in the
Americas and Caribbean Region. Special attention is paid to the crucial role of
social movements for reproductive health rights that employ novel strategies,
E. N. Shenkin (*)
Department of Sociology and Anthropology, Linfield University, McMinnville, OR, USA
e-mail: eshenkin@linfield.edu

https://doi.org/10.1007/978-3-031-16017-2_38
382 E. N. Shenkin
including the use of telehealth and telemedicine to further gender equity goals in
the region.
Keywords
Reproductive rights · Abortion · Pregnancy · Telehealth · Human rights ·
Sustainable development · Family planning · Pandemic · Latin America
Introduction
A crucial part of the 2030 United Nations Sustainable Development Goals (SDGs)
seek to achieve complete access to sexual and reproductive health information,
education, and services that ensure universal reproductive rights and gender equality.
A recent World Health Organization report estimated that approximately 45% of
abortions are performed in an unsafe manner (WHO 2021a) and that self-
administering home abortions are a “non-invasive, cost-effective, acceptable, and
improve autonomy 12 weeks of pregnancy” (WHO 2020b). At present, healthcare
access, including reproductive and abortion services, remains highly varied (Daniels
2021). Despite forward movement, the Americas and Caribbean Region has some of
the most restrictive abortion laws in the world (Yáñez 2021). While safe access to
abortion care is improving overall, there are notable exceptions. Nicaragua, El
Salvador, the Dominican Republic, and Honduras are the most restrictive, with
total abortion bans in all situations, even in cases of rape or when the mother’s life
is at risk (Associated Press 2021).
In addition, the United States is poised to overturn decades of legal precedent on
abortion rights access as a result of the recent Supreme Court’s shift towards a right-
wing conservative majority after the appointment of three justices under the Trump
Administration, in conjunction with similarly restrictive laws at the state level
(Fisher 2021). The United States’ dominant position in the region also has
far-reaching implications for directing, and limiting, the essential aid work of
nongovernmental organizations (NGOs) that provide health care in the Americas
and Caribbean Region. For example, the Mexico City policy, often referred to as the
“global gag rule,” restricts United States funding for international organizations that
provide reproductive healthcare services if any element of the care offered relates to
information, referrals, or abortion services. The frequently shifting nature of the
global gag rule, which is often implemented by US Republican administrations and
lifted when Democrats regain power, constitutes a major threat to international
organization’s ability to provide consistent care (Yáñez 2021).
At the same time that political and legal barriers emerge, in some countries, to
limit women’s rights and bodily autonomy, trans-national social movements, and
nongovernmental organizations are attempting to fill the needs-gap by providing the
medical information for safe, effective abortion care to those seeking assistance with
family planning who do not have access. A growing body of evidence, based on
longitudinal studies, suggests that telehealth, in conjunction with mail order pills,
Gender Equity for Sustainable Development: Barriers and. . . 383
can largely fill gaps in safe medical abortion access (Guttmacher 2019). In so doing,
these civil society groups constitute a crucial element for furthering Sustainable
Development Goal 5 that seeks to achieve gender equity and empower all women
and girls (United Nations 2021). This is particularly the case in poor, low wealth, and
remote communities where in-person care is limited. These challenges constitute
ongoing cross-national contestations over safe access to abortion services through-
out the Americas and Caribbean region under the COVID-19 pandemic.
Across the region, abortion access in both developed and developing nations is
undergoing consistent progressive transformations as a result of pro-choice feminist
cross-border mobilizing, technological advances, and domestic pressures. At the
same time, national legal frameworks concerning abortion rights remain mixed and
in some cases are regressing (Calkin 2018). There is a need for greater exploration
and discussion of some of the social, legal, technological, and political changes that
are taking place within the Western Hemisphere around this controversial issue.
Particularly during the COVID-19 pandemic, the emerging literature for the efficacy
of telehealth, in conjunction with medical professionals, is a promising means of
delivering safe home abortion care to improve the lives of women and reduce strain
on healthcare systems (Donovan 2019).
Reproduction lies at the center of intersecting claims between individual liberties
and state priorities. Despite the inclusion of reproductive rights and universal access
to abortion services into United Nations (UN) development goals for decades, the
subject remains contentious at the social, political, and policy levels (Roseman and
Reichenbach 2010). Established research suggests that providing readily available
health services and education to women reduces birth rates (McMichael and Weber
2020). In order to place reproductive rights as human rights, the long-term goals of
making empirically based healthcare development policy and educational systems
more robust, despite rapidly changing legal environments, is crucial (Kanem 2022).
Professionally provided telehealth, administered by well-organized civil society
actors, may be of great utility in the interim, particularly during the pandemic.
From an international legal framework, Human Rights Resolutions 42/16 and
6/29 attempt to guarantee full access to sexual and reproductive rights as an essential
part of the right to health for everyone able to become pregnant (UN General
Assembly 2021). In a recent piece for the UN Chronical titled, “Sexual and Repro-
ductive Health and Rights: The Cornerstone of Sustainable Development,” Execu-
tive Director of the United Nations Population Fund, Natalie Kanem, argued that
rapid investment in health, education, and development programs is needed around
the world, particularly for early pregnancy and childbirth complications which are
the main cause of death for girls between 15 and 19 years old. Early pregnancies also
often lead to poverty, decreased employment opportunities, and higher school
dropout rates (Kanem 2022). While many in the global community continue to
push for greater reproductive health rights for sustainable development, real barriers
exist to changing durable state and societal institutions that are rooted in colonial
histories. A recent UN report seeks to contextualize this issue within a gendered
history of international power relations by arguing that:
384 E. N. Shenkin
Controlling sexuality and, in particular, women’s sexuality has its origins in patriarchy.
Patriarchal oppression is not specific to any country or region: it is universal. It has
permeated all societies across the globe and its impact has been devastating. Colonialism
has perpetuated the patriarchal control and oppression of societies and the control of
sexuality. (UN General Assembly, page 4. 2021)
Reproductive rights remain key to nation-building and directly or indirectly

impact a set of diverse issues including taxation, military enlistment, as well as
birth claims to citizenship and state rights. Moreover, the constructed idea of the
nation is often highly gendered and held together by shared repetitive narrative
processes. Within the dominant US culture, as well as many others, a woman’s
identity is often imagined as a culture-bearer and future mother, responsible for
reproducing the nation while simultaneously being denied full access to the public
sphere (Frankfurth 2017). Additionally, reproductive decisions have the capacity to
undermine the authority of existing power structures. As a human right, access to
abortion care is often determined privately by individuals, yet the act remains
inherently political because of the interplay with state power and nation building.
The ability of governments to regulate reproduction through incentivizing certain
groups of people to reproduce while discouraging others is central to issues of
human rights and sustainable development. In addition to legal frameworks that
emphasize equity, new norms must also be set at the community level through
educational institutions and others, to acknowledge women’s liberty and bodily
autonomy.
Gender Equity and the Sustainable Development Goals
The 17 Sustainable Development Goals (SDGs) were formally adopted in 2015 by

all United Nations Member States and function as a global mobilization for changing
our relationships to one another and the planet. SDG Goal 5 seeks to achieve gender
equality and empower all women and girls (UN 2021). Encompassed in this partic-
ular coalitional effort is the project for sexual and reproductive health rights for
sustainable development. On the ground, multiscale feminist organizing continues to
play a crucial role in women’s empowerment throughout the Americas and the
Caribbean Region, and around the world. Particularly in the Global South, where
the economically poorest women often suffer the greatest levels of maternal mortal-
ity, and experience some of the least amounts of control over their own reproductive
health, family planning decisions, and when, if, and how often to have children. The
power of social movements has recent examples of success. Years of feminist
organizing in Argentina resulted in the total legalization of abortion in 2020, during
the first trimester of the year (Luchsinger 2021).
There remains tremendous work to be done. Communities across the region must
acknowledge that lack of access to safe and legal abortions is a major contributor to
mortality and morbidity, with the most vulnerable the highest impacted. There are
several more specific gender equity targets that fit within SDG 5. Targets that directly
address reproductive health decision-making and support the overarching goal of

promoting personal autonomy over state authority include:
Target 5.6: Ensure universal access to sexual and reproductive health and reproductive rights
as agreed in accordance with the Programme of Action of the International Conference on
Population and Development and the Beijing Platform for Action and the outcome docu-
ments of their review conferences.
Target 5.6.1: Proportion of women aged 15–49 years old who make their own informed
decisions regarding sexual relations, contraceptive use and reproductive health care.
Target 5.6.2: Number of countries with laws and regulations that guarantee women aged
15–49 years old access to sexual and reproductive health care, information and education.
(SDG Indicator Metadata, 2022).
As a background to the present-day reproductive rights targets, the United

Nations International Conference on Population and Development (ICPD) was
held in 1994 in Cairo, Egypt, and brought together a diverse set of policy pro-
fessionals, practitioners, and politicians from around the world. This was the first
international consensus for acknowledging the right to reproductive and sexual
health. The conference ultimately led to the Programme of Action that is widely
considered to be a significant shift from the earlier, more narrow goal, of the ICPD to
reduce population and fertility. The Programme of Action includes a broader rights-
based approach to providing information and services for reproductive and sexual
health issues, including the treatment and prevention of HIV, and other sexually
transmitted infections, family planning, safe pregnancy, and safe abortion
(Kanem 2022).
The United States was initially a major supporter of the Program of Action in
1994. However, as politically conservative forces came to dominate in this country
and in many parts of the West, the United States reversed course over the preceding
decade to become a major critic by 2004, weakening the ICPD agenda and reducing
forward movement. Under the Obama Presidency, the United Nations Population
Fund financing was restored and the “Mexico City Policy” commonly known as the
global gag rule, was lifted allowing international organizations to receive US
funding for NGOs who had any abortion-related activities (Roseman and
Reichenbach 2010).
In an attempt to more substantively achieve SDG 5, over 8300 participants and
representatives from over 172 countries met in Nairobi, Kenya, in 2019 at the
Nairobi Summit on ICPD25. The event was intended to overcome diverse barriers.
To keep track of progress after the conference, the High-Level Commission on the
Nairobi Summit on ICPD25 was established. The commission’s first report was
published in 2021 and lays out progress to date, outlining some of the impacts of the
COVID-19 pandemic on SDG 5. To fulfill the pledge to connect reproductive rights
to sustainability, the commission calls for, “attention to how an explicit focus on
bodily autonomy can directly advance gender equality, in line with the rights of
women and girls and as an underpinning of sustainable development” (Luchsinger
2021).
386 E. N. Shenkin
In 2021, as a result of the pandemic, two out of three countries reported disrup-
tions to healthcare operations, with family planning and contraception the most
impacted. A survey from the International Planned Parenthood Federation found
that there have been some improvements in sexual and reproductive health service
access with contraceptive services most likely to be restored. On the other hand,
abortion care is the least likely to be available at levels prior to the pandemic.
Globally, women have lost more jobs than their male counterparts and have had
more difficulty in finding new employment, further rolling back gender equity
targets.
The results of the continuing pandemic have seen investment priorities shift to
vaccines, with only six percent of funding designated for basic healthcare. These
decisions are made by policy makers despite the research that indicates that basic
healthcare systems are crucial for both pandemic response and preparedness and
have a multiplier effect across other sectors of the economy. The Nairobi Summit on
ICPD 25 calls on governments and non-state actors to invest in development
initiatives that promote basic health and welfare including supporting changes to
energy systems for cooking and heating in the home. This often reduces women’s
role in firewood collection and deforestation and reduces the health impacts of
smoke inhalation from indoor air pollution. In addition, water and sanitation ser-
vices, menstrual health, as well as quality sex education that promote bodily
autonomy and empowerment can have tremendous impacts on improving the lives
of women intergenerationally. While the 2019 Nairobi Summit and the 2021 com-
mission report are significant steps forward, both for the stakeholders involved and
the important collaborative task of affirmatively articulating the internationally
agreed-upon language and vision for equity, the outlook remains tenuous. From a
financial standpoint, the UN Population Fund estimates that in order to achieve the
three Sustainable Development Goals by 2030 of (1) ending preventable maternal
mortality, (2) providing full access to family planning services, and (3) ending
gender-based violence and associated practices the cost would be $264 billion,
with a $222 billion gap over the next decade (Luchsinger 2021).
To address funding shortfalls for reproductive and sexual healthcare, private
sector actors, including the Ford Foundation, Bill and Melinda Gates Foundation,
and the Bayer Corporation, have invested larger sums into gender equity projects.
While the impact of these international entities is likely resulting in many positive
domestic and international benefits for women and girls on a host of issues, these
development programs do not necessarily represent democratic decision-making
within communities of the Global South. International and domestic wealth inequal-
ities have become more pronounced, particularly during the COVID-19 pandemic
where wealth has become even more centralized at the top while life has become
more precarious for the vast majority.
While funding for international development projects is in short supply from
states at present due to the pandemic and national priorities, it is important to
contextualize this erosion of the public sphere within austerity policies beginning
in the 1980s that significantly reduced marginal tax rates for corporations and
wealthy individuals and directly led to shrinking social service budgets. This
laissez-faire turn in the Western Hemisphere, under what is often termed neoliber-
alism, has allowed transnational corporations, primarily in the Global North, to
enjoy previously unknown wealth accumulation by select countries, primarily in
the Global South, to do business based on the cheap labor and lax environmental
restrictions. This business practice, termed global labor arbitrage, is currently
dependent upon a highly feminized sweatshop labor force, working far from
home, often in highly authoritarian conditions. While Jeffery Sachs describes sweat-
shops as, “the first rung out of extreme poverty” for women, Cynthia Enloe argues
that corporate strategies are dependent upon using and exploiting local notions of
femininity around the world to make labor cheap. While labor conditions vary by
country, the modernization theory promoted by Sachs is contradicted by empirical
research on wage stagnation and the continued poor living conditions for many
women in sweatshops (McMichael and Weber 2020).
Complex power disparities between the Global North and South are firmly rooted
in historical contexts that reach back to the colonial era. Flows of raw materials,
originating from periphery nations, were transported in successive waves of resource
extraction, to the core nations. Even after the colonial era came to a close and the
economically poorer nations gained de jure independence, international financial
institutions under the Bretton Woods Agreements, namely, the International Mone-
tary Fund (IMF) and the World Bank, remained largely in control of country-level
development policies through structural adjustment programs (SAP) that dictated
the loan priorities and deeply eroded independent forms of development outside the
world system. These institutions often forced conditions of austerity on much of the
Global South and eroded the chance for an independent future (Davis 2006).
Beginning in the 1990s, two decades after the collapse of the Bretton Woods
Agreements in 1973 (IMF 2022), major international agreements, including the
North American Free Trade Agreement (NAFTA) in 1994, Central American Free
Trade Act (CAFTA) in 2005, as well as the updated NAFTA agreement in 2018
named the United States Mexico Canada Agreement (USMCA) in Buenos Aires,
Argentina, at the G20 Summit (Compa and Brooks 2019).
Asymmetrical power relationships remain crucial when considering the philan-
thropic efforts of nongovernmental organizations, transnational corporations, foun-
dations, and other civil society organizations involved in shaping developing
countries. If pathways toward substantive gender equity and sustainable develop-
ment are the overarching goals, then heterodox actors must be included. Keeping an
awareness of the power relations within the development community, composed of
diverse actors, remains important in order to meaningfully achieve the Sustainable
Development Goals. It is therefore key to consider who is at the table and making the
crucial development decisions, particularly in situations where the world’s wealth-
iest individuals, such as the Bill and Melinda Gates Foundation, have taken leader-
ship roles in funding major development initiatives that were once the purview of
nation-states under ostensibly democratic control. Albert Einstein once commented
on the need for democratic decision-making in matters of collective concern in order
to move past the predatory stage of human development. He asserts that:
388 E. N. Shenkin
We should be on our guard not to overestimate science and scientific methods when it is a
question of human problems; and we should not assume that experts are the only ones who
have a right to express themselves on questions affecting the organization of society.
(Einstein 2009)
Therefore, the role of decentralized, grassroots social movements, in combination

with supra-national bodies such as the United Nations, remains key for communi-
cating, developing, and implementing diverse development policies that work at the
international, national, and community levels based on unique circumstances of each
nation-state. In efforts toward this inside-outside approach to women’s empower-
ment in September of 1995, 189 country delegates, 30,000 activists, and 17,000
participants, attended the Fourth World Conference on Women. The culmination,
and by-products of this historic event, was the Beijing Platform for Action and the
Beijing Declaration. As a result of activist-pressures on government representatives,
the resulting commitments are considered significant achievements for guiding
women’s rights, even decades later.
The Beijing Declaration and Platform for Action lists many areas of critical
concern for sustainable development and gender equity. Particularly prescient for
SDG 5 is Chap. IV, article K on women and the environment. The declaration
acknowledges the role of women in production and consumption patterns and
natural resource management. Unsustainable consumption patterns are damaging
and polluting fragile ecosystems that women in particular depend for productive
activities to support their families and communities. The relationship between
poverty and environmental harm exacerbates these risks. For those living on islands
or in low-lying coastal areas, climate-change-driven sea level rise threatens long-
term habitability and continued stable access to resources. As people are forced to
relocate due to extreme weather events, including typhoons and hurricanes, the risks
of violence and conflict increase. When environmental degradation occurs, particu-
larly in urban areas where toxic chemicals impact the bodies of women in different
ways, risks for women’s health are particularly high.
Enduring Debates in Reproduction and Sustainability
The relationship between population and sustainability has remained highly contro-
versial for centuries, for good reason. The implications for top-down human popu-
lation control under the pseudo-science of eugenics have provided the justification
for genocide, and egregious human rights violations for the disabled as well as
ethnic, religious, and sexual minorities. A central historical origin for early debates
about the role of human population within a natural ecosystem was popularized by
the cleric and economist Thomas Malthus in his famous 1872 book: Essay on the
Principle of Population. Although untrained as a biologist, Malthus argued that
human population growth, if left unchecked, would lead to a collapse and starvation
as a result of agricultural production and food supplies being rapidly outstripped by
ever more mouths to feed.
Although the Malthusian collapse theory has been largely debunked based on the
later capacity for rapid production of foods, in combination with declining
populations in Global Northern countries, the relative price of staple foods declines
over the long durée (Bloch and Sapsford 2012). The historical context for Malthus’s
obsession with the population of the peasants was his political opposition to the Poor
Laws, an early form of English social welfare, and his support for the Corn Laws,
draconian tariffs on basic grains that maintained the high price of basic grains that
decreased access to essential food for the poor (Pullen 2008). As an early intellectual
architect of the eugenics movement, Malthus preached that:
Instead of recommending cleanliness to the poor, we should encourage contrary habits. In

our towns we should make the streets narrower, crowd more people into the houses, and
court the return of the plague. (Malthus 1817 p. 127)
While this type of rather disturbing anti-humanist rhetoric is unacceptable within

the present day, and even more so under the current pandemic circumstances, the
debate over the role of population in respect to sustainability resurfaced with
Stanford Biology Professor Paul R. Ehrlich in his now famous 1968 book, The
Population Bomb. The text reformulates elements of the original Malthusian argu-
ments about an impending collapse, brought on by overpopulation, that will lead to
food scarcity, and threaten the lives of millions with famine, starvation, and ecolog-
ical collapse. Ehrlich promotes a number of possible exit strategies in order to avoid
the predicted Malthusian collapse scenario in which population would surpass food
production capacity. He advocated for the creation of a Department of Population
and Environment in the US government, as a global superpower, to lead by example
and reign in reproduction. The department would be tasked with researching and
improving programs that included sex education, contraception, the incentivizing of
smaller family sizes, and promoting voluntary sterilization, and ensuring abortion
rights (Ehrlich 1968).
Two years later, in 1971, biologist and public intellectual Barry Commoner
published The Closing Circle shortly after the first Earth Day. In the text, Commoner
directly responded to Ehrlich’s Malthusian approach to framing population increase
as a main driver of environmental problems. Commoner instead argued that scarcity
and ecological crisis are direct results of technological change within a system of
global capitalism based on constant growth at the expense of people and the planet.
The current dominant political economic system is predicated on the maldistribution
of resources, wealth inequality, and warfare and cannot make peace with the planet.
While Ehrlich argued there is a need for state policies to limit population growth in
order to address environmental crises, Commoner argued that the main driver of
environmental problems was not population, but an economic system fundamentally
at odds with ecological limits (Commoner 2020).
These and other productive public discussions about the relationship between
human population and environmental crisis emerged as a result of the Ehrlich/
Commoner debates and include the well-known mathematical identity: I ¼ PAT as
a means of evaluating human-caused impacts. The model’s four-letter formula stands
390 E. N. Shenkin
for: “Population, Affluence (per capita consumption or production) and Technology

(impact per unit of consumption or production)” to measure anthropogenic environ-
mental Impacts. The IPAT formula is also useful for analyzing individual variables,
for example, the ways in which CO2 emissions tend to increase with wealth.
However, IPAT has limitations in that, as an accounting equation, the formula does
not accommodate for testing hypotheses as known values determine missing values.
Subsequent models that empirically measure human environmental impacts include
STIRPAT (Stochastic Impacts by Regression on Population, Affluence and Tech-
nology) and EE (ecological elasticity) (York et al. 2003 p. 352).
The use of verifiable mathematical and statistical formulas to measure anthropo-
genic environmental impacts can help reveal key factors for sustainability that would
otherwise be overlooked. Although incorporating population as one variable in
determining sustainability can be contentious due to Malthusian connotations, the
explanatory power of these models can assist in directing policy efforts to the most
important issues saving time, resources, and effort toward reaching sustainable
development goals. For example, while many international development projects
focus on family planning and fertility control initiatives focus on the Global South,
the majority of resource consumption takes place in the Global North, with affluence
(wealth) playing a significant role on environmental impacts from air travel, multiple
homes, and other resource-intensive lifestyle choices. These insights can help to
craft feminist sustainable development approaches that seek to empower women to
take control over family planning, rather than blame them for population growth
(McMichael and Weber 2020).
For environmental reasons, greater focus should be placed on the world’s wealthy
families, and other high socioeconomic status (SES) individuals, for their role in
high consumptive lifestyles. High SES people around the world, particularly those in
the top 10% of income earners, account for between 40% and 60% of total green-
house gas emissions globally. While the top 1% of the world accounts for more
emissions than the bottom half of the world population, elite influence on financial
resources, policy initiatives, and as role models is particularly troubling as this small
group has the ability to disproportionate impact on the necessary rapid transition to
renewables through obstructionism due to gross wealth and power inequalities
(Nielsen et al. 2021).
Historical Roots of Population Control
Under the tyranny of the now, early conservation and eugenics movements are
generally considered oppositional to one another because of the currency political
spectrum of left and right-wing alignments. In the early twentieth Century, the US
medical establishment’s serial use of forced sterilization on Black, Indigenous,
Hispanic, and Latinx women, as well as women from southern and eastern Europe
under principles of eugenics, the ideology that humans can be selectively bred for
“better” traits, while eliminating inferior ones (Schickler et al. 2021).
In addition, the US government’s use of harsh immigration restrictions over-

lapped with some conservationist discourses that viewed the social and natural
worlds as becoming degraded and needing caretakers to protect the best people
and natural resources (Allen 2013). In no way are these early strands of eugenics and
conservation ideologies indicative of current trends; however, efforts to confound
the two must be confronted in order to better understand the concepts within the time
periods in which they existed. The founder of Planned Parenthood, Margarette
Sanger, is sometimes falsely associated with the eugenics movement of the early
twentieth century. Revisionist biographers and some critics of reproductive rights
have portrayed Sanger as a eugenicist and racist for decades. The charges that seek to
tarnish her legacy are often misconstrued as seeking to limit some African American
communities who feared birth control as a form of white control over people of color.
Yet, Sanger recognized the horrors associated with a lack of reproductive health
access and devoted her life toward bringing birth control to everyone in the United
States, not just the wealthy (Valenza 1985).
Within an historical context, eugenics was a mainstream ideology within the
medical community at the time that Sanger was attempting to further the nascent
cause of reproductive health rights for many poor, minority, and low wealth women
across the nation. In efforts to raise funding and support for the cause, she did give
speeches at medical events dominated by eugenicist physicians. However, it is
important to consider that Sanger worked with many leading progressive figures at
the time, including W. E. B. Du Bois, the great public intellectual, civil rights leader,
and the first African American to graduate from Harvard with a doctoral degree. Du
Bois, along with Ida B. Wells, Mary Church Terrell, and over 60 other signatories,
co-founded the National Association for the Advancement of Colored People
(NAACP) on the centennial of Abraham Lincoln’s birthday, February 12, 1909
(NAACP 2022). Du Bois, like Sanger, was concerned with population growth as a
matter of human dignity. In a statement to the International Neo-Malthusian and
Birth Control Conference in 1925, he argued that:
Next to the abolition of war in modern civilization comes the regulation of birth by reason
and common sense instead of by chance and ignorance. The solution for both of these
problems of human advance is so perfectly clear and easily accomplished that it is only kept
back by the stupidity of mankind, the utter refusal of even educated persons to face the
problem frankly. While this is, in the highest degree, discouraging, it is, on the other hand,
encouraging to know that only “light, more light” is needed and here as elsewhere we have
simply to keep everlastingly at it to bring ultimate triumph. (Du Bois 1925)
Malthusian and neo-Malthusian League members were proponents of

internationalizing birth control in order to alleviate poverty (Rusterholz 2020). For
many Whites at the time, birth control was viewed as a way to maintain dominant
racial hierarchies. As a critical scholar that integrated both the social sciences and
natural sciences, Du Bois, as well as many anti-imperialists and Black leaders,
supported birth control as a means of empowering Black communities. While Du
Bois did write an article in Birth Control Review arguing that a few Black leaders
should advance a movement of planned population increase to improving the
392 E. N. Shenkin
condition of Black people, this eugenicist argument for Black empowerment must be
understood within the historical context and the greater body of work (Besek et al.
2021). Only through understanding the constraints, conditions, and diverse interests
that figures like Du Bois, Sanger, and many others struggled under a century ago can
we more fully grasp these figures’ struggles for human rights in a more historically
accurate fashion.
Similarly, Sanger’s record of promoting reproductive health rights may be unnec-
essarily tarnished given the dominant historical context of her time when population
control and contraception were receiving increasing amounts of attention and debate
within a national and international context. Many female physicians between 1900
and WWII, although accounting for only about 2% of doctors during the interwar
years, participated in international conferences and, despite their marginalized role
within the western professional healthcare community, were highly influential in
shaping the birth control movement, particularly among British female physicians
(Rusterholz 2020).
State Authority and Individual Liberty
From 2000 to 2017, 27 countries made access to abortion easier with Nicaragua as
the exception (Green 2020). The United States is poised to join the small Central
American country on the list of nations with regressive abortion laws in the
Americas. Although accounting for only about 5% of world population, the United
States occupies a prominent position on the world stage as a major outlier and holds
the dubious distinction as the world’s leader in military spending and incarceration
rates. The United States similarly stands alone as the only wealthy industrialized
country to lack basic social safety net provisions, including universal access to basic
healthcare, childcare, or paid family leave and for the 12th straight year, is the only
country in the Western Hemisphere to carry out executions (Amnesty International
2021).
Mass atrocities, including genocide against Indigenous peoples of the Americas,
and the African slave trade, remain ingrained in US race relations, the legacies of
which remain important factors that can be empirically measured in current incar-
ceration rates by race. African Americans are incarcerated at about five times the rate
of their white counterparts, while Latinx communities are 1.3% more likely to be
imprisoned. Long-standing processes of structural violence can similarly measure
racial divides in access to historic redlining and contemporary predatory home
housing loans, in addition to voter disenfranchisement, lack of access to healthcare,
jobs, education, and other social services, as well as higher rates of state violence
perpetrated by policing. These factors all contribute to a permanent underclass that
makes separating race from class difficult and contributes to worse maternal health
outcomes in black and brown communities.
Stark wealth and income disparities tell a similar story. Recent census data show
that white median household wealth is about $139,300 compared to $12,780 for
black households and $19,990 for Hispanic households (Eggleston and Hays 2019).
The United States remains an outlier on numerous international treaties and has thus
far failed to sign or ratify many of these international agreements. In a 2017 report
from the Global Justice Center asserts that:
The United States is alone among other industrialized Western countries in its reluctance. It
did not begin to ratify major human rights treaties until the late 1980s, taking almost 40 years
to become the 98th country to ratify the Convention on the Prevention and Punishment of the
Crime of Genocide. It still has not ratified many significant human rights treaties, including
the Convention on the Rights of Persons with Disabilities and the International Covenant on
Economic, Social, and Cultural Rights—part of the International Bill of Human Rights. The
United States also has not ratified the Convention on the Elimination of all Forms of
Discrimination Against Women (CEDAW), one of only seven countries who hasn’t includ-
ing Iran, Nauru, Palau, Somalia, Sudan and Tonga. The United States and Somalia are the
only countries that have not ratified (the) Convention on the Rights of the Child. (Wilken
2017)
Major changes to the makeup of the United States Supreme Court under the
Trump administration began with the nomination and appointment of three conser-
vative anti-abortion justices: Brett M. Kavanaugh, Neil M. Gorsuch, and Amy
Coney Barrett. The new conservative majority Supreme Court decided on June 24,
2022, on Dobbs v. Jackson Women’s Health Organization. That challenged the state
of Mississippi’s ban on abortion. Widely considered a referendum on abortion in the
United States, the Dobbs decision struck down almost fifty years of precedent.
The new six to three conservative majority effectively overruled decades of legal
precedent that will functionally removed legal protections for safe, legal abortion
after 15 weeks. The Dobbs ruling overturned the landmark Roe v. Wade case from
1973 that established a constitutional right to abortion access. A Mississippi law,
passed in 2018 by the Republican-dominated legislature, bans abortion after fifteen
weeks, except where there is “a severe fetal abnormality” (Liptak 2021). In antici-
pation of the change in Supreme Court makeup, 26 states have already passed
“trigger laws.” This means that since the Supreme Court allowed the Mississippi
abortion ban to stand, similar laws in over half of the United States have already, or
will soon, go into effect. For a visual representation, refer to Fig. 1 on the infographic
on the following page titled: “If the U.S. Supreme Court Overturns or Guts Roe
v. Wade, 26 States are Certain or Likely to Ban Abortion” (Guttmacher Institute
2021).
The conservative Supreme Court majority has also indicated that the 15-week
abortion ban is up for discussion, opening the door for even more restrictive access
to abortions in the months and years to come. Anti-choice counter-movements take a
variety of forms and approaches toward undermining abortion access. These groups
are often composed of state and non-state actors and organizations that use legal
(litigation, lobbying, fundraising) and extra-legal means (threats, intimidation, and
direct violence against abortion providers) in an attempt to end safe access to
abortion care both in home and in medical clinics across the United States.
Another Texas law uses a novel tactic to make abortion care more difficult by
empowering individuals, from inside or outside the state, to act as bounty hunters
394 E. N. Shenkin
Fig. 1 Source: Guttmacher Institute 2021. Title: “If the U.S. Supreme Court Overturns or Guts Roe
v. Wade, 26 States are Certain or Likely to Ban Abortion.” Infographic, New York: Guttmacher
Institute. https://www.guttmacher.org/article/2021/10/26-states-are-certain-or-likely-ban-abortion-
without-roe-heres-which-ones-and-why
and sue anyone for $10,000, from cabdrivers to family members, who assists
someone in obtaining an abortion after six weeks, when many women do not yet
know that they are pregnant. When this new law, known as Senate Bill 8 (SB8), went
into effect, the number of abortions was almost cut in half and led to patients seeking
these services to travel to surrounding states (BBC 2021). Abortion restrictions and
bans do not significantly change the rates of abortions domestically or internation-
ally. Empirical evidence does show that greater access to contraceptives and sexual
education does decrease abortion numbers. As abortion access becomes more
difficult in the United States, use a variety of techniques to overcome the growing
barriers to these services despite the legal status of the practice.
Abortion clinics, that provide about 97% of all abortions in the United States, are
rapidly closing. Some of the reasons for this decline have to do with the decreasing
frequency of abortion overall in the country, with about 19% less abortions
performed from 2011 to 2017. However, TRAP (targeted regulation of abortion
providers) laws are also having a negative impact on clinics in certain states. While
about 4% of clinics closed their doors with total numbers falling from 838 to
809 clinics. Although this percentage may seem relatively minor, the states where
abortion restrictions were most severe were also those that had the most clinics close.
For example, in the seven-year time period under review, eight clinics closed in the
west, 33 closed in the Midwest, and 50 closed in the south, with half of these in the
state of Texas the second most populous state in the United States with a population
of about 29 million people. At the same time, 59 clinics were added in the northeast
(Nash and Dreweke 2019).
One option for US residents seeking abortion services is to cross the border into
Mexico, into towns such as Reynosa, for access to cheaper and easier over-the-
counter purchase of Misoprostol, one of the two main “abortion pills.” Misoprostol
costs around $50 in Mexico, rather than $700 in the United States (Green 2020).
Originally intended for stomach ulcers, the drug, along with Mifepristone, has been
approved by the World Health Organization for safe home abortions until 12 weeks
of pregnancy. The WHO recognizes that many women are unable to access adequate
abortion services because of restrictive laws or customs in their home counties, so
makes significant efforts to publish detailed instructions for self-administered home
abortions in effort to improve long-term maternal health outcomes and support
sustainable development goals (WHO 2018).
Using abortion pills is rapidly becoming an important option for many poor and
low-wealth people in the Americas, including the United States, who seek abortions
but are unable to access services in their communities for financial, legal, or political
reasons. In these situations, pro-choice organizations are providing both telehealth
consultations, and abortion pills in the mail, to those who need them at more
affordable prices. Other strategies used by people in the United States who attempt
to access abortions in many southern and midwestern states where clinics are closing
include the use of “Roe trips” to either Native American Reservations where
abortion rights sometimes remain intact, to pro-choice states in the west or northeast
where TRAP laws are not yet in effect, or to surrounding countries including Canada
and Mexico (Nash and Dreweke 2019).
The Struggle for Reproductive Autonomy in the Americans

and Caribbean Region
Simplistic efforts to characterize the legality of abortion in black and white terms
based on whether the practice is technically “legal” or “illegal,” may miss the gray
areas, and conditionalities, under which abortion can be performed, making the issue
much more complex between, and within, nation-states. Throughout the region,
countries with the most restrictive laws that prohibit abortion under any circum-
stances and have no explicit legal exceptions include Honduras, El Salvador,
Dominican Republic, Haiti, Nicaragua, and Surinam. Slightly less restrictive coun-
tries that allow abortion in cases that would save the life of the women or preserve
physical health include Peru, Grenada, Ecuador, Costa Rica, Bolivia, Bahamas, and
Argentina. The countries that extend abortion access to mental health reasons
include Columbia, and the Caribbean islands of Trinidad and Tobago, St Kitts and
Nevis, St. Lucia, and Jamaica. For socioeconomic reasons, Vincent and Grenadines,
Barbados, and Belize allow the practice. The only countries that do not restrict
396 E. N. Shenkin
abortion for any reasons are Uruguay, Puerto Rico, and Cuba (Guttmacher 2018).
The diagram (below) provides a more detailed graphic of individual country laws, in
the Americas and Caribbean Region, as they pertain to abortion. It is important to
note that because of the rapidly changing nature of these statutes, by the time of this
publication, country level abortion laws may have changed. See Fig. 2 titled:
“Abortion Rights in Latin America: An Unsettled Battle” below.
While halting progress has taken place in a few countries, others have regressed.
In 2021, Mexico decriminalized abortion nationwide granting women south of the
border greater access than their US counterparts in the state of Texas, International
social movement organizing strategies for providing remote information and support
remain the safest and fastest way of providing medical abortion care across the
region for poor and low-wealth individuals, where national laws or other barriers
exist to accessing services.
Expanding Social Movement Directed Telehealth as an

Emergency Measure to Save Lives
The term telehealth encompasses the term telemedicine and is defined as the
“delivery and facilitation of health and health-related services including medical
care, provider and patient education, health information services, and self-care via
telecommunications and digital communication technologies” by the New England
Journal of Medicine (2018). Under pandemic circumstances, and in the absence of
functioning welfare state services, one effective strategy for delivering services is the
use of telehealth by alliances of civil society organizations, including
non-governmental organizations, and social movements. Many national govern-
ments, to the degree that democratic potentialities exist, have the capacity for
collectively pooling and dispersing public resources through tax revenues. As
such, states would be a favored locus for the delivery of healthcare, including
telehealth, and other essential services that represent a bare minimum social contract
for the basic human rights of country residents across the region.
The United States remains an outlier in the Western Hemisphere for its reliance on
private healthcare companies, and a distinct lack of access to public healthcare. This
fact, along with high levels of extreme poverty for a developed nation, has contrib-
uted to declines in life expectancy. Compared to ten other developed countries, the
United States has the highest rates of maternal mortality. In fact, the maternal
mortality rate in the United States (17.4 per 100,000) is more than double that of
the highest comparator France (8.7 per 100,000). Although the vast majority of these
deaths are preventable, the United States has, relative to comparator nations, a lack
of maternal care providers and lacks comprehensive support for new mothers.
Almost one in three (31%) of these deaths occur during pregnancy, 17% occur on
the day of delivery, and over half (52%) occur after birth (Tikkanen et al. 2020).
While these systemic healthcare failures cannot easily be addressed in a piece-
meal fashion without the state, the use of phones and the Internet can provide key
essential reproductive health information to those in need. In respect to abortion
Fig. 2 Source: Clara Franco Yáñez. July 2021, Infographic. Title: “Abortion Rights in Latin
America: An Unsettled Battle.” German Institute for Global and Area Studies (GIGA). https://
pure.giga-hamburg.de/ws/files/28333507/web_LA_2021_03_en.pdf
398 E. N. Shenkin
services in countries that limit access, domestic and international civil society groups
and social movements are increasingly providing counseling and discreetly deliv-
ered abortion pills in the mail, or by drone, which were unavailable or unaffordable.
Given the growing reach of Internet and phone communications across the region,
telehealth may be one of the most reliable, cost-effective, and replicable strategies
for providing access to safe abortion services for people until 12 weeks of pregnancy
in countries in the Americans and the Caribbean where de facto or de jure access to
reproductive health services are not yet available. These services are particularly
valuable at present during the COVID-19 pandemic because of increased rates of
domestic violence, economic inequalities, and the need for social distancing
(UN 2021).
Findings suggest that using telehealth for safe abortions may be one manner of
promoting the United Nations Sustainable Development Goal 5 for achieving gender
equality and empowering all women and girls by 2030 (UN Women 2021). Despite
advancements in research, technology, and pharmaceuticals over the last few
decades, barriers to abortion access in the Western Hemisphere remain for nearly
half of those seeking to terminate their pregnancies. Misoprostol and mifepristone,
the two drugs used to induce medical abortions in the first trimester, are safe,
affordable, and, without politically driven regulatory barriers, which could be widely
available to almost anyone through the mail. Within the United States, the Food and
Drug Administration (FDA) recently eased restrictions on the drugs used to induce
medical abortions, this promising development could ease pressures on people
seeking abortion care in states where access is severely limited or unavailable
(Belluck 2021).
Abortion remains one of the most contentious political and cultural issues
globally, particularly in the Americas where the powerful influence of the Catholic
Church has played a long-standing anti-abortion role. The sharp increase of evan-
gelical traditions in Latin America, often associated with more extreme anti-abortion
stances, has also played a role in safe abortion access across the region. For example,
evangelicals were central to the successful election of Brazilian President Jair
Bolsonaro, and are mobilizing forces behind other far-right political candidates’
movements in Costa Rica, Peru, and Chile (Boas 2021).
Implementing SDG 5 in the Americas as the Pandemic Deepens

the Gender Divide
Women in the American and Caribbean Region have experienced the pandemic first
and worst. With a greater likelihood of experiencing employment precarity, loss of
jobs, and less chance of being rehired than their male counterparts, the struggle for
women’s gender equity has suffered greatly during the pandemic. In addition,
women and girls have been forced to bear the brunt of domestic care work. When
elderly, or ill family members, require assistance, school age girls are sometimes
forced to prioritize care work over education and job opportunities. According to the
UNFPA, during the pandemic, in Latin America alone the number of teenage
pregnancies will increase by 20% due to a lack of access to legal abortion and
contraceptives. The pandemic is also further pushing women and girls into poverty
and, by doing so, is exacerbating sexual violence in the home. When unwanted
pregnancy occurs, implementing telemedicine does not put additional stress on
existing healthcare systems, and does not jeopardize the safety of women in domes-
tic abuse situations. Further, medical abortions can be safely performed in the home
reducing the risks of exposure from visits to care facilities, or retaliation (NGO
CSW65 Virtual Forum 2021).
The United States is the largest donor of resources for family planning globally.
However, there are significant retrograde restrictions to this aid. In 1973, almost
50 years ago, the United States passed the Helms Amendment. This vaguely written
law bans US foreign assistance to pay for any family planning that involves abortion
services. This includes abortion supplies, trainings, or even information and counsel-
ing on abortion. Like the global gag rule, this law has caused a chilling effect on
organizations seeking to work on reproductive rights around the world. This policy
is directly contributing to maternal deaths around the world. The Abortion is
Healthcare Everywhere Act of 2021 seeks to remove the Helms Amendment from
statute and places pro-choice, affirmative language by specifying that US foreign
assistance shall be used to provide a wide variety of healthcare services, including
information, equipment, and abortion services (NGO CSW65 Virtual Forum 2021).
There are other reasons for optimism. In December 2020, Argentina became the
largest Latin American country to legalize abortion without restrictions in the first
trimester. The reasons for this legislative victory have been attributed to a variety of
factors including well-organized feminist movements working with supportive
female legislators who were present partly due to a gender parity law that increased
women’s representation in government (Luchsinger 2021). In addition, and despite a
majority of the country not believing abortion should be legal, a recent Mexican
Supreme Court decision unanimously ruled in favor of legalizing abortion nation-
ally. The ruling will likely result in courts across Mexico dismissing thousands of
criminal investigations into people who ended their pregnancies. Yet, in both
Argentina and Mexico, de facto barriers remain. Despite the legality of the proce-
dure, some physicians refuse to carry out abortions in both countries. In Mexico,
anti-abortion laws at the state level have yet to be overturned, with access remaining
extremely difficult across the country. The Mexican Supreme Court has yet to decide
on the rights of medical professionals to refuse to carry out procedures that go
against their personal beliefs and harass or proselytize to women who seek abortions
(Kitroeff and Lopez 2021).
Conclusion
Social movements, working with civil society organizations, remain crucial for
promoting Sustainable Development Goal 5: Gender equality and women’s empow-
erment. These actors, drawing upon individual and collective bravery, are central
400 E. N. Shenkin
levers of history, across the region, and around the world, for the struggle for
personal freedom and bodily autonomy. A basic feature of human rights is repro-
ductive rights and has a great deal to do with sustainability. An increasing body of
literature reveals the strong connections between higher levels of democratic partic-
ipation and environmental quality. In essence, when people have a meaningful voice
in determining their working and living conditions, they often choose healthier
environmental conditions than under circumstances outside of their control and
dictated by anti-democratic institutions.
Religious, political, and social forces aligning to control reproduction and sexu-
ality are rooted in colonialism and patriarchy which is a universal challenge to
equity. According to the World Health Organization, almost half of abortions around
the world are being currently performed in an unsafe manner. Gender equity cannot
be achieved without full access to reproductive care, including abortion. Poor
women of color are often the most impacted by state reproduction policies and
suffer the highest rates of mortality and morbidity in the region. The World Health
Organization considers home abortions safe, effective, and empowering during the
first trimester.
The United Nations has included reproductive and abortion rights into develop-
ment goals and resolutions for decades. The United States could play a major force in
women’s rights and sustainability if the country’s international aid budget was
consistently mandated to fund full spectrum healthcare initiatives including abortion
rights globally. Across the Western Hemisphere, progress toward full access to
healthcare is being made, with the United States as a notable exception, with
large-scale implications for funding reproductive care in the region. While the
United States has been at various times a major supporter of reproductive access,
yet the nation’s global gag rule and the Helms Amendment represent major obstruc-
tions to the international human rights of women and gender equity.
The United Nations, particularly the United Nations Population Fund and the
Program of Action, have played a major role in setting ambitious rights-based
approaches to gender equity. The research indicates that providing full access to
healthcare services, in conjunction with educational opportunities, leads to
decreased family sizes and improved quality of life for women. During the pan-
demic, the healthcare systems of two out of three countries were impacted. Some
sexual and reproductive health services have improved, while abortion access has
declined. The rate of teenage pregnancy in Latin America during the pandemic is
projected to increase by approximately 20%. To improve sustainability and gender
equity across the board, policies must be implemented that improve the welfare of
communities by shifting energy sources to cleaner forms of cooking and heating,
improving sanitation, and investing in quality education, including sex education.
To fund these massive initiatives, private, as well as public funds are being
utilized. This brings up questions of democracy, Global North-South relations within
a world system, and the potential for top-down elite-funded initiatives that must be
carefully considered to prevent neo-colonial forms of development that do not
address the root causes of inequality, poverty, and underdevelopment. At the same
time, grassroots feminist organizing around reproductive health rights has influenced
international agreements, change laws at the national level and expand the use of
telehealth access to circumvent legal or logistical barriers to provide abortion, and
other types of reproductive care.
There are complex issues associated with population control and sustainability,
with the specter of eugenics and ethno-nationalist state control an ongoing consid-
eration in respect to the reproductive health rights of minorities and historical events.
Malthusian and neo-Malthusian arguments can be empirically evaluated to reveal
that environmental impact tends to increase with affluence and the world’s poor
cannot be blamed. The historical record of greenhouse gas emissions, not to mention
colonialism, from the Global North, clearly mandates the need for massive transfers
of wealth toward climate change adaptation and mitigation in the Global South.
When examining the history or reproductive rights, it is important to distinguish
between providing education, contraception, and abortion services as forms of
empowerment to disadvantaged peoples to make personal reproductive decisions
without coercion. The great legacies of W.E.B. Du Bois, Margaret Sanger, and many
others must be understood within the context of their time as advocates for human
rights. Abortion rights in the United States hang in the balance and are likely to
impact the region as the conservative Supreme Court is likely to overturn decades of
reproductive rights precedent. When and if these changes occur, telehealth in
combination with mail order pills will likely be a major resource for those seeking
abortion yet lack access. While the United States slides back, Mexico and Argentina
move forward with greater reproductive rights.
When women and girls are empowered through education and access to
healthcare, including reproductive and abortion care, they tend to lead lives of
greater dignity and fulfillment. When conditions of gender equity are lacking, as is
the case in many parts of the United States and much more economically poor
countries across the Latin American region, women are effectively prevented from
participating in public life and systems of governance that directly impact their life
chances. In conjunction with a lack of adequate access to affordable childcare,
healthcare, and living wage jobs, the momentum of durable, male-dominated sys-
tems prevails in maintaining women in subservient conditions and circumstances
insurmountable for the majority, particularly for those in poor and low-wealth
communities.
Gender equity cannot be obtained for women, girls, and anyone capable of
becoming pregnant, without full access to reproductive health services, including
abortion care. At present, telehealth, particularly during the pandemic, offers some
measure of liberatory possibilities for reproductive autonomy. Access to abortion
services for people across the Americas and Caribbean region remains an
intergenerational struggle for human rights. Many tens of thousands of people,
known and unknown, continue to struggle for substantive equity and sustainable
human development, in order to rebuild the house of civilization under different
architectural principles.
402 E. N. Shenkin
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Agroecology as Catalyst for Smallholder
Farming Mitigation and Adaptation
to Climate Change: Caribbean Region
Ramgopaul Roop, Miles Weaver, Ana Paula Fonseca, and

Mohammed Matouq
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 406
Agroecology Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 408
What Is Agroecology? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 408
The Agroecology Concept . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 410
Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
Economic Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
Agroecology on Smallholder Farms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
Agroecology Alternative Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 412
Smallholders Working with Nature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 412
Challenges in Smallholder Agriculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 412
Soil and Water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 412
Impact of Climate Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413
Population Growth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413
Lean Management to Complement Agroecology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413
Case Study Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 414
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 414
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415
R. Roop (*)
Ro-Crops Agrotec, Caroni, Trinidad and Tobago
e-mail: rocrops@yahoo.com
M. Weaver
The Business School, Edinburgh Napier University, Edinburgh, UK
e-mail: m.weaver@napier.ac.uk
A. P. Fonseca
University of Dundee, Business School, Dundee, UK
e-mail: a.fonseca@dundee.ac.uk
M. Matouq
Faculty of Engineering Technology, Chemical Engineering Department, Al-Balqa Applied
University, Amman, Jordan

https://doi.org/10.1007/978-3-031-16017-2_112
406 R. Roop et al.
Initial Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415

Management Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 416
Soil, Water, and Crop Interventions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 416
Conclusions and Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423
Abstract
Agriculture production emits approximately 29% of greenhouse gases, contributing
to climatic changes. These changes increase pests and disease outbreaks according
to the frequency and severity of droughts and floods, which results in crop failures
and high livestock mortality. The phenomenal global impacts of climate change and
the COVID-19 pandemic are creating new standards for the continued support of
human development and well-being, due to these rapid changes. SDG 2 identified
sustainable agriculture and the role of smallholder farmers as integral to addressing
food and nutrition issues. Yet, these farmers comprise a vulnerable social group,
especially in developing countries, due to their limited adaptive capacity. Despite
possessing a wealth of traditional knowledge, smallholder farmers’ marginalized
input resources, capital, assets, and technical information impede their adaptive
ability and resilience to climate change.
This case study examines smallholder farming as a catalyst for nature-based
solutions utilizing agroecology concepts in coping with climate change. It pro-
vides an empirical account of an Agroecological farm in Trinidad, which The
Food and Agriculture Organization (FAO) presented as a model on its Agroecol-
ogy Knowledge Hub. The research consists of an exploratory qualitative case
study analysis, which provides an in-depth holistic view of the problems of
implementing sustainable agriculture and the innovative solutions based on the
model farm of resilient agriculture, during the past 25 years, in the Caribbean. The
qualitative method used documentary analysis, which contributed to building the
narrative between the actors involved.
Keywords
Greenhouse gas emissions · Climate change · COVID 19 pandemic · Smallholder
farmers · Sustainable agriculture · Nature-based solutions · Agroecology
concepts
Introduction
Developing countries recognize agriculture as a critical sector to address social and

economic issues of widespread poverty and food insecurity (Pawlak and
Kołodziejczak 2020). Despite its benign potential, agriculture encounters many
challenges restricting its capacity to become sustainable, competitive, and reduce
poverty (FAO 2019). More specifically, agricultural productivity is relatively low,
trade costs are high, and its ability to comply with food quality and safety standards
Agroecology as Catalyst for Smallholder Farming Mitigation and Adaptation. . . 407
remains low (FAO 2019). Complex structural adjustments to post-preferred EU

market access and changes in consumer food preferences have also challenged the
capacity of the sector to respond adequately to the growing demand for food, which
imports have largely fulfilled (FAO et al. 2020).
The phenomenal global impacts of climate change and the COVID-19 pandemic
are creating a new standard for the continued support of human development and
well-being due to these rapid changes (Yaffe-Bellany and Corkery 2020). COVID-
19 pandemic’s immediate impact disrupted the food supply chain (Klassen and
Murphy 2020). For example, farmers without adequate storage facilities had to
dump or plough back their crops into the fields because of a decline in demand, or
difficulties in transporting products to market (Yaffe-Bellany and Corkery 2020).
This instability in the local and international food markets results in food security
and availability disruption, which risks diverting funding to the pandemic from
allocations to climate and other environmental issues (HLPE 2020).
Climate change increases the outbreaks of pests and diseases with the frequency
and severity of droughts and floods, which results in poor yields, crop failure, and
high livestock mortality (Harvey et al. 2014). Due to agriculture’s dependency on
natural resources, climate action further challenges the sector due to its high vulner-
ability (FAO 2015). Significant effects of climate change on agriculture impact the
water cycle, particularly acute in rain-fed agricultural systems of the Caribbean
(FAO and CDB 2019). Therefore, urgent and systematic actions are necessary for
building climatic resilience in the agricultural sector to secure food and livelihood
(Arslan et al. 2017). As a result, Altieri and Nicholls (2020) argued that agroecology
provides a powerful systemic approach that offers the best agricultural practices
capable of coping with future challenges of climate change and ecological raptures,
such as COVID-19.
There is considerable pressure for improved food production due to a projected
50% increase in demand by 2050, which requires rapid and radical changes in
agricultural production (Cassman and Grassini 2020). More land and inputs will
be required to support the increasing societal demands without introducing new
cropping systems and robust varieties to outperform the existing crops (Anderson
et al. 2016). Present projections show that by 2050 the world will need an estimated
1 billion hectares (ha) of additional agricultural lands to support the current food
requirements and that there will be a 593 million-hectare land gap (equivalent to
almost twice the size of India). (Ranganathan et al. 2018). Anderson et al. (2016)
argued that this projected increased food demand will require an integrated and
diversified approach such as agroecology to achieve food security without increasing
the environmental footprint of agriculture.
It is also crucial to highlight that while industrial agriculture has contributed to
an unprecedented increased food production level, the system has ultimately
resulted in universal reductions in food security and sovereignty, due to high
inputs that focus on large-scale interventions (Altieri and Nicholls 2012). These
interventions involve applying new technologies and expert-led corporate man-
agement based on a top-down approach within the existing political and economic
regime (NASEM 2019).
408 R. Roop et al.
Currently, industrial monoculture farms occupy 80% of the estimated 1.5 billion
hectares of arable land, contributing to global environmental impacts that result in
soil degradation due to deforestation, causing freshwater depletion and contamina-
tion (Altieri and Nicholls 2020). Agricultural practices on these industrial farms
developed with minimum ecological concerns. They remain highly dependent on
external resources, which increases the industry’s vulnerability to pests, diseases,
and climatic impacts (Altieri et al. 2015), making agriculture’s contribution to
greenhouse gas emissions amount to approximately 29% (Campbell et al. 2017).
For several years, agroecology has been gaining recognition as a dynamic
concept in scientific, agricultural and political discourse on food security (IPES-
Food 2016). The United Nations Sustainable Development Goals (UN SDG 2)
identified sustainable agriculture, greenhouse gas emissions and the role of small-
holder farmers as essential to address food and nutrition security (Wezel et al. 2020).
On the contrary, smallholder farming comprises one of the most susceptible societal
clusters, especially in developing countries, due to their limited adaptive capacity to
climate change action (Trinh et al. 2018). This limitation results from a lack of
knowledge and experience, low income, small farm size, and inadequate access to
technical assistance and markets, which make small farmers appear inadequate to
cope with production challenges (Tran and Brown 2019).
This chapter examines implementing agroecology as a nature-based solution to
climate change adaptation, mitigation, and the COVID-19 pandemic in small-
holder farming in the Caribbean. A few years ago, the Food and Agriculture
Organization (FAO) presented the ten (10) Elements of Agroecology as a transition
guide toward sustaining food production (FAO 2018). For example, in 2016, FAO
presented 52 Global Profiles on its Agroecology Knowledge Hub, including an
innovative agroecological model smallholder farm in Trinidad, West Indies (FAO
2016). This research presents a case study analysis of this model farm’s activities
that has been employing agroecological practices for the past 25 years a Caribbean
farm.
Agroecology Review
What Is Agroecology?
Agroecology is a transdisciplinary discipline, which includes ecological, socio-

cultural, technological, economic and political structures along the value food
chain, from production to consumption (FAO 2022). FAO’s Ten (10) Elements of
agroecology serve as an analytical tool to guide policymakers, practitioners, and
stakeholders involved in planning processes, and managing and evaluating agroeco-
logical transitions (FAO 2018). Table 1 presents an open-access compilation of these
ten elements and principles: Diverse systems; Knowledge-sharing and co-creation;
Synergistic interactions; Innovative Efficiency; Recycling products; Building Resil-
ience; Human social values; Local traditions, culture and food; Responsibility in
Governance and Circular and cohesion economy.
Table 1 Agroecology elements and principles

Elements Principles
Diverse systems Diversification facilitates transitioning practices to agroecological
concepts to conserve, protect and enhance natural resources.
It consists of a vastly diverse system that optimizes species’ diversity
and genetic resources differently.
Knowledge-sharing and Innovations in agriculture react well to co-created local challenges
co-creation through participatory processes.
Agroecology is contingent on context-specific knowledge and not on
fixed measures.
Instead, agroecological practices respond to the socio-economic,
cultural and political environments.
Co-creation and knowledge sharing address challenges in developing
innovative activities in the food systems and adaptation to climate
change.
Formal and non-formal education are essential for sharing
agroecological innovation through co-creation processes.
Synergistic interactions Building synergistic interactions enhance essential activities
throughout the food value chain by supporting production and
several services in the ecosystem.
Agroecology requires close attention to designing a diversified
system that combines various perennial and annual trees, livestock,
aquatic animals, soil and water management, and other farm-
enhancing strategies to enhance interactions to cope with
increasingly changing climate action.
Innovative efficiency Efficient, innovative agroecological practices produce more using
minimum external inputs.
Increasing resource-use efficiency is essential for agroecology
systems to carefully plan and manage diversity synergies between
different system components.
Agroecology improves using natural resources, especially the
abundant free elements, such as solar radiation, atmospheric carbon,
and nitrogen.
Recycling products More recycling efforts result in lower economic and environmental
costs for agricultural production.
The recycling process can occur on-farm and within environmental
settings.
Building resilience Building people’s resilience in the communities and ecosystems
contributes to sustainable food and agricultural production.
Diversified agroecological production systems can recover from
natural turbulences, including dangerous weather such as drought,
floods or hurricanes, and attacks from pests and diseases.
Human social values The protection and improvement of rural communities are essential
features for their sustenance, equity, and social welfare to achieve
sustainable food production.
Agroecological elements focus on building human social values to
improve the livelihoods of food producers, including their dignity,
impartiality, attachment and justice.
Human social values contribute to achieving the SDGs targets by
putting the desires and objectives of participants in the value chain at
the heart of food systems.
(continued)
410 R. Roop et al.
Table 1 (continued)
Elements Principles
Building self-sufficiency and adaptive capabilities help manage their
agroecosystems.
The approaches provide opportunities for people and communities to
address the issues of overcoming poverty, hunger, and malnutrition.
The agroecology system promotes fundamental rights to food and the
protection of the environment for future generations.
Local traditions, culture Agroecology helps support nutritious and culturally appropriate
and food diets, which help maintain the health of ecosystems
Agriculture and food production systems comprise essential
elements in human heritage, and traditions are essential in building
society and shaping human behavior.
The existing fast-food systems have developed and created a
disconnect between food habits and culture in many instances,
contributing to obesity and hunger.
Agroecology plays an essential role to re-balance traditional and
contemporary food habits, which pursue cultivating a healthy
relationship between people and food.
Responsibility in Agroecology requires responsibility and active governance to
governance support transitioning toward sustainable food and agricultural
systems.
Agroecology requires transparency, accountability, and inclusiveness
in the governance mechanisms for creating an environment that
supports producers.
A circular and cohesion The aim is to reconnect producers with consumers by providing
economy innovative solutions to live within terrestrial limitations.
Agroecology aims to apply a circular and solidarity economy
concept to reconnect producers and consumers.
It prioritizes local markets, which supports local economic
development. These innovative approaches provide new territorial
and traditional local markets, where most smallholders trade.
Source: Compiled from the open access of FAO’s Ten (10) Elements of Agroecology (FAO 2018)
The Agroecology Concept
Although agroecological practices are associated with the origin of agriculture, the
concept emerged as a scientific discipline over the last couple of decades with
activities along the food value chain from production to consumption, bringing
sustainability change to the ecological, economic, and social systems (Gliessman
2018). Agroecology includes several environmentally friendly agricultural practices,
including soil and water management, permaculture, and organic cropping, which
are action-oriented transdisciplinary and participatory (Pretty et al. 2018).
However, recent definitions of the concept reflect different institutions and
cultures of the countries’ activities, concerns, and priorities (Wezel et al. 2020).
These different approaches embrace agroecology as a scientific field with several
agricultural practices and social involvement, consisting of distinct but interacting
systems (Purvis et al. 2019).
Current evidence shows that agroecology presents a mechanism to foster sustain-
able agriculture based on a bottom-up solution to achieve food and nutrition security,
focusing on the rights and well-being of women, youths, and indigenous peoples
(Gliessman 2014). According to Altieri (2018), agroecology applies ecological
concepts and principles in a broader framework beyond the farm by redesigning
the agricultural landscape to address the problems associated with modern mono-
cropping, as practiced in industrial agriculture.
Process
The agroecology process is a continuous transition without prescriptive rules

grounded on core principles, values, and elements to implement the concept in the
social and ecological environments, which are more knowledge-based than the
external inputs of industrial agriculture (Altieri 2018). Therefore, it requires a
collective effort specific to participants such as agronomists, ecologists and social
scientists working among farmers to achieve a common goal of redesigning sustain-
able and resilient agricultural landscapes (Burgi et al. 2017).
Strategy
The objectives of sustainable agriculture include economic issues, environmental

health, and ethical soundness as presented in a 3-P Framework consisting of people,
planet, and profit (Spiertz 2010). Agroecology aims to foster ecosystem services for
sustainable production with minimum environmental impacts by reducing, or even
eliminating the use of toxic, external inputs (Altieri and Farrell 2018).
Economic Issues
Agroecology economic issues minimize dependence on external farm inputs by

integrating crops and livestock to offset the limitation in economies of scale.
These practices impact social sustainability and reduce chemical use, enhancing
workers’ safety and food value (Altieri 1999). Additionally, agroecology cultural
methods are more knowledge-based and labor intensive, requiring an understanding
of ecological procedures, problems, and methods within any specific location
(Amekawa 2011). Agroecology has initiated a new agrarian revolution worldwide
based on scientific, technological, and methodological farming methods that have
provided socially just biodiverse production systems that are resilient and energet-
ically efficient (Ferguson and Morales 2010).
Agroecology on Smallholder Farms
Smallholder agriculture is grounded in addressing the adversary social impacts

caused by industrial agriculture, which occupies 80% of the estimated 1.5 billion
hectares of arable land globally (Altieri and Nicholls 2020). Smallholder farming is
412 R. Roop et al.
essential to transform the current global capitalist food production into a socially just
system that offers opportunities for farmer involvement and farmer-to-farmer exten-
sion, thus yielding synergetic effects of empowerment (Bezner-Kerr et al. 2019).
Agroecology Alternative Approach
Agroecology promotes ecological sustainability and improved production as an

alternative approach in smallholder farming, which utilizes ecological intensification
to reduce reliance on agrochemicals and sustain optimal yields (Gliessman 2016).
This comprises changing farm management practices, including establishing an
environmental infrastructure by reducing tillage and incorporating intercropping
and polyculture, which protects the environment by creating semi-natural habitats
(Garibaldi et al. 2019). However, a shift to this farming method is not easily
facilitated nor adopted to its maximum potential (Kansiime et al. 2021). Since the
agroecology concept can be challenging to adopt, the best option is to teach these
practices to current and future agricultural professionals with high school and
university education (Jouan et al. 2020).
Smallholders Working with Nature
Smallholder farmers are practitioners of the agroecology farming system by working

with nature instead of against it, to preserve the environment (van der Ploeg 2013).
For centuries, these farmers have used their indigenous knowledge adaptable to their
local agricultural systems as weather-alert information on agriculture, which they
complement with formal scientific weather services (Mafongoya et al. 2017). While
not all smallholder farm practices are ecologically sound, the farmers generally
possess an intrinsic capacity to use limited resources to develop a more sustainable
farming system (Altieri 2008).
Many small farmers have used their traditional knowledge to develop drought-
tolerant local varieties, on-farm water harvesting, soil conservation practices, inte-
grated cropping, agroforestry, and several other traditional techniques to cope and
prepare for climatic change (Altieri and Koohafkan 2008). Building resilience based
on ingenious knowledge and available local resources is a preoccupation in small-
holder and agricultural communities to develop on-farm biodiversity, which con-
tributes to adapting to extreme climatic conditions (Altieri and Nicholls 2013).
Challenges in Smallholder Agriculture
Soil and Water
Smallholder farmers’ high dependence on water and soil as their primary resources
for agriculture makes them vulnerable to climate change due to unsustainable water
and soil management practices (FAO 2011). These approaches result in depleting
water and soil resources, decreased biomass production, water quality, biodiversity,
and crop yields (Morton 2007).
Awan and Mahmood (2017) identified the characteristics of problematic soils that
smallholder farmers encounter as consisting of shallow root depth (<50 cm deep),
heavy clay (>35% clay minerals), highly saline soils, steep gradients of more than
35%, erosion-prone, high acidity with pH < 4.5 or alkalinity of more than pH > 8.5.
Managing these soils presents various challenges, their clay nature the most difficult
because they swell and become sticky upon wetting. Instead, when dried, they
become tough (shrink) and dense, which limits crop production in the dry season,
when lands become dry and compact (Persad et al. 2007). Although smallholder
farming accounts for almost 80% of agricultural production globally, it is mainly
rainfed in the tropics (Wani et al. 2009).
Impact of Climate Change
The IPCC (2014) report indicated that the variability of climate change would
negatively impact food production worldwide, due to a decline in plant growth
and yield by increasing CO2, high temperatures, changes in precipitation and
transpiration regimes, increased frequency of extreme conditions, and modified
pressures of pests, pathogens, and weeds.
Additionally, despite being a global issue, the impacts of climate change differ in
each country, creating significant developmental challenges for economically vul-
nerable communities (Morgan 2011). According to (IPCC), climate change is
inevitable and forecasted to be more severe in rain-fed and irrigated agriculture
environments (IPCC 2013). Therefore, in developing countries where the liveli-
hoods are mainly dependent on agriculture and livestock, the vulnerability to climate
change becomes more severe because of farmers’ limited adaptive capacity and
access to alternative production systems (Panthi et al. 2016).
Population Growth
The UN (2019) estimated that the world population will reach 9.6 billion by 2050
and approximately 11 billion by the century end (Gerland et al. 2014). Based on the
current level of food production, it will require a 70% productivity increase to satisfy
the needs of the growing population (Pardey et al. 2014). The solution of increasing
agricultural production to address the food demand is incompatible with an increas-
ing scarcity of natural resources that are necessary also to sustain a robust environ-
ment and biodiversity (Phalan et al. 2011).
Lean Management to Complement Agroecology
The agricultural sector greatly emphasizes increased production with a limited focus
on sustainability and often ignores the complementary factor of reducing food loss
414 R. Roop et al.
and waste as a sustainable strategy for achieving food and nutrition security (Pretty
et al. 2018). Most food waste and loss in developing countries’ agriculture occurs in
the food supply chain (FSC) at the early stages of production and harvesting
(Gustavsson et al. 2011). Smallholder farms experience a significant post-harvest
loss due to inadequate market facilities and access to cold storage (Tefera 2012).
Therefore, implementing lean management to complement agroecology practices
worldwide requires increasing production, resource efficiency, resilience, and waste
reduction (Dobermann and Nelson 2013).
Case Study Analysis
Methodology
This research employed an exploratory qualitative case study method for the agro-
ecological smallholder farm in Trinidad as proposed by Yin (2013). This case study
reports an in-depth holistic view of the research problem (e.g., how to implement
tools for sustainable agriculture in the Caribbean) and the contribution to organiza-
tional learning (Yukl 2009) (e.g., innovative solutions), based on the application of
agroecological concepts.
The researchers examined the worldwide compilation of information on small-
holder farming, including farmers’ applications of traditional knowledge to build
resilience in their farms, by adopting agroecological practices. FAO’s Ten (10) Ele-
ments on Agroecology guided transition toward sustainable agricultural production
and food systems (FAO 2018).
The research focused on a retrospective analysis of the farm’s development which
The FAO’s Agroecology Knowledge Hub presents as one of 52 Global models of
agroecological smallholder farms (FAO 2016). Therefore, the researchers analyzed the
farm’s development as an innovative agroecology model for sustainable agriculture.
Since the lead author of this chapter is the participating farmer, the researchers
used a deviant purposive case sampling method for presenting their results based on
analytical methods but not real data from the practical way in the fields. Additionally,
publications provided further data about the farm’s development and history,
addressing agroecological challenges. These challenges included ameliorating and
managing the farm’s heavy clay, low fertility-acid soils, water harvesting, integrated
cropping systems, and lean concepts in business management strategies to sustain
food production and nutrition security in the Caribbean.
The farmer’s narratives helped gain insights into strategic business management
processes and decisions, which could not necessarily be captured, nor traced using
metric data. The field observations guided the researchers’ interpretation of metric
data (on-farm trials) for congruency.
Secondary data sources consisting of documents and archival data provided
information to construct and validate the farm’s history, achievements, processes,
and relationships with collaborating partners and communities, as presented in
Table 2.
Table 2 Secondary data sources

Organizations Document
FAO FAO 52 Global Agroecology Profiles: An innovative
agroecology model farm in Trinidad (FAO 2016).
Agroecology’s Ten (10) Elements: A Guide for
Sustainable Food Production. (FAO 2018).
Caribbean global water partnership Farmer shares-knowledge-on-sustainable-soil-and-
(GWP-C). water-management-practices (GWP-C 2011).
Meet our partners (GWP-C 2012a)
Innovative agriculture: A profitable and sustainable
farming business (GWP-C 2012b).
GWP-C Partner: Graduates with 2nd Master’s Degree
(GWP-C 2019).
The National Agricultural Marketing “Fix the Soil for Sustainable Agriculture”: An
and development corporation Innovative Model (NAMDEVCO 2010).
(NAMDEVCO).
Ministry of Agriculture land and Evaluation of a micro-irrigation system for vegetable
marine resources production on heavy clay soils in Central Trinidad
(Persad and Roop 1998).
Soil management of heavy clay soils on a vegetable
farm in Central Trinidad (Persad and Wilson 1998).
Soil and Water Constraints to Food Crop Production in
Trinidad and Tobago – Challenges and Opportunities
for Small Farms (Persad et al. 2007).
Ministry of Public Utilities and the National Integrated Water Resources Water Resources
environment. Management Unit, Management Policy (WRMU
2017).
The United Nations (UN) The UN 17 Goals. The United Nations, Department of
Economic and Social Affairs (UN 2015).
Background
The farm comprises 1.5 ha of degraded sugarcane lands, which had reverted to
native grasses capable of regenerating after annual, prescribed fires. The small-
holder farmstead is on a State Agricultural Project at Carlsen Field, Central
Trinidad, with a Standard Agricultural State Land tenure since 1985 for residential
and agricultural purposes. The farming family comprises five members, including
the mid-seventies old farmer and his wife, their 44-years-old son and daughter-in-
law, and a 6-year son as successors. The four adult family members attained high-
school and university qualifications that enhance their capabilities to implement
agroecology.
Initial Challenges
Initially, the farm holding consisted of degraded sugarcane lands with heavy clay
soil, which presented several challenges for agricultural production. After the family
occupied the farm in 1985, attempts to cultivate high-price vegetable crops on the
416 R. Roop et al.
degraded sugarcane lands were difficult. Crop production was rainfed, without water
storage and irrigation infrastructure to engage in dry-season vegetable cropping
(i.e., a water deficit during the dry season, January to May). Cultivation in the wet
season (June–December) resulted in crop failure and losses due to high runoff
volumes, waterlogging, and flooding. In the dry season, the surface and subsoil
become desiccated, dense, and compact, resulting in cracking, and making
ploughing and tillage difficult. Conversely, the clay soil gets sticky and swelled
when wet.
Cropping was also demanding due to a high proliferation of pests and diseases,
which required frequent chemical applications, increased production costs, and
environmental health risks. The family experienced limited production levels and
unsuccessful farming during the initial 5 years of cultivation (1989–1994). However,
the farmer had no empirical data about soil health status, availability, storage, or
water demand. Such data were needed to evaluate the effectiveness of the interven-
tions to address the perceived water, soil, and crop challenges, given that the farmer
wanted to develop the holding into a sustainable farm.
Management Strategy
Based on the initial challenges, the farm management established an alliance with
researchers at the Ministry of Agriculture to address soil and water management
issues in developing the farm. As a result, the scientists conducted an on-farm 3-year
(1994–1997) research and development project and compiled two documents
containing scientific details about soil and water management strategies (Persad
and Roop 1998; Persad and Wilson 1998).
Soil, Water, and Crop Interventions
The researchers used an integrated soil management strategy to address the soil
quality challenges by including chiseling, ploughing, tillage, low-cost local lime-
stone application, and internal field drainage. Farm interventions to address climate
change-related issues about on-farm water availability and deficit problems during
the dry season included redesigning the farm layout, constructing a by-pass farm
pond with micro-irrigation/fertigation systems, and changing cropping patterns.
Land preparation, drainage, and intercropping with tolerant varieties were the
primary interventions to address on-farm waterlogging and flooding. In addition,
implementing crop and business management strategies was inherent in addressing
soil-related and water challenges. Table 3 presents details of the challenges and
agroecological solutions regarding these interventions.
Table 3 presents details of the challenges and agroecological solutions regarding
these interventions with typical photos that have demonstrated this concept (Figs. 1
and 2).
Table 3 Case study challenges and agroecological solutions

Challenges Agroecological solutions
Soil management On-farm scientific research
The farm comprises 1.5 ha of degraded A 3-year (1994–1997) on-farm soil evaluation
sugarcane lands, which had reverted to native by the soil scientists of the Ministry of
grasses capable of regenerating after annual Agriculture.
bush fires. The research involved an integrated soil
The soil type is heavy clay, marginal class. management program incorporating deep
Persad et al. (2007) described this marginal tillage, low-cost northern range limestone
class V-VIII soil as a very acidic (pH < 4.5), application, and water management to
heavy clay soil (>45%) with shallow depths ameliorate the acidic, heavy clay soil for
(<50 cm), and excessive bulk density of over vegetable production.
1.6 g/cm3 with layers of hard-pan. The project demonstrates that implementing
Heavy clay is one of 119 Trinidad and Tobago low-input soil management techniques on
soil types, occupying approximately heavy clay soils as an agroecology initiative
100,000 ha and representing 70% of critical can intensify vegetable production in Trinidad.
agricultural lands. The on-farm research also revealed how an
These soils suffer from severe moisture integrated soil management strategy addressed
deficiencies and very high soil compaction the perceived challenges of soil quality.
during the dry season, which results in poor To establish a baseline for soil quality, the
root-soil relationships and crop production. researchers looked at factors including
The heavy clay soil swells when wet, becomes physical (texture, bulk density, soil resistance,
sticky or heavy and suffers from impeded and infiltration), physicochemical (pH, base
drainage with flooding in the rainy season, saturation, and cation exchange capacity), and
resulting in crop failure with low production chemical (nitrogen, phosphorus, potassium,
(Persad et al. 2007). calcium, and magnesium).
These soil constraints increase due to poor These soil measurements were conducted in
farming practices resulting in soil erosion, the base year of the research (1994) and twice
sub-soil layer exposure, and soil fertility loss. per year in 1995, 1996, and 1997.
The interventions implemented were based on
the soil analysis results, including chiseling,
ploughing, tillage, local low-cost limestone
application, micro irrigation, and drainage.
The results show that chiseling, ploughing, and
rotavating reduced the soil bulk density within
the 0–30 cm depth range 3 years after these
interventions.
Although the first year of research had a 21%
(1.65 Mgm-3 to 1.31 Mgm-3) bulk density
reduction in the 40–50 cm profile, the values of
(1.45 Mgm-3) in the subsequent years indicated
substantial reconciliation occurred.
Despite this soil reconciliation process, the
available root depth increased from 20 cm
before mechanical soil treatments to 50 cm after
2 years and 30 cm in the final year of the study.
Changes in chemical properties were also
evident, with a sustained soil pH increasing
from a low 3.98 to an acceptable 6.38.
Generally, a wide range of vegetables grown on
small farms adapts best to a 6.5 pH.
There was also a marked improvement in
crucial soil fertility parameters with increased
(continued)
418 R. Roop et al.
Table 3 (continued)
phosphate, potassium, calcium, and
magnesium.
The findings convincingly illustrate the efficacy
of using low-grade, low-cost overburden
limestone. As a result of the project’s findings,
numerous vegetable and fruit crop producers
have selected this low-cost overburdened
quality of limestone for soil amelioration.
Water challenges Water management
Although Trinidad is not a water-scarce Addressing the water availability/deficit
country, the seasonal and spatial variations challenges was premised on the potential to
influence water availability for the agricultural increase yield, productivity, profitability, and
sector, which is predominantly rain-fed effectively fertilize crops, particularly during
dependent (WRMU 2017). the dry season.
According to Persad et al. (2007), severe Therefore, 1 year after the first soil
moisture deficiencies restrict crop production, amelioration process, further farm
resulting in <10% of land cultivated in some development interventions included
agricultural communities during the dry (i) redesigning the farm field layout and
season. (ii) establishing a by-pass irrigation pond
On the other hand, runoff volumes are high in (56 m 39 m 5 m) with a capacity of
the wet season (June–December), and drainage 10,000 m3 to supply water during March–May,
infrastructure is inadequate, subjecting the three driest months of the year; (iii)
farmlands to water-logging, flooding, and implement a water distribution and application
consequent crop loss. system; (iv) construct an independent
Water management and irrigation on state land fertilization station.
farms exist at rudimentary levels. Redesigning the field layout included
A complex of inter-related soil physical and subdividing the 1.5-ha holding into eight
chemical problems adversely influences heavy (8) irrigation blocks (7 blocks for cultivation),
clay soil and water management, limiting with the farm pond as block 5.
agricultural productivity in Central Trinidad. Establish the farm’s internal access roads and
strategically locate the farm pond to sub-divide
the irrigation blocks.
The access road also accommodates the
irrigation water lines from the irrigation pump,
provides the drainage for water harvesting, and
allows vehicular access to the plots as part of
the lean management of “flow and coverage”
of farm activities to reduce movement on
the farm.
Additionally, the on-farm water harvesting
included recycling the field drainage water into
the irrigation pond, which contained a
discharge spillway of surplus water into a
natural watercourse.
Crop management challenges Crop management solutions
A proliferation of pests and diseases was Planting trees such as neem, Caribbean pine,
associated with a mono-cropping open field of Colombian cedar, bougainvilla, and variegated
high-bred varieties of vegetables. bamboo became part of the agroecology
The crop production strategies required strategy to retain moisture, provide shade, and
additional pesticides for control. create windbreaks.
(continued)
Table 3 (continued)
Relying on pesticides as the primary means of The trees also served as live fencing and
pest and disease control did not contribute to created an agroecological-friendly
sustainable farming. environment.
During the 1994–1997 period of on-farm Weed control uses walk-behind and hand-held
research, spider mites were the primary pest motorized brush cutters, which leave the
problem due to increased temperature during cuttings as mulch.
the dry season. The wet season cultivation of vegetables
required additional internal drainage and water
harvesting.
A component of the soil and water
management strategies included agroecology
farming concepts.
This agricultural production system provides
an opportunity to improve the environment and
human health to withstand crises such as pests
and diseases, pandemics, climate variations,
and financial meltdowns.
During the past 15 years, the Lakeland
Limequat variety of lime has become the
principal commercial crop.
The lime field (1 ha) consists of 1000 trees in
high-density planting of 2.5 m within rows and
3 m between rows on cambered beds.
The weekly sales of fresh limes average
10,000–15,000 in attractive packaging to
leading supermarkets as an agroecology brand
with traceability information.
The sales and annual financial records verify
these figures in addition to complying with all
statutory requirements of taxes, Green fund
levy, and other business commitments with a
healthy return on investment (ROI).
Co-creation and sharing of knowledge Connecting with people
Formal and non-formal education are essential During the past 25 years, the farm established
in sharing agroecological innovation from local, regional, and international linkages.
co-creation processes (FAO 2018). At the local level, there is interaction with
farmers’ groups, the Ministry of Agriculture,
NAMDEVCO, and the regional and local
universities (UWI & UTT). The farmer shares
knowledge by providing on-farm training and
demonstrations for farmers, extension officers,
and students at secondary and university
levels.
At the regional and international level, the
farmer developed working relationships with
the following organizations: The food and
agriculture
Organization (FAO), the technical Centre for
Agricultural and Rural Cooperation (CTA), the
Caribbean partner of global water partnership
(continued)
420 R. Roop et al.
Table 3 (continued)
(GWP-C), Caribbean agricultural Research
and Development Institute (CARDI), and
inter-American Institute for Cooperation on
agriculture (IICA).
The farmer is the regional administrator of the
Caribbean agribusiness association (CABA),
which has a proactive strategy to support
micro, small and medium enterprises (MSME)
to promote sustainable community food
ecosystems.
The farmer presented research papers,
publications, and working documents on the
farm and sustainable development at various
local, regional, and international conferences,
seminars, and workshops.
These presentations focused on agroecological
practices, including soil and water
management, building adaptation and
mitigation measures to changing climatic
impacts, and sustainably developing
agriculture.
The farm serves as an innovative model by
demonstrating mitigation measures against the
land, water, and business management
challenges in developing Trinidad and
Tobago’s agriculture which has extended to the
Caribbean region and Latin America.
The farm serves as a demonstration model for
researchers, agricultural field officers and
farmers.
Teaching agroecology Educational background
The UN SDG #4 aims to achieve Quality and The four adult farm members attained high-
Equitable Education and promote lifelong school and university qualifications that
learning (UN 2015). enhance their capabilities to implement
Jouan et al. (2020) recommend teaching agroecology concepts.
agroecology practices to current farmers and The 74-year-old farmer demonstrates the
agricultural professionals with secondary importance of lifelong learning by acquiring
school and university qualifications. postgraduate qualifications at ages 69 and
71 (GWP-C 2019).
Conclusions and Recommendations
The dynamic concept of agroecology has emerged as a scientific and feasible method
to progress toward achieving global food security and nutrition (IPES-Food 2016).
Agroecology promotes ecological sustainability and improved production as an
Fig. 1 Before agroecology intervention. The farmer (Lead author) shows difficulties in
establishing a limequat (citrus) field. (Source: Farm’s internal documents)
Fig. 2 After agroecology intervention. Established limequat (citrus) field. (Source: Farm’s internal
documents)
alternative approach in smallholder farming (Gliessman 2016). However, a roadmap

for sustainable agroecology smallholder farms developing resilience against climate
change and hydrometeorological hazards is not always clear and replicable. Differ-
ent countries and institutions define and apply agroecology to reflect their concern
and priorities (Wezel et al. 2020). SDG 2 identified smallholder farmers as integral to
addressing food and nutrition security issues (Wezel et al. 2020). Due to their limited
adaptive capacity, smallholder farmers comprise one of the most vulnerable social
groups, especially in developing countries (Trinh et al. 2018).
422 R. Roop et al.
This case study analysis shows that climate change increases outbreaks of pests
and diseases, resulting in poor yields and crop failures. According to Altieri and
Nicholls (2020), agroecology provides a powerful systemic approach that offers the
best agricultural practices capable of coping with future challenges of climate change
and ecological raptures, such as COVID-19.
Many small farmers have used their traditional knowledge to adapt and prepare
for climate change by using local drought-tolerant varieties, water harvesting
on-farm and soil conservation practices, integrated cropping, and agroforestry by
applying several traditional techniques (Altieri and Koohafkan 2008). Despite the
extensive traditional knowledge of smallholder farmers, teaching and learning the
scientific concepts of agroecology is challenging because it includes a wide range of
complex biological practices operating within a global food system (Jouan et al.
2021). While successful case studies of intensifying ecological practices exist,
changing and adapting agroecology as an alternative farming method to its maxi-
mum potential is not easily facilitated (Kansiime et al. 2021).
This case study analysis has demonstrated that during the past 25 years, the farmer
has implemented on-farm water and soil management initiatives to cope with climate-
related hazards such as droughts and flooding. The on-farm process identified scien-
tific research and analysis as a critical turning point for baselining and understanding
the water and soil-related challenges, evaluating interventions, and triggering a culture
of evidence-based decision-making. Aligned with this culture was the capacity of the
farming family, who are high-school and university educated, to continue
implementing adaptive practices and systems while mitigating business risks.
This research demonstrates that stand-alone climate-related adaptive measures are
insufficient to develop climatic resilience in sustainable farming, which requires
equal attention to business management strategies and practices. Establishing stra-
tegic and sustainable associations with technical and developmental organizations is
necessary. Although the farm development roadmap in this case study is not
generalizable, it does provide valuable information for transforming degraded
lands with climate-induced water challenges into productive and profitable enter-
prises. Ideally, scientific on-farm research and technical support should be perpetual
to better inform sustainable actions on the farm. This research recommends utilizing
FAO’s Ten (10) Agroecology Elements to guide policymakers, practitioners, and
stakeholders to plan, manage, and evaluate transitions to agroecology (FAO 2018).
Therefore, the best option to achieve these ten iconic goals is to teach agroecological
practices to current farmers, technicians, and future professionals in the agriculture
sector who possess secondary and tertiary qualifications (Jouan et al. 2020).
Acknowledgments The authors acknowledge the support of the following contributors to the
chapter:
1. Mr. Vassel Stewart, President of the Caribbean Agribusiness Association (CABA), provided
internal resources and documents on CABA’s strategy to support agroecological strategies in the
region.
2. Dr. Vickey John-Joseph of Jade Mountain & Anse Chastanet Resorts, St. Lucia, used her
Doctoral Thesis (2022) on *International Business* to provide Successful Strategies to Drive
Change Management Initiatives within Global Organizations.
3. Professor Walter Leal Filho, Dr. Bruno Borsari, and the Springer Reference Editorial Team for
providing critical reviews of the drafts for the chapter completion.
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Urban Mobility and Increase in Greenhouse
Gas Emissions in Mexican Cities
Gabriela Narcizo de Lima, Roberto Ariel Abeldaño Zuñiga, and

Fernando Ariel Manzano
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 430
Urban Growth in Mexico in Comparison to the Latin America and the Caribbean Region
and the World . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 432
The Process of Urban Agglomeration in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 433
Mexico City and the Latin American Megacities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437
Trends in Urban Mobility in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 438
Times and Means of Transportation to School . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 440
Time and Means of Transportation to Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 441
Urban Mobility and Climate Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 443
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 447
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 451
Abstract
In accordance with international agendas and commitments (Sustainable Devel-
opment Goals), Mexico reiterated its responsibility to improve mobility in its
urban areas, considering that, without public transport systems and safe mobility,
Mexican cities will not be able to reach their maximum potential. Linking
economic growth with quality of life and environmental sustainability in transport
G. N. de Lima (*)
Department of Geography – Faculty of Letters, University of Porto, Porto, Porto, Portugal
e-mail: gabrielalima@letras.up.pt; gabrielanl@gmail.com
R. A. Abeldaño Zuñiga
University of Sierra Sur, Miahuatlán de Porfirio Díaz, Oaxaca, Mexico
e-mail: rariel@unsis.edu.mx
F. A. Manzano
Instituto de Geografía, Historia y Ciencias Sociales (CONICET/UNCPBA) y Centro de
Investigaciones Geográficas (FCH/UNCPBA), Buenos Aires, Argentina
e-mail: fernandoarielmanzano@fch.unicen.edu.ar

https://doi.org/10.1007/978-3-031-16017-2_51
430 G. N. de Lima et al.
within cities requires leaving behind models that have proven ineffective and
creating innovative alternatives that are applicable to a complex context such as
the one that exists in the main Mexican cities.
Historically, the growth of urban areas in Mexico has occurred in a scattered
and expansive way, fragmenting the urban space and increasing distances and
travel times. Likewise, the mobility model that has accompanied this process of
urban growth is clearly unsustainable. During the last two decades in Mexico,
there has been an alarming trend in the increase of automobile use. This trend
implies an increase in all the negative impacts generated by this type of transport,
especially the increase in greenhouse gas emissions and air pollution. Given this
situation, this chapter aims to present the main trends and characteristics of urban
growth in Mexico compared to the LAC region and the world.
Keywords
Urban mobility · Urban growth · Urban transport · Sustainable transport · GHG ·
Mexico · Population · Sustainable development
Introduction
The rapid growth of urban centers in Latin America and the Caribbean (LAC) during
the twentieth century (United Nations 2018; United Nations, Department of Eco-
nomic and Social Affairs 2018; Instituto Nacional de Estadística y Geografía 2021a),
combined with the lack of urban planning, has generated significant territorial and
socio-environmental imbalances, as well as an increase in the problems of habitabil-
ity of urban areas, including mobility.
The role of transport in sustainable development was first recognized at the
United Nations Earth Summit in 1992. It was reinforced in its final document,
Agenda 21. Then, in 1997, the United Nations General Assembly The United
Nations further noted that, in the next 20 years, the transport was expected to be
the leading cause of the growing energy demand. Today, it is the most significant
end-use of energy in developed countries. It is growing fastest in most developing
countries.
At the World Summit on Sustainable Development in 2002, the role of transport
was once again reflected in the final document: the Johannesburg Plan of Imple-
mentation. This Plan offered multiple benchmarks for sustainable transportation in
the context of infrastructure, public transportation systems, transportation efficiency
and comfort, improving city air quality and health, and reducing greenhouse gas
emissions, among other things.
Thus, sustainable transport is a fundamental part of SDG 11, which seeks to make
cities and human settlements inclusive, safe, and resilient. It is also closely linked to
SDG 7, which seeks to ensure access to affordable, reliable, sustainable, and modern
energy for all. It is also linked to SDG 12, which seeks to ensure sustainable
consumption and production patterns.
Urban Mobility and Increase in Greenhouse Gas Emissions in Mexican Cities 431
Urban mobility is a widely discussed concept in public policies involving urban

planning. It deals with how the urban population moves through the geographic
spaces of cities, as well as directly interfering with the social welfare of the people.
This concept is fundamental in urban planning, as it has a decisive influence on the
quality of life of city dwellers (Baranda-Sepúlveda et al. 2012; Céntrico 2019).
In Mexico, mobility is an important indicator that reflects inequality in the
country. Public policy decisions have prioritized the mobility conditions of those
sectors of society with greater privileges and who have the opportunity to choose
between different means to mobilize themselves (Hernández-Rejón et al. 2017;
Céntrico 2019).
According to data from the National Institute of Statistics and Geography (INEGI
by its acronym in Spanish) (Instituto Nacional de Estadística y Geografía 2021a),
most trips in Mexico are by public transport or walking. However, the concern for
mobility in the public sphere has focused on the growth of the private vehicle fleet
and not on the conditions in which public transport is offered or the safety of
pedestrian networks (Secretaría de Desarrollo Agrario Territorial y Urbano et al.
2018).
The latest INEGI report (Instituto Nacional de Estadística y Geografía 2021a)
shows that between 1980 and 2020, the private motor vehicle fleet has increased by
11.4%, while those destined for passenger transport have increased by only 3%, on
average. This trend implies an increase in all the negative impacts created by the
automobile, notably an increase in greenhouse gas emissions and pollution.
The National Inventory of Emissions of Greenhouse Gases and Compounds
1990–2015 (Instituto Nacional de Ecología y Cambio Climático 2018) established
that transportation contributes with 24.5% of the country’s emissions, equivalent to
171 million tonnes of carbon dioxide equivalent per year (Mt/year of CO2eq). The
private transport subsector represented the most significant contribution, with almost
94% of the sector’s emissions (159.94 Mt/year of CO2eq). In other words, 22.9% of
the country’s emissions are created by motor vehicles. If the current emissions
pattern continues, 347 Mt/year of CO2eq emissions are estimated for 2030. How-
ever, Mexico’s goal for a 450 ppm ceiling scenario is to emit only 185 Mt/year of
CO2eq, which would imply a drastic reduction in emissions in the coming years.
Given this situation, this chapter aims to present the main trends and character-
istics of urban growth in Mexico compared to the LAC region and the world. It will
also analyze their relationship with the trends in the use of different modes of urban
transport and the problem of the effect of mobility on greenhouse gas emissions in
the country. It will focus on the measures needed to achieve the goals of emissions
reduction aimed at a stabilization level, which implies the implementation of sound
policies to reduce vehicle-km traveled and integrated policies for public and non-
motorized transport.
The data used to analyze Mexico’s urban growth characteristics and trends come
from the document “World Urbanization Prospects 2018” (United Nations 2018),
and the trends in the use of the different modes of transport and their respective
impacts on greenhouse gas (GHG) emissions in Mexican cities were calculated from
data from the Population and Housing Censuses (Instituto Nacional de Estadística y
Geografía 2021a) and the National Inventory of Emissions of Greenhouse Gases and
Compounds (Instituto Nacional de Ecología y Cambio Climático 2018).
Urban Growth in Mexico in Comparison to the Latin America

and the Caribbean Region and the World
In the LAC region, urbanization began by incorporating its societies into the
international labor division as suppliers of primary goods for industrialization in
other territories (Pírez 2016). As early as 1950, LAC countries showed significant
heterogeneity in terms of their levels of urbanization. In general terms, they can be
grouped into three categories. The first corresponds to the early urbanizing countries
– Argentina, Uruguay, Chile, and Cuba – which had the highest levels of urbaniza-
tion. The second category comprises late urbanizing countries – Venezuela, Mexico,
Panama, Costa Rica, Colombia, and Brazil. The third category is made up of
countries with very late and low urbanization (Bolivia, Peru, Ecuador, Paraguay,
Nicaragua, El Salvador, Dominican Republic, Guatemala, Honduras, and Haiti),
with only 14% of the total population residing in cities in 1950 (Gatica 1975).
Thus, by the middle of the last century, the pace of urbanization exhibited a marked
spatial-demographic heterogeneity among the region’s countries linked to economic
development.
In the following decades, the urbanization process in LAC accelerated to a greater
extent in the countries that make up the second group. This impetus came from
productive and social transformations linked to the industrialization strategy pro-
moted by the governments of most of the countries. The economic strategy known as
“import substitution” has promoted typically urban activities – industry and services
sectors – and created a large labor surplus in rural areas (Da Cunha and Rodríguez
Vignoli 2009). In the case of Mexico, three phases of this process can be considered:
between 1940 and 1970, the export of agricultural products driven by the primary
sector; from the mid-1970s and early 1980s, growth of the industrial sector oriented
to the domestic market, creating a substitution of imports of intermediate and durable
consumer goods. Between 1983 and 1993, industrial development continued, but
within the framework of transnationalization of the economy (Sandoval Forero
2018).
According to United Nations data (2018), between 1950 and 1970, the population
of LAC grew from 151.8 to 262.8 million people, an increase of 73.1%. In this time
interval, the percentage of the urban population grew from 41.9% to 58.3%, equiv-
alent to a growth of 141.1% – from 63.6 to 153.2 million people – while the rural
population grew only 24.0% – from 88.3 to 109.4 million people. In comparison to
the situation at the world level, the increase in urban population was markedly
higher, with values of the average annual growth rate (using the geometric function)
of 45.0 and 29.5 per 1,000 inhabitants (‰), respectively, between 1950 and 1970.
The improvised urban sprawl in LAC impacted the percentage of active man-hours
lost daily due to excessive distances and the inadequacies of transportation and urban
roads (Gatica 1975).
90.0
81.8
79.4
80.0 76.5
71.4 80
80.7
77.8
70.0 66.3 74.7
71.6
59.0 65.6
60.0
50.8 58.3
56.2
56.
50.0
50.4 51.7
42.7
2.7
46.7
40.0 43.0
41.9
1.9
39.3
36.6
30.0 33.8
29.6
9.6
20.0
1950
1955
1960
1965
1970
1975
1980
1985
1990
1995
2000
2005
2010
2015
2020
World Latin America Mexico
Fig. 1 Percentage of urban population in Mexico, Latin America and the Caribbean, and the
World. Years 1950–2020. (Source: Elaborated by the authors based on open access data from the
United Nations (2018))
On the other hand, Mexico’s urbanization process during the period mentioned
above was higher than the average for the region, registering a compound annual
growth rate (CAGR) of 48.3‰. In 1980, the urban population’s participation in
Mexico reached 66.3% of the total, with a gap of 0.8 and 27.0 percentage points
(p.p.) for the region and the world average, respectively. By 1990, the urban
population percentage in LAC became somewhat higher than in Mexico – 71.6%
in the former and 71.4% in the latter – while the world average was only 43.0%
(Fig. 1).
In the first two decades of the twenty-first century, the urbanization level slowed
significantly. At the world level, the CAGR was 21.4‰ – a decrease of 21.3% for the
second half of the twentieth century. However, it was above Mexico and Latin
America, which showed values of 17.8 and 15.5‰ – with declines in the urbaniza-
tion rate of 52.9 and 56.4%, respectively, in regards to the 1950–2000 period. The
latter is linked to reductions in the rural-urban migration rate and vegetative growth
in the cities (Da Cunha and Rodríguez Vignoli 2009).
The Process of Urban Agglomeration in Mexico
The evolution of Mexico’s urban system in the twentieth century follows three major
periods: (i) moderate-low, 1900–1940; (ii) accelerated-medium, 1940–1980; and
(iii) accelerated low, 1980–2005 (Garza 2007).
In 1970, the majority of the world’s urban population (60.3%) lived in cities with
less than 500 thousand inhabitants, and by 2020, this proportion dropped to 47.2%.
In LAC, the decrease is relatively similar – a decline of 12.6 p.p. – while Mexico
stands out for reducing this size of the urban agglomeration by 24.3 p.p.
100.0 4.0 4.9 6.7 8.6

7.9
10.7 13.2 14.9 10.8 14.1 12.7
90.0 19.2 8.0 6.8 22.1 17.5 20.2
28.8 8.0 28.3 25.7 7.5 24.3 7.5
4.9 4.9 6.2 8.0
80.0 18.0 3.3
19.2 20.4 4.8
13.9 19.3 21.8
70.0 21.9 21.9 21.2
9.1 11.6 14.1 19.5 23.3 23.1 22.3 25.3
9.7 8.3 9.7 24.7
60.0 2.2 9.1
7.9 6.3 8.8 9.4 9.9
16.3 9.3 8.7 9.9
50.0 7.8
18.8 18.6 14.7
40.0
30.0 60.3 58.7 59.9 58.3 57.0
54.1 53.7 51.3 52.8 49.0 50.7
43.9 47.7 47.2 46.1
20.0 37.4 36.2 35.7
10.0
0.0
World Latin Mexico World Latin Mexico World Latin Mexico World Latin Mexico World Latin Mexico World Latin Mexico
America America America America America America
1970 1980 1990 2000 2010 2020
Less than 500,000 500,000 to 1 million 1 to 5 millions 5 to 10 millions 10 million or more
Fig. 2 Distribution of the urban population according to the size of the nucleus in Mexico, Latin
America and the Caribbean, and the World. Years: 1970, 1980, 1990, 2000, 2010 and 2020
(in percentage). (Source: Elaborated by the authors based on open access data from the United
Nations (2018))
The strong trend toward urban concentration leads to severe urban “deficits” in
employment and, in particular, basic urban services such as transportation, housing,
health, education, and urbanization infrastructure. On the other hand, the process of
urban segregation is accentuated, mainly due to the unrestrained speculation of
metropolitan urban land. Finally, the process’ speed leads to a serious deterioration
of the environment and the life of the urban inhabitant, since the required urban
transformations and the provision of essential services are increasingly lagging
behind the speed of the requirements of the urban population (Gatica 1975).
At the global level, 18.0% of the urban population resided in agglomerates with a
size between 1 and 5 million in 1970, and by 2020, this urban category increased its
relative share by 4.3 p.p. In LAC, the increase rises to 15.6 p.p. (Fig. 2). The number
of agglomerates of this size grew the most between 1970 and 2020 worldwide (2.9 p.
p.) and in the LAC region (7.8 p.p.). In Mexico, they were only 2 in 1970 and
increased to 15 in 2020, which meant a variation in relative participation
of 5.6 p.p. (Table 1).
The population residing in urban groupings between 5 and 10 million inhabitants
remained relatively constant worldwide between 1970 and 2020. In the Latin
American region and Mexico, they decreased by 15.8 and 24.0 p.p., respectively.
The same occurred with the relative weight of the number of urban groupings of this
size in the total, but not in absolute terms. It is worth noting that the trend towards
urban concentration is maintained or may increase despite declining urbanization
rates.
In terms of population, the agglomerates with the highest participation were those
with more than 10 million inhabitants; at the world level, the increase corresponded
to 8.7 p.p. In the LAC region, it rose to 17.5 p.p., and Mexico reached 20.2 p.p.
Since 2000, Mexico has recorded the highest shares in agglomerates with
between 500,000 and 1 million inhabitants. In all the decades analyzed, agglomer-
ates with less than 500 thousand inhabitants have the highest share at the world level.
The same is evident in LAC, except for in 2010.
Table 1 Number of agglomerations according to the size of the nucleus in Mexico, Latin America and the Caribbean, and the World. Years: 1970, 1980, 1990,
2000, 2010, and 2020 (in absolute values and percentages)
Year 1970 1980
Geographic area World Latin America Mexico World Latin America Mexico
Dimension n % n % n % n % n % n %
Total 560 100.0 58 100.0 9 100.0 742 100.0 87 100.0 17 100.0
10 millions or more 3 0.5 0 0.0 0 0.0 5 0.7 2 2.3 1 5.9
5 to 10 millions 15 2.7 4 6.9 1 11.1 19 2.6 2 2.3 0 0.0
1 to 5 millions 127 22.7 13 22.4 2 22.2 174 23.5 24 27.6 3 17.6
500,000 to 1 million 190 33.9 20 34.5 1 11.1 247 33.3 27 31.0 5 29.4
3,000 to 500,000 225 40.2 21 36.2 5 55.6 297 40.0 32 36.8 8 47.1
Year 1990 2000
Geographic Area World Latin America Mexico World Latin America Mexico
Total 991 100.0 126 100.0 35 100.0 1291 100.0 152 100.0 43 100.0
10 millions or more 10 1.0 3 2.4 1 2.9 16 1.2 4 2.6 1 2.3
5 to 10 millions 21 2.1 2 1.6 0 0.0 30 2.3 3 2.0 0 0.0
1 to 5 millions 243 24.5 36 28.6 4 11.4 325 25.2 44 28.9 7 16.3
500,000 to 1 million 301 30.4 41 32.5 15 42.9 396 30.7 53 34.9 21 48.8
3,000 to 500,000 416 42.0 44 34.9 15 42.9 524 40.6 48 31.6 14 32.6
Year 2010 2020
Urban Mobility and Increase in Greenhouse Gas Emissions in Mexican Cities
Geographic Area World Latin America Mexico World Latin America Mexico
Total 1599 100.0 188 100.0 49 100.0 1934 100.0 215 100.0 54 100.0
(continued)
435
436
Table 1 (continued)
Year 1970 1980
10 millions or more 25 1.6 4 2.1 1 2.0 34 1.8 6 2.8 1 1.9
5 to 10 millions 39 2.4 4 2.1 0 0.0 51 2.6 3 1.4 1 1.9
1 to 5 millions 380 23.8 54 28.7 10 20.4 494 25.5 65 30.2 15 27.8
500,000 to 1 million 510 31.9 57 30.3 23 46.9 626 32.4 58 27.0 21 38.9
3,000 to 500,000 645 40.3 69 36.7 15 30.6 729 37.7 83 38.6 16 29.6
Source: Elaborated by the authors based on open access data from the United Nations (2018)
G. N. de Lima et al.
Mexico City and the Latin American Megacities
The industrialization process that began in Mexico in the 1940s led to the growth of
cities in the following decade. A large number of farmers flocked to the cities in
search of employment, which contributed to the urbanization process with its
consequent problems of unemployment and underemployment, lack of essential
services, and reduction of space (Sandoval Forero 2018).
In 1950, only New York and Tokyo had more than 10 million inhabitants. The
largest urban groupings in the LAC region were Buenos Aires (5.2 million) and
Mexico City (3.4 million).
By 1970, the number of cities with a demographic size greater than 10 million in
the world was three, in addition to Osaka (Japan). During the period 1950–1970, the
urban growth of São Paulo and Mexico City stood out – the CAGR were 60.9 and
49.4‰, respectively (Fig. 3). Consequently, in 1975, Mexico City managed to
exceed 10 million inhabitants, being four urban groupings in the world to reach
this threshold and the first in Latin America.
There are marked differences between Mexico and Brazil in terms of population
concentration at the country level. In 1975 in Brazil, the three largest urban group-
ings after São Paulo were Rio de Janeiro with 7.7 million, Belo Horizonte with 1.9
million and Recife with 1.8 million inhabitants – equivalent to 80.4%, 19.8%, and
19.4% of São Paulo, respectively. In the case of Mexico, the urban areas with the
largest number of inhabitants after Mexico City were Guadalajara with 1.8 million,
Monterrey with 1.6 million, and Puebla with 0.8 million, representing 17.2%,
15.2%, and 7.7% of Mexico City, respectively.
In Mexico, the 1980s saw the start of the transition from a preeminent mono-
centric system to a polycentric one. In 1980, the 8 cities with more than 500,000
inhabitants – Juarez, Guadalajara, La Laguna, Leon de los Aldamas, Monterrey,
21.8
22.0 22.0
19.7
18.5
20.1
17.0
17.0 15.6
17.0
15.9
14.8 15.2
13.0 14.2
11.8
12.0 12.1 11.1 12.4 13.5
8.8 11.3
10.4
6.8 9.7
7.6 8.8
7.0
5.2 6.8
3.4
3.0 4.0
2.0 2.3
1950 1960 1970 1980 1990 1995 2000 2010 2020
Mexico City (Mexico) São Paulo (Brazil)

Buenos Aires (Argentina) Rio de Janeiro (Brazil)
Average 30 largest agglomerations (World)
Fig. 3 Population (in millions) of the largest urban agglomerations in Latin America and the World
(average of the 30 highest). (Source: Elaborated by the authors based on open access data from the
United Nations (2018))
Puebla, Tampico, and Toluca de Lerdo – absorbed 56% of the total urban population.
Nevertheless, the central pole of this new concentration continued to be Mexico City,
which in 1980 represented a sufficiently high index of prominence concerning
Guadalajara – the second most populated city. Likewise, Mexico City’s position as
a first-rate central location in the urban system will be strengthened as it begins its
process of megalopolitan expansion (Garza 2007) (Table 2).
Trends in Urban Mobility in Mexico
In the twentieth century, Mexico experienced strong urban growth in the absence of
city planning, which resulted in fragmentation and socio-environmental imbalance
in urban areas.
Urban planning affects the mobility of the population through the geographic
spaces of cities and directly interferes with the social welfare of citizens. The city
user is a mobile being at different scales; they walk and use urban spaces. In public
spaces and residential areas of the city, people from distinct social sectors move
around by walking or using various means of transportation.
The movements of inhabitants through the city are an essential part of the
urbanization process. So, in this section, mobility data of the inhabitants of Mexico
were analyzed, using the population and housing censuses of the years 2015
(Instituto Nacional de Estadística y Geografía (INEGI) 2015, 2020, 2021) as data
sources.
These data are nationally representative and are collected through census opera-
tions carried out periodically by the National Institute of Statistics of Mexico, known
as INEGI, for its acronym in Spanish. It is essential to mention that the 2020 data
analyzed were collected by the National Population and Housing Census operation
in March, just as activities were beginning to close due to the COVID-19 pandemic.
Therefore, the data shown does not reflect the decrease in mobility experienced in
the following months, when schools were closed and many work activities were
carried out through teleworking. For this reason, the main characteristics of urban
mobility in Mexico in 2015 and 2020 are shown in comparative terms.
It is important to mention that not all countries in the world include censuses
questions for their population to analyze people’s daily mobility. Such a question is
related to daily commuting to work or study, which allows capturing the mobility of
the population.
Origin-destination surveys have historically been the primary source of informa-
tion on daily mobility; these types of questions refer to the “daily” trips of the
population for work, study, or other purposes. The main utility of this type of survey
is for decision-making and management of the urban and interurban transport sector.
Historically, the main weakness of this type of survey was the geographical repre-
sentativeness of the samples, but this has been resolved with the inclusion of these
questions in the population and housing censuses (Centro Latinoamericano y
Caribeño de Demografía. División de Población 2007). Countries such as Brazil,
Colombia, Chile, and Mexico currently include these questions in their population
Table 2 Population of Mexican urban agglomerations with 500,000 inhabitants or more in 1950–2020 (thousands) (in absolute values and percentages)
Population of urban agglomerations with 500,000 inhabitants or more in 1950–2020 (thousands)
Urban 1950 1960 1970 1980 1990 2000 2010 2020
agglomeration n % n % n % n % n % n % n % n %
Mexico City1 3,365 28.2 5,479 28.3 8,831 28.8 13,028 28.3 15,642 25.7 18,457 24.3 20,137 22.1 21,782 20.2
Guadalajara 403 3.4 870 4.5 1506 4.9 2,269 4.9 3,023 5.0 3,724 4.9 4,441 4.9 5,179 4.8
Monterrey 396 3.3 735 3.8 1299 4.2 2,049 4.5 2,691 4.4 3,405 4.5 4,112 4.5 4,874 4.5
Puebla 298 2.5 387 2.0 664 2.2 1,021 2.2 1,790 2.9 2,285 3.0 2,732 3.0 3,195 3.0
La Laguna2 217 1.8 296 1.5 344 1.1 544 1.2 737 1.2 891 1.2 1,063 1.2 1,615 1.5
León de los 176 1.5 286 1.5 460 1.5 690 1.5 991 1.6 1,280 1.7 1,611 1.8 1,825 1.7
Aldamas
Tampico 165 1.4 222 1.1 378 1.2 534 1.2 651 1.1 750 1.0 861 0.9 1,001 0.9
Ciudad Juárez 123 1.0 253 1.3 412 1.3 546 1.2 809 1.3 1,223 1.6 1,334 1.5 1,519 1.4
Toluca de Lerdo 80 0.7 112 0.6 167 0.5 600 1.3 1,121 1.8 1,553 2.0 1,940 2.1 2,467 2.3
Notes: (1) It refers to the total population of 76 municipalities of the Metropolitan Zone of Mexico City; (2) Refers to Apizaco-Tlaxcala
Source: Elaborated by the authors based on open access data from the United Nations (2018)
Urban Mobility and Increase in Greenhouse Gas Emissions in Mexican Cities
439
censuses. The main questions included allow us to characterize the time and means
of transportation used to move from home to the workplace and the place of study
each day (Instituto Nacional de Estadística y Geografía (INEGI) 2021).
Some of the most relevant data yielded by these surveys has been the predomi-
nance of public transportation in the lower-income sectors. At the same time, the use
of the automobile is the one that stands out the most in the higher-income sectors.
The time dimension is one of the most important because it has been described that
the people who lose more time commuting from their homes to work are those with
lower incomes, impacting their daily economies. After all, it is time that they cannot
use in lucrative activities (Centro Latinoamericano y Caribeño de Demografía.
División de Población 2007).
Times and Means of Transportation to School
In 2015, 34.4 million Mexicans of all ages commuted from their homes to school,
while in 2020, that figure decreased to 33.0 million. According to data from both
years, three out of every four people studying in Mexico use less than 30 min to
commute from home to school (Fig. 4).
The investment of commuting time in students is a limitation in their daily lives
since those who take more than 30 min to travel to school see this time doubled when
counting the return trip. So it is time that cannot be used to dedicate to study. A small
portion of people does not need to travel to school, probably because they have
“homeschool” activities.
70.0
60.0
50.0
40.0
30.0
20.0
10.0
0.0
1 to 15 16 to 30 31 to 60 61 to 120 More than Does not Not
minutes minutes minutes minutes 120 minutes move specified
2015 2020
Fig. 4 Travel time from home to school in Mexico, 2015 and 2020. (Source: Elaborated by the
authors based on open access data from the Instituto Nacional de Estadística y Geografía 2015 and
2021b)
Of the people who used from 1 to 30 min to travel from home to school in 2015,
59.9% did it by walking, while 18.0% used mass transportation (bus, collective cab,
or “combi” bus). 17.7% used private vehicles (family means of transport). In 2020,
these patterns changed since there was a decrease in people using mass transporta-
tion (12.6%). This difference of almost 5.4 p.p. implies a total of 1.5 million people
who sought means of transportation other than mass transit (Table 3).
For their part, of the people who used 31 or more minutes to travel to school in
2015, 71.6% used the bus, collective cab, or “combi” bus, followed by the private car
(12.1%) and walking (9.9%). These patterns were also transforming in 2020, as the
number of people walking to school, those using the subway, and those using the
“Other” category increased significantly. Bicycling as a means of transportation to
school is very low, as less than 2% of people use it (Table 3).
Time and Means of Transportation to Work
Data from the 2015 population census show that a total of 45.1 million Mexicans
commuted from their homes to their workplaces, while in 2020, that figure will
increase to 52.2 million. It is important to mention that there is a category called
“does not move” for those who perform their daily work from home (self-employed
workers or those who have a business in their home). The figure in this category in
2015 was 3.9 million people, while in 2020, it was 5.8 million (Fig. 5).
According to data from both years, half of the people working in Mexico use less
than 30 min to commute from their home to their workplace (Fig. 5).
The commuting time investment of working people is also a matter of concern.
According to the most current data, there are 4.3 million people who need between
1 and 2 h per commute and 1.1 million people who need at least 2 h per commute
(Fig. 5). The commuting time ultimately impacts their productivity and their daily
economy.
Concerning the means of transportation used by Mexico’s inhabitants to commute
to their usual places of work, in 2015, of all the people who used 30 min or less for
transportation, 28.2% did it walking, a figure that increased in 2020 to 33.7%.
Another means of transportation that increased its figures from 2015 to 2020 were
private means of transportation (car, van, or motorcycle), from 31.1% to 34.1%, and
work buses (of private companies) that went from 5.3% to 8.4%. These increases
subtracted users from mass transit services, such as subways, light rail, and buses
(Table 4).
On the other hand, people who needed more than 30 min to commute to their
workplaces in 2015 and used more means of transportation included in the category
bus, collective cab or “combi” bus (54.8%), followed by private vehicles (19.6%)
and work buses (8.4%). But in 2020, these patterns changed, as the most used means
of transportation were the bus, collective cab, or “combi” bus category (38.4%),
followed by private vehicles (27.5%) and walking (15.0%). The number of people
who walk (and need more than 30 min) doubled, the use of mass transportation
decreased, but the use of private vehicles increased (Table 4).
442
Table 3 Means of transportation from home to school, by travel times

Metro, Bus, taxi, Private vehicle (car,
metrobus, or “combi” School truck, or Not
Walking Bike light rail bus bus motorcycle) Others specified Total
2015 1–30 min % 59.9 1.6 0.2 18.0 1.4 17.7 0.4 0.8 100.0
n 16,810,988 442,499 65,491 5,048,721 389,009 4,964,918 105,158 222,940 28,049,724
31 or % 9.9 0.4 2.3 71.6 2.3 12.1 0.4 1.0 100.0
more n 458,035 20,015 104,325 3,309,616 105,969 561,245 17,062 44,226 4,620,493
minutes
2020 1–30 min % 60.3 1.7 0.2 12.6 1.8 18.6 3.4 0.1 100.0
n 16,620,186 458,427 60,149 3,480,369 487,548 5,113,360 934,043 31,367 27,553,130
31 or % 17.6 0.4 5.5 55.3 2.7 13.3 3.2 0.4 100.0
more n 824,469 19,247 257,833 2,588,592 127,302 621,998 149,997 18,488 4,680,394
minutes
Source: Elaborated by the authors based on open access data from the Instituto Nacional de Estadística y Geografía 2015 and 2021b
35.0
30.0
25.0
20.0
15.0
10.0
5.0
0.0
1 to 15 16 to 30 31 to 60 61 to 120 More than It is not Does not Not
minutes minutes minutes minutes 120 possible to move specified
minutes determine
2015 2020
Fig. 5 Travel time from home to work in Mexico, 2015 and 2020. (Source: Elaborated by the
authors based on open access data from the Instituto Nacional de Estadística y Geografía 2015 and
2021b)
In 2020, a question referring to transportation usage through taxi cab apps

appeared in the population census.
Here, bicycles continue to be an underused means of transport (6.8% in 2015 and
5.8% in 2020) since only 1.6 million use them for this purpose.
Within this country, Mexico City has a particular configuration. In this city, there
is an evident influence of the place of work on the choice of housing location, which
determines the time and type of transportation used. In this regard, some authors
point out that together with the socioeconomic characteristics of people who change
their residence, there is a clear influence of the place of work on the choice of
housing location, which makes residential mobility a social mechanism for
balancing the urban structure (Suárez and Delgado 2009; Suárez-Lastra and
Deldago-Campos 2010). Mexico City has a Metro. However, other authors who
analyzed the patterns of use of this means in Mexico City conclude that it is one of
the least used means due to several factors, including walking distance to stations,
service coverage, the density of stations, as well as ease of transfer and waiting times
(Murata et al. 2017).
Urban Mobility and Climate Change
Mexico is one of the leading countries globally to promote, sign, and ratify interna-
tional agreements to reduce greenhouse gas (GHG) emissions and incorporate them
into its legal and planning framework. The same does not happen at the implemen-
tation level of these policies, where the lack of effective instruments is noteworthy
(Céntrico 2019).
444
Table 4 Means of transportation from home to work, by travel times

Metro, Bus, taxi, Private
metrobus, or vehicle (car,
or light “combi” truck, or App Not
Walking Bike rail bus Work bus motorcycle) taxi Others specified Total
2015 1–30 min % 28.2 6.8 0.5 23.8 5.3 31.1 * 1.1 3.3 100
n 6,851,586 1,663,442 120,772 5,794,081 1,280,011 7,556,811 * 256,907 807,871 24,331,481
31 or % 7.3 2.4 2.0 54.8 8.4 19.6 * 1.2 4.3 100
more
minutes
n 1,032,675 332,001 284,000 7,703,504 1,176,323 2,749,385 * 173,084 608,829 14,059,801
2020 1–30 min % 33.7 5.8 0.7 15.7 8.4 34.1 0.4 1.1 0.1 100
n 9,693,840 1,680,147 203,040 4,520,076 2,410,660 9,824,862 108,399 306,314 42,190 28,789,528
31 or % 15.0 1.8 7.0 38.4 8.8 27.5 0.2 1.1 0.3 100
more
minutes
n 2,438,614 293,742 1,139,212 6,262,183 1,433,656 4,478,512 40,377 173,048 46,665 16,306,009
Source: Elaborated by the authors based on open access data from the Instituto Nacional de Estadística y Geografía 2015 and 2021
Almost 50% of the total energy consumed in Mexico is used to move goods and
people. The combustion of fossil fuels in private transportation makes this sector the
second-largest source of GHG emissions in the country and one of the leading causes
of air pollution (Secretaría de Desarrollo Agrario Territorial y Urbano et al. 2018;
Céntrico 2019).
In this sense, according to the National Inventory of Greenhouse Gas and
Compounds Emissions 1990–2015 (Instituto Nacional de Ecología y Cambio
Climático 2018), emissions in Mexico in 2015 – without considering removals –
totaled 699,564.3 gigagrams of carbon dioxide equivalent (GgCO2eq), which rep-
resents an increase of 57.3% of emissions recorded in 1990 and of 4.6% compared to
2010 (Fig. 6). Net emissions in 2015, which include GHG emissions and removals,
totaled 551,218.20 GgCO2eq.
Total emissions by type of gas in 2015 were: carbon dioxide, 503,473.80
GgCO2eq; methane, 142,143.76 GgCO2eq; nitrous oxide, 41,134.72 GgCO2eq;
hydrofluorocarbons, 12,616.74 GgCO2eq; and sulfur hexafluoride, 195.25
GgCO2eq. Perfluorocarbon (PFC) emissions were not quantified in 2015 because,
as of 2004, primary aluminum production ceased in Mexico, and PFCs are no longer
consumed as substitutes for ozone-depleting substances (Instituto Nacional de
Ecología y Cambio Climático 2018).
It is important to clarify that for the Intergovernmental Panel on Climate Change
(IPCC) (2008), estimating the GHG emissions by activities is done by grouping
them into different categories through the Common Report Format. This manner
maintains order and uniformity with other countries’ inventories and makes them
comparable. In the case of Mexico, these criteria do not coincide in all cases with the
industrial branches contained in the System of National Accounts, so some values
may vary slightly.
7,50,000
6,50,000
5,50,000
GgCO2eq
4,50,000
3,50,000
2,50,000
1,50,000
50,000
1990 1995 2000 2005 2010 2011 2012 2013 2014 2015
Year
Total emissions Energy Sector Subcategory Transportation
Fig. 6 Greenhouse gas emissions in Mexico 1990–2015 – total emissions, energy sector, and
transportation subcategory. (Source: Elaborated by the authors based on open access data from the
Instituto Nacional de Ecología y Cambio Climático 2018)
The analysis of emissions by sector in the country – without considering the

Land category – is divided as follows: “Energy” sector – in which the transporta-
tion subcategory is included – contributed 71% of total emissions, an increase
equivalent to 65% with the values recorded in 1990 (Fig. 6); “Industrial processes
and product use” sector, with a contribution of 8% to total emissions; “Agriculture,
forestry and other land use” sector, which contributed 14% of emissions; and
“Waste” sector, with a contribution of 7% (Instituto Nacional de Ecología y
Cambio Climático 2018).
Looking specifically at the transportation subcategory, which includes GHG
emissions from the combustion of fossil fuels used in air, land, and maritime
transportation activities, it is shown that the sector’s emissions increased in the
1990–2015 period by 83.2%, reaching a total of 171,355 GgCO2eq in 2015. The
primary source of emissions within this subcategory was the private transportation
subsector, which produced 93.3% of the total emissions recorded (Fig. 7). In
comparison, civil aviation contributed 3.7%, maritime and river navigation 1.5%,
and railroads 1.4% (Instituto Nacional de Ecología y Cambio Climático 2018).
Concerning fossil fuel consumption, between 1990 and 2015, the private trans-
portation subsector also experienced a steady increase, as can be seen in Fig. 8. In the
same period, the consumption of liquefied gas increased 248%; Gasoline and
Naphtha, 78%; and diesel, 99%. From 1999 began the consumption of dry gas in
this emission source, and its use until 2015 had a growth of 11.8% (Instituto
Nacional de Ecología y Cambio Climático 2018).
Updated data, issued by the Ministry of Energy (2020), shows that the transpor-
tation subcategory’s energy consumption had a reduction of 17.42% between
2018 and 219 (from 2,454.70 PJ to 2,027.05 PJ), also accompanied by a drop in
1,81,500 1,81,500
1,61,500 1,61,500
1,41,500 1,41,500
1,21,500 1,21,500
GgCO2eq
GgCO2eq
1,01,500 1,01,500
81,500 81,500
61,500 61,500
41,500 41,500
21,500 21,500
1,500 1,500
1990 1995 2000 2005 2010 2011 2012 2013 2014 2015
Year
Motor transport Civil Aviation Maritime and river navigation
Railways Total Transportation
Fig. 7 Greenhouse gas emissions by type of transport in Mexico - 1990-2015. (Source: Elaborated
by the authors based on open access data from the Instituto Nacional de Ecología y Cambio
Climático 2018)
2300
2100
1900
Petajoules (PJ)
1700
1500
1300
1100
900
700
Year
Gasoline and Naphtha Diesel Liquid gas Dry gas
Fig. 8 Energy consumption in the Mexican motor transport subsector – 1990–2015. (Source:
Elaborated by the authors based on open access data from the Instituto Nacional de Ecología y
Cambio Climático 2018)
the consumption of the private transportation subsector of 18.05% (from 2205.07 PJ

to 1807.07PJ). Although it is a fact that the progressive improvement in the
efficiency of vehicle engines, estimated between 3% and 4% per year, this benefit
is eliminated with the constant growth of the motor vehicle fleet in Mexico. Between
1980 and 2020, the country’s vehicle fleet increased from 5,758,330 to 50,347,569
(89%), with the states of Guerrero, Estado de México, Querétaro, Quintana Roo,
Tabasco, and Tlaxcala showing the highest increases in this period – exceeding 95%
in all cases (Instituto Nacional de Estadística y Geografía 2020).
The trend of introducing better engines, including electric ones, does not seem to
compensate for the rapid increase in the number of cars circulating in Mexico,
especially when it is noted that there are almost 400 vehicles per 1,000 inhabitants
in the country. The trend scenario for the coming decades shows that GHG emissions
will accompany the increase in the automobile fleet. According to figures issued by
the National Institute of Ecology and Climate Change (2018), if current conditions
are maintained, it is estimated that by 2030, the country will be emitting approxi-
mately 266 Mt/year of CO2eq in the transportation subcategory. Any effort to reduce
emissions also requires a substantial decrease in the purchase and use of private
automobiles, regardless of the effort to electrify engines (Baranda-Sepúlveda et al.
2012; Secretaría de Desarrollo Agrario Territorial y Urbano et al. 2018; Céntrico
2019).
Conclusion
The international community recognizes the importance of sustainable transport for

countries in special situations through the Sendai Framework for Disaster Risk
Reduction, the New Urban Agenda, and other International Commitments.
In the 2030 Agenda for Sustainable Development, sustainable transport is inte-

grated into several SDGs and targets, especially health, energy, economic growth,
infrastructure, and cities and human settlements. The importance of transport for
climate action is further recognized in the UNFCCC: the transport sector currently
plays a significant role in achieving the Paris Agreement. A quarter of the world’s
energy-related greenhouse gas emissions come from transportation. These emissions
are expected to grow substantially in the coming years.
In the last 30 years, approximately 1,500,000 hectares of agricultural land and
forests have been converted into urban areas in Mexico (Secretaría de Desarrollo
Agrario Territorial y Urbano 2021), a value that reflects the rapid growth of cities in
different regions of the country. In the coming decades, a large part of Mexico’s
population growth is expected to be urban. This means that the country will come to
have a growing number of cities and metropolitan areas, where 83.2% of the national
population will be concentrated and where, most likely, it will be the poor population
that will predominate (UN-Habitat 2017).
According to the National Program for Land Management and Urban Develop-
ment 2021–2024 (Secretaría de Desarrollo Agrario Territorial y Urbano 2021),
metropolization is probably the socio-spatial phenomenon of most significant rele-
vance at present and for the future of Mexico. If the expansive territorial pattern that
characterizes Mexican cities prevails, the distances, times, and costs of urban
journeys will increase; negative externalities or social costs will grow, and more
significant investment will be required to achieve effective spatial connectivity.
Likewise, if the mobility approach tends to promote the use of private motor vehicles
persists, environmental impacts and socioeconomic inequality will worsen. Consid-
ering cities tend to concentrate proportionally – and in absolute terms – the number
of low-income people will increase (UN-Habitat 2017).
In terms of the environmental impacts generated by the growth of Mexican urban
centers, it can be mentioned, for example, that between 40% and 75% of GHG
emissions are generated in cities and metropolises(UN-Habitat 2017; Instituto
Nacional de Ecología y Cambio Climático 2018), mainly as a result of the consump-
tion of petroleum-derived energy – including internal combustion engines in trans-
portation vehicles – as well as the change in land use, which causes an increase in
environmental and socioeconomic vulnerability (UN-Habitat 2017; Instituto
Nacional de Ecología y Cambio Climático 2018).
Official statistics (Instituto Nacional de Estadística y Geografía (INEGI) 2015;
Instituto Nacional de Estadística y Geografía 2021b) show that most of the trips
currently made in Mexican urban areas are made walking and by public transporta-
tion, being the states with the highest poverty rate at the national level, such as
Chiapas, Oaxaca, Guerrero and Puebla, the ones with the highest percentage of
population commuting on foot to their educational centers and workplaces
(Secretaría de Desarrollo Agrario Territorial y Urbano et al. 2018).
Despite that, it is interesting to note that between 2015 and 2020, the private
motorized vehicle fleet has significantly increased in the country. The percentage of
people who switched to using private means of transportation – car, van, or motor-
cycle – in their trips increased 3% in trips shorter than 30 min and 7.9% in trips
longer than 30 min. The public space dedicated to the circulation of these vehicles is
equivalent to approximately 40% of the surface area of Mexican cities, with most of
the public expenditures going to the construction and maintenance of infrastructure
for the movement of motorized vehicles (Secretaría de Desarrollo Agrario Territorial
y Urbano et al. 2018).
The systematic growth of the urban population, cities, and metropolises in the
country, and the clear tendency observed in the different states to support the
construction of infrastructure for the use of motor vehicles, is favoring the rapid
expansion of the vehicle fleet in Mexican cities to the detriment of alternative modes
of urban transportation. Although detailed data on the construction of urban infra-
structure for vehicular circulation at the state and municipal levels has not been
found, the analysis of the application of federal funds for mobility projects between
2007 and 2017 in the states, carried out by the Secretaría de Desarrollo Agrario
Territorial y Urbano, shows that, of all public spending for mobility, 74% is
dedicated to road infrastructure projects for automobiles, 16.09% to hydraulic,
electrical and drainage infrastructure network projects, and the remaining 20.89%
to what is called “projects of sustainable urban mobility,” which includes spending
on public spaces, pedestrian networks, cycling networks, and public transport
(Secretaría de Desarrollo Agrario Territorial y Urbano et al. 2018).
This analysis also showed that, among the most important categories that must be
covered by this budget – namely: education; health; communications and transpor-
tation; social development; and environment and natural resources – communica-
tions and transportation receives approximately 57% of the total public funds
available for each period. However, most of the projects identified in this category
are intended for the reconstruction of highways and urban and rural roads for the
states of Tamaulipas, Veracruz, Tabasco, Chiapas, Oaxaca, Sonora, and Baja Cali-
fornia Sur, which shows the importance given to automotive transport in the country
which, consequently, generates the lack of policies and funds destined to more
sustainable modes of transport.
This process is accompanied by high social and environmental costs that are still
little recognized by the authorities, even though they affect millions of Mexicans’
quality of life and physical integrity. These costs are known as externalities and are
transmitted to all other citizens, whether or not they drive a vehicle, and create net
negative social and environmental costs for society as a whole (Baranda-Sepúlveda
et al. 2012). Among the documented externalities, some of the major negative
impacts created by the excessive use of automobiles are mentioned under six
major headings: greenhouse gases, air pollution, obesity, accidents, congestion,
and noise (Secretaría de Desarrollo Agrario Territorial y Urbano et al. 2018).
According to the document “Hacia una estrategia nacional integral de movilidad
urbana” [Towards a comprehensive national urban mobility strategy] (Baranda-
Sepúlveda et al. 2012), Mexico loses 14,000 lives annually due to air pollution,
24,000 lives due to traffic accidents, and a still poorly documented number due to
lack of physical activity – cardiovascular diseases and diabetes.
An important key to reducing the negative externalities of transportation, as well
as improving the quality of life of people, the productivity of cities, and reducing
GHG emissions, is to focus on reducing the number of kilometers traveled in private

motor vehicles, under an overall “Reduce-Change-Improve” strategy: reduce per-
sonal automobile travel needs by optimizing travel time or eliminating it; change the
modal distribution of trips in favor of more efficient modes such as nonmotorized
mobility or public transportation; and improve the performance of motorized trans-
portation (Secretaría de Desarrollo Agrario Territorial y Urbano et al. 2018).
Currently, the regulatory framework aimed at addressing mobility issues in the
country is mainly based on the National Development Plan 2019–2024 (Diario
Oficial de la Federación (DOF) 2019), from which the National Program for Land
Management and Urban Development 2021–2024 (Secretaría de Desarrollo Agrario
Territorial y Urbano 2021) is derived, which states that sustainable mobility must be
composed of integrated transportation systems that combine nonmotorized mobility
strategies and the rationalization of automobile use.
This program includes 11 public policy proposals aimed at the gradual transition
of the country to a sustainable mobility model, which can be summarized as follows:
changing the institutional approach to managing mobility; approving a basic regu-
latory framework to regulate mobility; creating tax schemes favorable to the use of
eco-mobility; creating urban designs conducive to sustainable mobility; creating
future road projections; changing public transport fare models; electrifying urban
public transport; changing the priority of urban transport investments; prioritizing
traffic management and pacification in cities; promoting carpooling; and promoting
air transport fuel taxation.
Such proposals are considered relevant and urgent for improving the inhabitants’
quality of life of the country’s urban centers. Still, they are not sufficient in creating
real strategies for reducing GHG emissions from the private transportation sub-
category. As already mentioned, if current conditions are maintained, in 2030, this
sector will produce approximately 266 Mt/year of CO2eq, which, by itself, would
already exceed the Mexican target for a 450 ppm ceiling scenario in the same year.
Based on the document “La movilidad urbana sustentable en México; propuesta
regulatoria y programática [Sustainable urban mobility in Mexico; regulatory and
programmatic proposal] (Céntrico 2019), it is deemed pertinent that the country also
proposes to establish a strategy and creates a national program for sustainable urban
mobility. This enables entities and municipalities to finance infrastructure and
operations solidly linked to national GHG emission reduction goals, and establish
guidelines and resources at the national level for mobility infrastructure and services,
which should be mandatory when states use these resources for their
implementation.
Cross-References
▶ Adaptation to Climate Change in a Metropolitan Region of Global South: 2nd

Pluriannual Plan of the Grande ABC Paulista
▶ Alternatives to Fossil Fuel-Based Shipping: An Overview of the Sail Cargo
Industry
▶ Climate Change Communication Efforts and Results in Latin America and the
Caribbean
▶ Environmental Challenges to Gray Cities Becoming Green Cities
▶ Nature-Based Solution for Climate-Resilient Cities: Lessons from Mexico
▶ Sustainability and Development at Northwestern Municipalities in Mexico: Chi-
huahua Region
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Well-Being at Work and Sustainability
in Public Services: Brazilian University Case
Rives Rocha Borges , Maria Alzira Pimenta Dinis , and

Nelson Barros
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
Well-Being at Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 455
Quality of Work Life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456
Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 462
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 464
Abstract
When reflecting about the subjectivity implicit in the tasks’ execution and in the
affective relationships developed in the work environment, the psychosocial
factors influencing work are frequently ignored. Excessive demand, hierarchical
requirements, and discontent are issues that, if poorly managed, can contribute to
the worker’s mental illness and have a significant impact on the quality of the
work performed. In the specific case of a public university, where workers interact
directly with people, illness goes beyond the limits of the work environment. It
disqualifies the service provided to the university’s community and the society
that needs it. In line with this, actions to attain a better quality of life and well-
being at work will be discussed, as well as demands to achieve the Sustainable
Development Goal (SDG) 3 in particular, i.e., good health and well-being. In
R. R. Borges (*)
University Fernando Pessoa (UFP), Porto, Portugal
Federal University of Bahia (UFBA), Bahia, Brazil
e-mail: 37706@ufp.edu.pt
M. A. P. Dinis · N. Barros
UFP Energy, Environment and Health Research Unit (FP-ENAS), University Fernando Pessoa
(UFP), Porto, Portugal
e-mail: madinis@ufp.edu.pt; nelson@ufp.edu.pt

https://doi.org/10.1007/978-3-031-16017-2_10
454 R. R. Borges et al.
discussion’s scope are the challenges faced by the Quality of Work Life Centre
(QWLC) at the Federal University of Bahia (UFBA) in implementing a quality of
work life (QWL) policy. QWLC has the mission of taking care of issues involving
relationships at work, including remote work, during the COVID-19 pandemic. In
University’s documents, exploratory research was conducted to collect data
related to the QWL policy. A descriptive qualitative analysis was then performed,
analysing scientific publications available in selected databases. The results
demonstrate UFBA’s effort to improve the social-affective conditions in the
institution’s workplaces and its effective interest in contributing to SDG 3.
Keywords
Well-being · Sustainable Development Goals (SDGs) · Federal University of
Bahia (UFBA) · Quality of work life (QWL) · COVID-19 pandemic
Introduction
Considered as one of the most important global agreements from the past decades,
the United Nations (UN) 2030 Agenda for Sustainable Development presents a
framework of 17 Sustainable Development Goals (SDGs) and 169 targets based
on the eighth Millennium Development Goals of 2000 in the fight against poverty,
protection of the planet, and improvement of lives and prospects of all the planet’s
inhabitants by 2030 (United Nations Sustainable Development Goals Knowledge
Platform 2015a). Specifically, the SDG 3, good health and well-being, seeks to
ensure, in a multidisciplinary approach, a healthy lifestyle and well-being for people
of all ages (United Nations 2015a, b; United Nations Sustainable Development
Goals Knowledge Platform 2015b; Munar et al. 2020).
The SDG 3 has a special significance because of the COVID-19 pandemic
threatening global health (Munar et al. 2020). The COVID-19 outbreak and the
social distancing measures implemented affected the quality of life of many indi-
viduals. Negative feelings such as anger, anxiety, and depression have increased in
the population (Marotta et al. 2020). The adversity imposed by the pandemic should
serve as a springboard for maintaining the achievements made in the promotion of
mental health and well-being, as well as accelerate the implementation of lasting
measures on the road to more sustainable development (United Nations Sustainable
Development Goals Knowledge Platform 2015b; González-Díaz et al. 2021).
When it comes to organisations, SDG 3 refers to the factors and processes that
contribute to workers’ well-being, understanding that well-being at work can be
related to personal components, which can involve aptitude and satisfaction with the
tasks performed, safety health, in addition to the work’s conditions such as technical
support, productivity, and interpersonal relationships (Guerson et al. 2018; Reiman
and Väyrynen 2018). Accordingly, well-being at work can be observed through
individual worker engagement and satisfaction or through teamwork, which reflect
in the productivity and quality of work performed (Kymäläinen et al. 2021). The
Well-Being at Work and Sustainability in Public Services:. . . 455
work-family interaction must be observed when extending the concept of well-being

at work to that of quality of work life (QWL). The QWL impacts how the worker
interacts in the workplace, whether by satisfaction’s degree, performance, or absen-
teeism rate. Moreover, it can interfere with personal life, including family relation-
ships, leisure, and social and economic aspects (Moda et al. 2021).
Due to the functions’ diversity that labour structure assembles, such as Pro-
fessors, researchers, and technical-administrative workers, higher education institu-
tions (HEIs) constitute an active workforce in the search for SDGs (Munar et al.
2020). Promoting the mental health and well-being of individuals in these institu-
tions is a way to contribute to the UN’s 2030 Agenda for Sustainable Development,
in particular SDG 3, good health and well-being (United Nations 2015a, b; Rebelo
et al. 2017). The advent of the COVID-19 pandemic, which spread in a frightening
way and notably affected industrialised and developing countries, revealed deficien-
cies in governance and policies aimed at SGDs’ full realisation in diverse sectors,
including HEIs (Leal Filho 2021). Political framework’s governance should include
trust’s characteristics and responsibilities, as well as resources needed for the goals’
implementation (Leal Filho et al. 2021b). Universities, as well as other companies,
can act as SDGs’ significant drivers. This guidance can take place by its very
existence and operation, but one must be aware that these are diversified and
complex organisations, either by scopes of knowledge that may help to build and
disseminate or by individuals who work with them. In any case, these are examples
of innovative spaces in the environmental sustainability initiatives’ area (Leal Filho
et al. 2021a).
Based on the above detailed concepts, this chapter will present and discuss the
actions for well-being and QWL, in line with SDG 3, adopted by the Federal
University of Bahia (UFBA). Parallel to this discussion, the challenges and limita-
tions by the Quality of Work Life Centre (QWLC), responsible for work-related
issues, including the remote work imposed by the COVID-19 pandemic, are
presented.
Well-Being at Work
The 2030 Agenda for Sustainable Development approved by the UN General

Assembly integrates actions to promote health and well-being. In this way, SDG 3
expresses concern for the well-being of human health, where occupational health is
included, since work is considered as fundamental in a citizens’ life (United Nations
Sustainable Development Goals Knowledge Platform 2015a; Machín-Rincón et al.
2020). However, the 17 SDGs of the 2030 Agenda gather goals that guide and define
requirements for sustainable development, needing refinement and implementation
according to the specifications of each organisation (Zhu et al. 2020). Valuing
workers’ contributions and being concerned with labour issues that can affect
workers’ health is a way for institutions to be aligned with the 2030 Agenda,
particularly with SDG 3, which relates to the health and well-being (United Nations
Sustainable Development Goals Knowledge Platform 2015a; Saifulina and

Carballo-Penela 2017; Kotejoshyer et al. 2019).
Promoting the workers’ well-being should be an important premise for both
workers and institutions. Issues related to such as health and safety in the work
environment, professional qualification, and social integration are associated with
work-life balance and reflect on the well-being at workplaces (Machín-Rincón et al.
2020; Ravalier et al. 2020). This implies a change in organisational culture, prac-
tices, and working conditions, which demonstrates care for employees’ health and
can drive sustainable growth and productivity (Machín-Rincón et al. 2020). With
this change, the worker may feel encouraged to be more involved in performing
work tasks (Kymäläinen et al. 2021; Moda et al. 2021). However, employers’
perceptions differ when it comes to the relationship between work and well-being.
Some organisations have policies and practices that involve health and well-being at
work, while others aim to increase productivity as a function of employee perfor-
mance (Valsecchi et al. 2021).
The issues related to institution’s internal areas, such as worker’s well-being, are
also subject to other factors external to the organisation, such as the dynamics with
which society perceives and absorbs labour relations, politics, the economic
moment, as well as the legislation that establishes norms for workplace’s health
and well-being (Valsecchi et al. 2021). One of these factors was the COVID-19
pandemic advent that has had a major impact on the well-being and mental health of
individuals (Marotta et al. 2020). The lack of integration and inability to participate
in work-related activities, as well as physical distance from colleagues acted as
enhancers of issues related to workers’ health and well-being (Ignat and Constantin
2020). External factors like these put at risk the 2030 Agenda’s realisation (Leal
Filho et al. 2020) and consequently the object of this chapter, the SDG 3.
Quality of Work Life
Well-being at work can be related to better remuneration and performance, and

furthermore, the willingness to cooperate with colleagues. Subjective factors, such as
engagement, satisfaction, interpersonal relationships, and commitment’s level, need
to be considered. In this aspect, well-being at work is associated with the SDG 3
basic guidelines (Munar et al. 2020; Moda et al. 2021). For the institution, greater
efficiency in performing tasks and meeting objectives are the positive outcomes to be
obtained (Munar et al. 2020). All these factors have awakened in organisations the
need to implement QWL and thus provide favourable conditions for the work
development (Klein et al. 2017; Lopes et al. 2018; Leitão et al. 2021).
Thinking about organisational practices that can reconcile the work activities’
demands with personal relationships’ dynamics in workplaces is challenging to
managers. In the public sector, external factors such as society’s demand for quality
service, results, and transparency in the use of resources can interfere with QWL
(Leal Filho et al. 2022a; Klein et al. 2017, 2019). However, one must also keep in
mind that issues related to life habits and personal relationships outside the work
Fig. 1 Quality of work life

program
Actions to
Actions to appreciate
promote and
well-being integrate
in tthe workers
workplace
Socio-
educational
actions fo
fforr
workers in
retirement
phase
Quality of Work Life
environment, when added to the workload, can contribute to discomfort and burn
out, making the worker vulnerable to stressful situations (Lopes et al. 2018).
In higher education institutions (HEIs), the path to sustainability is consolidated
in cultural transformation, where new ways of thinking and acting about well-being
at work are fundamental for the accomplishment of SDG 3 (Munar et al. 2020).
In UFBA’s case, tending to the workers’ well-being is the QWLC’s task. This
department of the University is responsible for developing and implementing actions
aimed at the work-related well-being of 5941 Instituion’s employees (UFBA 2016,
2017a, b, 2018, 2020). Figure 1 shows how the QWLC designed the University’s
quality of work life program (QWLP). UFBA QWLC’s structure is grounded in the
Brazilian Law no. 8842 of January 4, 1994, which provides the national policy for
the elderly, and in Decree no. 9991 of August 28, 2019, dealing with the national
policy for worker development in the federal public administration (Brazil, Civil
House PR 1994, 2019; UFBA 2016).
UFBA’s QWLP comprises three axes: quality of life and well-being at work,
appreciating and integrating workers, and socio-educational actions aimed at
workers close to retirement (UFBA 2016, 2017a, b, 2018). These axes meet the
University’s mission to produce and disseminate science, technology, art, and culture
in citizens’ formation through a governance and management model that ensures,
among others, sustainability and environmental responsibility (UFBA 2022).
The foundation of QWL happens when the company and individuals are under-
stood altogether. Based on this understanding, QWL promotes actions aimed at well-
being that ensures productivity and quality in the tasks performed, to a higher level
of personal and familiar long-lasting satisfaction for the worker (Hipólito et al.
2017).
Thus, the QWL actions proposed by the QWLC aim to contribute to a healthy
work environment in terms of social, physical, psychological, and organisational
aspects. In this construct, social skills and communication techniques are used in the
preservation of workers’ well-being while respecting individual rights. These are
activities based on recreation and creativity principles that stimulate daily life
cognition and the institution, as well as those encouraging regular physical activity
(UFBA 2016; Ignat and Constantin 2020). Positive results related to the tasks’
quality and services offered are expected, in return, by the University (UFBA 2016).
A satisfied worker has a higher level of concentration during activities, can
become more creative, and has a better sense of teamwork. The care for one’s own
health is also evidenced by this positive emotion and contributes to resilience and
emotional stability in difficult periods (Kotera and van Gordon 2021; Mikołajczyk
2021). Self-care affects physical and mental health, with a reflection on personal
quality of life and QWL (Hildt-Ciupińska and Pawłowska-Cyprysiak 2020). To
validate and integrate actions’ well-being at work and sustainability for UFBA’s
workers, it is necessary to discuss and reflect on the creative potential of these
professionals and how satisfaction at work can be in line with the Institution’s
mission and values (UFBA 2016). In 2020, because of the physical health threat
from the COVID-19 pandemic, it has become imperative to consider the workers’
physical well-being. This care involved the non-essential activities closure and the
consequent workers in their home’s isolation (Creese et al. 2021).
A different approach should be considered to workers about to retire. Retirement
can not only be understood as a period of economic or identity loss but also a period
of gaining time for new relationships or leisure activities (UFBA 2016; Guerson
et al. 2018). These extremes of emotions make promoting the health and well-being
of workers about to retire a relevant issue for QWL and therefore demand interven-
tion, contributing to a change in lifestyle behaviours (Heaven et al. 2016; UFBA
2016).
Accordingly, through the inclusion of sustainability values, the QWLP presup-
poses changing organisational behaviour and culture (Almada and Borges 2018).
These initiatives that seek to improve human interaction with the workplace
(Campos and Rueda 2017) and that interferes with the organisation’s sustainability
(Wong et al. 2020) will be presented and discussed.
Method
This study’s goal was to show the actions aimed at workplace relationships’ quality,
valorisation of the qualified labour force, integration and harmony among workers,
improvement of physical fitness, and retirement perspectives implemented by
UFBA’s QWLP concerning SDG 3, which deals with health and well-being issues.
Those actions were identified in the exploratory research conducted on documents
such as the annual report of the Quality of Work Life Centre, annual qualification
plan, UFBA in numbers 2020, and the institutional development plan available by
the UFBA’s QWLC.
With the data collected, a descriptive qualitative analysis was performed, a
methodology widely used and gaining popularity in the health area (Doyle et al.
2020). These actions were discussed, based on scientific articles available in data-
bases such as SciELO, Science Direct, and Web of Science. Words like “well-being”,
“Sustainable Development Goals (SDG)”, “Quality of Work Life (QWL)”, “valuing
and integrating workers”, “retirement”, and “COVID19 pandemic” were used in the
search for scientific publications.
The Law no. 8842 of January 4, 1994, by the Brazilian government (Brazil, Civil
House 1994) was the initial step in designing the University’s QWLP (UFBA 2016).
This Law precedes the elaboration of the SDGs’ proposed by United Nations
General Assembly in 2015 (United Nations Sustainable Development Goals Knowl-
edge Platform 2015a). This time lag between the Brazilian Law creation and SDGs
outline by the UN’s 2030 Agenda caused a superficial understanding of the SDG 3 in
UFBA’s QWLP planning.
The results obtained reflect the understanding which well-being at work shares
with SDG 3, as it is strictly related to a healthy lifestyle for any individual,
highlighting individual satisfaction and personal relationships (Guerson et al.
2018; Reiman and Väyrynen 2018) in UFBA’s workplaces (UFBA 2016, 2017a,
2018). The good outcome of these factors can lead to better results for the organi-
sation (Lopes et al. 2018; Klein et al. 2019; Leitão et al. 2021). This has awakened in
UFBA the desire to implement a policy to improve working conditions within their
workplace areas. It is relevant to know that in the Brazilian public service, the quality
of the service provided to the citizens prevails over quantitative results.
Three projects are part of UFBA QWLP, as expressed in Fig. 2: the “Well living”
project, which pursues to promote well-being at workplaces; “Planning your future:
transition to retirement”, a project aimed at workers near retirement; and in com-
memoration of the public workers’ day, which in Brazil is on October 28, the project
“Public worker week and tribute to the year’s retirees” (UFBA 2016, 2017a, b,
2018). The “Well living” and “Public worker week and tribute to the year’s retirees”
projects aimed at all UFBA workers. These projects’ methodology is structured in
lectures and workshops administered by professionals trained in human resources
management.
Due to the COVID-19 pandemic, the actions developed by UFBA’s QWLC were
suspended. The social support and guidance for a better quality of life provided by
QWLP projects were no longer offered. At that specific time, the focus was on
preserving physical health (Creese et al. 2021). The lack of this support has nega-
tively affected the workers, who were also cut off from social interaction with
colleagues, friends, and even family members (Marotta et al. 2020; Munar et al.
2020). It is known that social distancing would potentially exacerbate the individ-
uals’ psychosocial issues (Ignat and Constantin 2020). Since then, caring for the
professionals’ physical health has become a priority.
However, the COVID-19 pandemic and its resulting adversities should be a
stimulus to make progress in achieving goals to manage issues related to health
Projects
Lectures Workshops
Physical activity, Social skills at work,

posture at workstations, Well living local contemporary
healthy eating habits dance, quality of life
Public worker week Theater, music,

and tribute to year's handicraft, recycling,
retirees ballroom dancing
Social security
legislation, financial
management, Life project, family
entrepreneurship Planning your relationships, healthy
future: transition to eating, health in
retirement maturity, occupational
therapy
Fig. 2 QWLP projects
and well-being, as well as to implement further measures of SD aligned with this

matter (United Nations Sustainable Development Goals Knowledge Platform 2015a;
Rebelo et al. 2017; González-Díaz et al. 2021). This pandemic revealed deficiencies
in the governance of institutions and directly influenced the achievement of the
SDGs (Leal Filho et al. 2020; Leal Filho 2021). On account of the companies’
complexity, in particular UFBA’s, the University that is the object of this study, it
was impotent to foresee that an event of this magnitude could destabilise trust,
accountability, and compromise the resources necessary to drive the 2030 Agenda
and specifically SDG 3 (Leal Filho et al. 2021a, b; Valsecchi et al. 2021).
The “Well living” project is developed with a focus on improving the UFBA
workers well-being. Social, physical, and psychological aspects, aligned with what
is proposed by the 2030 Agenda in SDG 3 (United Nations Sustainable Develop-
ment Goals Knowledge Platform 2015a; Saifulina and Carballo-Penela 2017;
Kotejoshyer et al. 2019), and organisational aspects are discussed through lectures
and recreational workshops (UFBA 2016, 2017a, 2018).
Deadlines, poor working conditions, and lack of control over work demand
(Lopes et al. 2018; Moda et al. 2021) are issues that permeate the worker’s personal
life such as lifestyle habits and relationships (Lopes et al. 2018), which, in associ-
ation, contribute to the poor well-being in the workplace. Based on this insight, the
lectures and workshops propose that the workers acquire knowledge and thus learn
to deal with situations that cause them mental or even physical discomfort.
Better performance in a task’s execution, satisfaction, and the feeling of belong-

ing to the work group are some of the evidences of well-being at work (Kotera and
van Gordon 2021; Mikołajczyk 2021), and attitudes like self-care, which reinforce
positive emotions in personal or professional life, need to be considered (Hildt-
Ciupińska and Pawłowska-Cyprysiak 2020). Thus, workshops and lectures that
encourage self-care and good coexistence in the workplace can give new meaning
to social relations at UFBA.
Workers nearing retirement can harbour negative feelings. Many believe they
have nothing to contribute to society and ultimately tend to isolate themselves
(Guerson et al. 2018). Questions about how to occupy their free time, what health
care is needed, and how to spend most of the time with their families permeate the
consciousness of those who are about to retire. To these workers, the QWLC pro-
poses the “Planning your future: transition to retirement” project. How to live with
quality in retirement is discussed through lectures and workshops that deal with the
retiree’s social security rights and duties (UFBA 2016, 2017a, b). These are inter-
ventions that seek to improve the self-esteem of those who are about to retire. They
intend to show that there is life outside work (Heaven et al. 2016). Many of these
retirees must realise that life does not end with the conclusion of work, but that it
follows a new path.
To honour the Brazilian public worker’s day, the QWLC promotes the “Public
worker week and tribute to year’s retirees” project. A way to integrate and value
more than 5000 active workers from the various units of UFBA and retired ones
(UFBA 2016, 2017a, b, 2018, 2020). However, issues related to the desire to
participate in events, space to accommodate everyone, and budget are some of the
difficulties found when trying to congregate all these workers together. The projects
seek to aggregate all the professionals that make up UFBA’s workforce. This
integration may contribute to the promotion of well-being at work (Machín-Rincón
et al. 2020; Ravalier et al. 2020), increase worker satisfaction (Hipólito et al. 2017),
improve the QWL, besides consider the level of quality of the services provided
(Kymäläinen et al. 2021; Moda et al. 2021).
Figure 3 shows the various challenges and limitations faced by the QWLC in the
UFBA’s QWLP implementation.
The QWLC faced operational and financial challenges to implement UFBA’s
QWLP. In the structuring phase of the program, the first challenge consisted in the
University’s diagnosis. This difficulty occurred due to the large number of units and
workers with different levels of education and hierarchical position. In a second
moment, it was necessary to build a QWL policy that would attend all workers
indistinctly but respecting the individual’s formal education. These issues are also
hindered by legislation absence of that better defines how the SDGs should be
approached at University and that sets goals to be achieved at each period. In a
large organisation like UFBA with so many workers, a QWL requires a cultural
change during its implementation, especially when related to the sustainability issues
inclusion (Almada and Borges 2018). An important step for QWLP to achieve
greater adherence is to understand and seek the improvement of internal and
institutional communication. Finally, to raise awareness among employees and
Operationals Financials
• Diagnosing the working conditions • Obtain resources to pay instructors

at UFBA and buy teaching materials
• Build a QWL policy • Restructure the training center for
• Promote organisational culture UFBA's public workers
change
• Improve institutional
communication
• Improve internal communication
• Get more adhesion of the workers,
especially Professores and
managers
• Mobilize compulsory retirees to
participate in the program's actions
Fig. 3 Challenges and limitations in QWLP implementation
retirees of the importance of participating in the QWLP, especially among managers

and professors, who are in great demand because of their duties. Sensitising and
mediating the UFBA’s intellectual and manager group participation means bringing
together the entire contingent of workers focused on a higher goal: the institution
social sustainability (Leal Filho et al. 2022a, b, c; Campos and Rueda 2017; Wong
et al. 2020). Resources to restructure the QWLC, pay instructors, and buy teaching
materials are the biggest financial challenges faced by the University (UFBA 2016,
2017b), demanding (Leal Filho et al. 2022a) further investment.
Conclusions
Ensuring health and promoting well-being is a goal of the 2030 Agenda for Sus-
tainable Development approved by the UN General Assembly, explicit in SDG 3. To
collaborate with this goal, organisations have expressed concern about work-related
issues that can affect the workers’ health. UFBA is among these organisations.
Based on SDG 3, and supported by the national policy of care for the elderly, as
well as the national policy for public workers in the federal public administration, the
UFBA begins to care for the socio-affective and psychosocial issues of its pro-
fessionals who work in its internal areas. The QWLC is responsible for structuring
and implementing this process.
Operational and financial difficulties did not prevent the creation of the QWLP.
However, the absence of Brazilian laws and norms that present a better understand-
ing of SDGs, especially SDG 3, limits the performance of Brazilian federal public
institutions, including UFBA, in implementing sustainability in its internal areas.
This program operates from three perspectives: promotion of health and well-being,
recognition and integration of workers, and actions aimed at supporting workers
close to retirement. With this initiative, it is already possible to perceive the UFBA’s
efforts to contribute to quality improvement in the work environments and to the
sustainability objectives, compelling with the workshops and lectures that integrate
the structuring projects of the QWLP.
The programs “Well living and Planning your future: transition to retirement for
active workers” offer workshops and lectures that lean on the physical and mental
aspects of UFBA’s workers, with the understanding that the physical and psycho-
logical well-being go hand in hand. A physically fit worker is anticipated to have a
healthy mind and, hence, a better relationship with co-workers, friends, and family.
When in harmony with its mind, body, and relationships, this professional can
contribute effectively and with higher grade results expected by UFBA and the
general society.
Enlightening and recreational activities are mediated with workers close to
retirement. When they are about to leave the company, many of these professionals
feel useless or incapable. At this moment, lectures and workshops that approach
questions about social security rights, idleness during retirement, more contact with
family and friends, nutrition, and physical activity in maturity are fundamental to an
easier transition to retirement. This is crucial because it shows the worker that life
does not end with retirement but that it starts all over with new attitudes and
behaviours.
The QWLP provides workers and retirees with a moment of integration, recog-
nition, and recreation in the “Public Worker’s Week”. It is the moment to meet
colleagues from other departments, to reencounter retired colleagues, to exchange
work-related experiences, and an active life in retirement. The QWL positively
modifies the work relations at UFBA and contributes to SDG 3 by promoting health
and quality of life. Whether socio-affective or professional relationships, coming
together at the University becomes a time of integration, collaboration, as well as
productivity. Even though quantity over quality is not the focus of the public service,
it is interesting to establish some relationship between the amount of work done and
well-being at work.
The COVID-19 pandemic awakened us to the need for QWLC to review QWLP
projects’ structure, to contemplate the possibility of remote work. It is necessary to
conceive programs that allow workers to carry out activities that can contribute to the
well-being at work when the task is done in the employee’s home. This will
positively impact the sustainability in HEIs, and especially SDG3.
To expand these actions and build an effective policy of well-being and sustain-
ability in the Brazilian federal public service, it is necessary to update the Brazilian
legislation in relation to SDGs. It is also mandatory to explain how the goals
proposed by UN’s 2030 Agenda should be present in the daily life of the Brazilian
federal public institutions. It should be sensitised to create normative guidelines
specifying deadlines for achieving these goals.
Acknowledgments Nelson Barros and Maria Alzira Pimenta Dinis would like to express their
gratitude for the support of the Energy, Environment and Health Research Unit of FP-ENAS under
the project UID/MULTI/0546/2019.
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Sustainability and Development at
Northwestern Municipalities in Mexico:
Chihuahua Region
María del Carmen Gutiérrez-Diez and

José Gerardo Reyes López
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 468
Sustainability and Development at Northwestern Municipalities in Mexico
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 469
Municipalities in Mexico (Legal Considerations) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 470
From Municipal Water to National Water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 471
Local Context: Northwestern Municipalities in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 472
Main Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 475
Development Goals in Mexico and Northwestern Municipalities: A Lack of Governance
Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 476
Need for a Governance Framework to Achieve Sustainable Development . . . . . . . . . . . . . . . . 478
A New Era: Federal Government and Municipal Strengthening . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 478
Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479
Instrument and Data Recollection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 480
Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 481
Description and Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 485
Final Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 491
Regarding the INAFED Instrument/Questionnaire . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 491
Regarding Municipalities Evaluation Through the Questionnaire . . . . . . . . . . . . . . . . . . . . . . . . . . 492
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493
Abstract
Local governments are the cornerstone of regional and sustainable development.
This chapter aims to describe the situation regarding the UN Sustainable Devel-
opment Goals (SDGs) among those municipalities belonging to the state of
Chihuahua, located in the northwest region of Mexico. The study was performed
through a review and description of the results from a questionnaire developed
and applied by the National Institute for Federalism and Municipal Development
M. d. C. Gutiérrez-Diez (*) · J. G. Reyes López

Universidad Autónoma de Chihuahua, Chihuahua, Mexico
e-mail: cgutierr@uach.mx; jreyes@uach.mx

https://doi.org/10.1007/978-3-031-16017-2_19
468 M. d. C. Gutiérrez-Diez and J. G. Reyes López
(INAFED). The questionnaire includes 132 key indicators classified into eight
dimensions: (1) Management, (2) Treasury, (3) Territory Management, (4) Public
Services, (5) Environment, (6) Social Development, (7) Economic Development,
and (8) Open Government. This effort is an attempt to provide a timely and
precise diagnosis for these local governments, to improve their management and
decision making related to the aforementioned areas. It is said that this tool has
been aligned with the 2030 SDG agenda. The diagnosis provided by each
municipality was validated through regional Higher Education Institutes, which
act as verifiers. The analysis focused on data associated with economic, environ-
mental, and social dimensions, with some emphasis on water management, since
it is a scarce resource with a transversal impact for development. Exploratory
findings show advances in some areas, but there is a systematic lack of evidence
to support the notion that local governments have achieved real sustainability.
Hence, as a conclusion, due to this lag the promise of strengthened municipalities,
along with sustainable development, is still far away.
Keywords
Municipalities · Sustainable development · Municipal strengthening · SDG ·
Northwestern Mexico
Introduction
The world is in a defining moment for its long-term sustainability. The international
community, seeking to deal with the economic, social, and environmental imbal-
ances of the dominant development style, approved in 2015 the 2030 Agenda for
Sustainable Development and its corresponding 17 Goals, whose deadline for their
fulfillment arrives in 2030. The need to promote a structural change that progres-
sively increases the incorporation of knowledge in the production of goods and
services, guarantees social inclusion, and combats the negative effects of climate
change, is inescapable. Thus, it becomes of special interest to follow up on policies
and strategies that allow evaluating progress in this 2030 Agenda (CEPAL 2016).
The relevance of these Sustainable Development Goals (SDGs), whose mission is to
create “a blueprint to achieve a better and more sustainable future for all” (Naciones
Unidas México 2015), lies in the fact that in the process of their implementation and
follow-up, they aim to define the international development agenda in the next years. As
an instrument of public deliberation and policies, the SDGs are important for Mexico
and Latin America, especially for civil organizations, companies, and State and govern-
ment institutions that, having approved the SDGs, will have the responsibility to
implement said goals and follow up on them. The broad agreement behind the SDGs
and their targets, which define the “what” and “how” of development, pose significant
challenges for their implementation and achievement (Naciones Unidas México 2015).
The main challenge lies particularly in the emphasis on human rights and the
funding required for their implementation, as well as the different developmental
Sustainability and Development at Northwestern Municipalities in Mexico:. . . 469
realities in which the economies of each country find themselves, along with the
design of institutional strategies that allow monitoring compliance, not to mention
the coordination of efforts from everyone involved, at the different levels of gov-
ernment (national, state, and local) (Castellanos Cereceda 2017).
This chapter develops several aspects, beginning with legal considerations and
the evolution of the relationship between the national-federal government and the
municipal governments, in relation to the ownership of natural resources and
management, specifically water, which is of utmost relevance to the region’s own
development. The purpose of this historical recapitulation is to describe the local
government’s context, the object of study for this work, as well as establishing a
precedent that allows to recognize the starting point and the long path that local
authorities have traveled in this process of seeking its own development. In partic-
ular, this allows to establish a frame of reference regarding the situation of natural
resources management and their current conditions.
It is from the comprehension of these circumstances that the search for the
strengthening of municipal governments arises as a national strategy in Mexico,
and the backbone of what can be considered sustainable development, in the long
term. As part of this strategy, federal and state organisms emerge as co-responsible
for assisting in said process. This is how in 2002 the municipal performance
evaluation initiative arises, currently known as the Municipal Performance Guide
(GDM for its initials in Spanish). It is a specific tool that allows the evaluation of the
main dimensions of tasks performed by local governments. This instrument has
undergone various modifications that seek to align it with different international
initiatives, such as the Sustainable Development Goals of the United Nations 2030
Agenda.
The chapter concludes with a descriptive and exploratory analysis of the results of
the application of this instrument in recent years, in the municipalities of Northwest-
ern Mexico, specifically the state of Chihuahua. It also includes final comments
regarding the INAFED instrument and the evaluation obtained from the
municipalities.
Sustainability and Development at Northwestern Municipalities

in Mexico Background
The historical moment that humanity is going through has made clear the urgent and
unpostponable need for a change in the development model, which by some
accounts no longer sustainable in the long term. Obvious symptoms of this crisis
include climate change, increasing inequality, and technological revolution. The
latter plays a dual role since, on the one hand, it expands options for development,
but simultaneously aggravates the inequality gap in access to opportunities and the
generation of skills necessary to survive in a globalized environment.
This favorable “breeding ground” where economic, social, and environmental
issues are mixed, has made the global community join and guide their collective
efforts towards finding adequate solutions to these challenges. It is from this
background that the need to evaluate the progress made in the Sustainable Devel-
opment Goals in the different regions of the planet arises. This chapter presents the
progress made specifically in representative municipalities of the Northwestern
region of Mexico, for which its context and evolution are described in order to
achieve a better understanding of the challenges they face, as well as strategies and
tools that seek to help in the fulfillment of the same.
Municipalities in Mexico (Legal Considerations)
The municipality is a political entity and a community organization and serves as the
basis for the territorial division and the political and administrative organization of
the states of the federation in their internal regime. Therefore, municipality is the
basic unit of political division, as established in the National Constitution, Article
115: “The municipal is a territorial community of public character with its own
juridical personality, and with political capability and management” (Constitución
Política de los Estados Unidos Mexicanos 1917: Art. 115; own translation). It has
three basic elements:
Population: It is the community of individuals who live in the municipal territory,

established in human settlements of varying magnitude, and who make up a
living community, with its own complex network of social, economic, and
cultural relationships.
Territory: The physical space legally determined by geographical limits that consti-
tute the material basis of the municipality. The portion of the territory of a state
that, according to its political division, is a natural environment for the develop-
ment of community life.
Government: As the first level of government in the federal system, the municipality
obtains its democratic status from the community itself. The municipal govern-
ment works through the City Council (Ayuntamiento), its main and highest body
that exercises municipal power. One of the traditions of local communities is to be
administered by their own democratically elected authorities.
The Mexican municipality has this characteristic in its form of government, that
of being representative and popular, as expressly stated in the National Constitution,
Article 115, which establishes: “Each municipality will be administered by a City
Council of direct popular election and there will be no intermediate authority
between it and the State Government” (Constitución Política de los Estados Unidos
Mexicanos 1917: Art. 115, own translation).
A City Council is an institution of great historical tradition; it is the body
of popular representation that exercises municipal power. According to the concept
of municipal freedom, the municipality is autonomous within its own scheme of
competence, which does not admit more control and authority than its own.
The City Council is a fully democratic collegiate body, since each and every one
of its members is elected by the people to exercise the functions inherent to the
municipal government. It is, therefore, the main and highest body of said municipal
government. As a governing body, it is the authority most immediate and closest to
the people, whom it represents and from whom the mandate emanates. As an
institution of Mexican law, the City Council is recognized in the Constitution of
the Republic and in that of the states, where its characteristics and responsibilities are
outlined. In accordance with current electoral law, these authorities are elected for
3 years, with the option to be re-elected once.
The term “Cabildo” in Spanish is intimately linked to the culture of the Spanish
and Hispanic-American municipality, and refers to the governing body of the City
Council commune: “Cabildo are people in the City Council who are appointed to
govern” (Instituto Nacional para el Federalismo y Desarrollo Municipal 2004:
1, own translation).
The municipality comprises the social and geographic space where all the activ-
ities that are part of daily life take place: births, education, socialization, work, and
deaths. Also, that is where most of the problems arise: poverty, pollution, crime,
violence, overcrowding, and inequality. The municipality is the basis of the State
where the social relationship is reflected as a reality and therefore, it is the closest to
the people and their respective authorities, since they share the same problems and
aspirations. It is through the closeness it has with its governed people, its effective-
ness, and its efficiency in helping the community to solve its demands and problems
that the relevance of local governments is established. The interest of the citizens
oscillates between the great economic problems, such as their income and source of
work, and close issues such as public cleaning services, drainage, lighting, and
education; all of them fall within the suitable competence of the municipal
governments.
Therefore, it is essential to understand and analyze the origin, nature, and
characteristics of this institution (the municipality). In this way, it will be possible
to improve, strengthen, and promote it so that its performance is better and closer to
its citizens (Instituto Nacional para el Federalismo y Desarrollo Municipal 2004).
From Municipal Water to National Water
According to Aboites and Estrada (2004), in the contemporary history of the

municipality in Mexico, between 1900 and 1940 a little-known process took place
regarding the implications of national ownership of productive resources, specifi-
cally land and water, according to article 27 of the Constitution of 1917. In
accordance with the terms of said article, the agrarian distribution was possible
and had lasting sequels in municipalities. On the one hand, it made possible the land
distribution, but it imposed a new form of property on the productive resources that
in several places were administered by city councils.
This displacement of property took place through federal regulations, institutions,
and authorities that led to the virtual suspension of municipal powers to exploit, tax,
and benefit from the exploitation of productive resources. What belonged to the
nation, only she could exploit, manage, or grant. This gave rise to a complex
municipality-federation relationship during the aforementioned period. Furthermore,

the federation has been unable to enforce national property throughout the country.
This nationalization of water is closely linked to the emergence of new economic
interests around the uses of the liquid, two in particular: large irrigation projects and
the generation of hydroelectricity. These activities used new technological devices
that imposed a severe change in the scale of hydraulic uses. National and foreign
investors actively participated in these economic expansion projects. Out of both
interests, perhaps the most relevant was the generation of electricity, through the
control of large volumes of water. This had multiple repercussions in the productive
and social spheres of the country, since it allowed the relocation of economic
activities beyond the rivers, as well as the growth of cities, where new industries
were established near more attractive markets.
In the first decade of the twentieth century, new electricity companies built two
large hydroelectric facilities: Necaxa, in the state of Puebla, and La Boquilla, in the
state of Chihuahua. These works led to a reconsideration of the concepts associated
with the perception of the jurisdiction of water, as well as its effects on local
conditions. Since then, this situation has led to conflicts with small land owners,
which are exacerbated in times of drought, and continues to occur to date (Kitroeff
2020).
Summarizing the above, the nationalization of the waters brought with it a
municipality weakening, not only due to the loss of jurisdiction and income but
also due to the diversification of political institutions (communal commissariats,
water boards), which in many cases established stronger links with the federal
authorities than with the municipalities and state authorities themselves.
It is from these precedents that over time the narrative changes. Now the federal
government realizes that if it really wants to solve the country’s problems, it must
face them from its basic unit of political division: the municipality. The former,
coupled with international policies and guidelines that also strengthen the basic unit
of communal organization. This gives rise to federal agencies whose objective is to
implement strategies that seek to strengthen municipalities as the cornerstone of
sustainable and equitable regional development.
Local Context: Northwestern Municipalities in Mexico
In order to understand the challenges faced by the municipalities of this region, it is

necessary to geographically locate the area where the municipalities under study are
located. All of them belong to the state of Chihuahua in Northwestern Mexico, as
shown in Fig. 1.
This Northwestern region has the following characteristics regarding its popula-
tion, geography, and economy (Secretaría de Economía 2016):
Population. According to INEGI (2020) the population settled in the state of
Chihuahua is just over 3,742,869, distributed over an area of 247,455 km2, with a
density of 15 people per square kilometer. The median age is 29 years, which has
been increasing in age in relation to recent years. Of its 67 municipalities, Juarez is
Fig. 1 Northwestern Mexico. (Source: INEGI (National Institute of Statistic and Geography),
Information by entity. https://www.cuentame.inegi.org.mx/monografias/informacion/chih/default.
aspx?tem)
the one with the largest population with 1,512,450 inhabitants and the least popu-
lated, Huejotitan with only 824. The population is mainly distributed in 52 urban
areas (87%) and 12,134 (13%) rural.
There is an indigenous population that represents 3.1% of the total population.
This percentage has been reduced in relation to 2010, which was 3.5%. Between
2010 and 2020, the percentage of the population that declared to be affiliated to
health services increased from 73.1 to 84.4%.
The average level of schooling is 10 years, equivalent to the first year of high
school, which represents a growing trend. Conversely, the illiteracy rate is 2.6 as of
2020, showing a constant reduction in recent years. These averages compare favor-
ably with national results. Between 2000 and 2020, the percentage of homes with
piped water availability went from 76.5 to 93.6%. Between 2010 and 2020, the
availability of cell phones in homes grew from 74.9 to 91.8%, internet from 24.6 to
56.8%, computers or laptops from 34.3 to 42.7%, and landlines decreased from 46.1
to 40.2%. Likewise, the percentage of homes with electricity in 2020 was 98.3%;
most of them use between 6 and 10 light bulbs, while 88.7% are homes whose
drainage is connected to the public network.
Geography. According to the geographical synthesis of INEGI (2003) and the
Ministry of Economy (2016), the state of Chihuahua is located in the North of the
Mexican Republic, bordering on the north with the United States. It is divided into
67 municipalities and its extension represents 12.6% of the territory of Mexico,
being the largest state. It does not have an exit to the sea.
The geography of Chihuahua can be divided into three natural zones: central
valley, mountainous area (known as Sierra Madre Occidental), and desert zone. The
first is located in the central part of the state, and it is made up of the plains and large
extensions susceptible to exploitation. The second is to the West with rugged terrain
formed by canyons and ravines and is the part that crosses the Sierra Madre
Occidental. Finally, the desert area is located in the Eastern portion on the border
with the United States of America and the state of Coahuila de Zaragoza.
For land communication, the state of Chihuahua in 2014 had 13,284 km of
highway routes, 2654.5 km of railways, two international airports located in the
cities of Chihuahua and Juarez, as well as 161 aerodromes.
The climate of the region varies between very dry and dry with an annual average
temperature of 17 C, and a total annual rainfall of 500 mm. The scrub is the most
extensive plant community and is located mainly in the central valley (Altiplano in
Spanish); forests are located in the upper parts of the Sierra Madre Occidental; and
grasslands are located in the center-east portion with coverage of more than a fifth of
the state surface.
The water runoffs are mainly in the central-west-southwest portion of the state,
where they are crossed by the Sierra Madre Occidental; the rivers drain to three
different slopes: the Pacific Ocean, the Gulf of Mexico, and the Continental. The
main rivers are: Conchos, Bravo, San Miguel- Casas Grandes, among others with
lower flow. It also has artificial bodies of water such as dams, with the main being:
La Boquilla (more than 100 years old), Luis L. León (El Granero), Francisco
I Madero, El Tintero, Las Lajas, Abraham González (Miñaca), Chihuahua, El
Rejón; and natural bodies of water such as the lagoons: Bustillos, Palomas, and
Encinillas.
Economy. As stated from the sources already cited, as well as the results of INEGI
(2020), at the national level Chihuahua contributes 3.5% of the national Gross
Domestic Product (GDP), occupying the ninth place as of 2019. Among the main
activities are: trade (15.5%); real estate services and rental of movable and intangible
assets (14.7%); manufacture of machinery and equipment (11.2%); construction
(7.6%); and agriculture, animal husbandry, forestry, fishing, and hunting (6.9%).
Together they represent 55.9% of the state GDP.
The strategic sectors are tourism, mining, agribusiness, automotive and auto
parts, electrical and electronic, life sciences, information technology, and aerospace.
The economic activities are distributed in the following percentages, according to
their contribution to the state GDP:
1. Tertiary activities, or services, with 49.6%, the main one being commerce, but
also including the supply of transport, real estate services and rental of movable
and intangible goods, temporary accommodation and food preparation, as well as
the sale of services telecommunications or insurance (Garcia 2020).
2. Secondary activities, 43.7%. In the state refers to artisan production, food,
tourism, electricity, mining, and commerce (Garcia 2020).
3. Primary activities, 6.7%. Under this heading, the agricultural sector has the first
national place in the production of forage oats, green chili, bone cotton, grain
oats, apple, walnut, quince, onion, and green alfalfa. In mining extraction, the first
places are occupied by lead, zinc, silver, and gold. In forestry production, oak and
pine stand out.
In the Doing Business 2016 report, published by the World Bank Group, which
ranks economies by their ease of doing business, the state of Chihuahua ranks 27th in
Mexico, an indicator that has not shown improvement over previous reports.
In 2014, Chihuahua ranked first for the value of its exports, which reached an
amount of 45,594.4 million dollars, and represented 13.1% at the national level. The
manufacturing industry stood out as the main activity with an export value of
44,670.0 million dollars. The subsector with the highest participation was the
manufacture of computers, communication, measurement equipment, and other
electronic equipment, like components and accessories, which represented 49.2%
of exports.
Regarding Science and Technology, the entity is located in the 6th position of the
32 entities. Among the main indicators reported by said index, the entity occupies
the following places: 19th in Material and intellectual infrastructure; 4th in Public
and private investment in science, technology, and innovation; 4th in Scientific
Production; 9th in Information Technology (Centro de Análisis para la Investigación
en Innovación (CAIINNO) 2016).
Main Challenges
According to the diagnosis made by the State Development Plan (PED in Spanish)
for 2015–2021 (Gobierno de Chihuahua 2016), there are various situations in this
territory that merit attention to achieve a harmonious and sustainable development,
through new production schemes and consumption, since the current ones are
inefficient. Technological advance presents a duality, as mentioned previously,
where on the one hand it increases productivity, interconnectivity, and complexity
of the global economy, and on the other it generates a displacement of unskilled
labor which deepens the inequality gaps in society.
Therefore, it is necessary to focus on actions that combat this vulnerability and

inequality. It is recognized that only two cities (municipalities), Chihuahua, as the
capital, and Juarez, as a border, are the nuclei on which state development is
grounded, based on manufacturing and export. However, it is imperative to
strengthen the rest of the regions, diversify their offer, attract new markets, and
develop local products and services. This lack of diversity limits the employment
opportunities of an increasingly educated population, with limited and lower-paying
job options.
From this context, it is evident that the creation of economic strategies that are
congruent with social reality will improve the quality of life of the inhabitants and
allow fair, inclusive, and sustainable development opportunities. The excessive
exploitation of fortresses, such as in this case Foreign Direct Investment (FDI) and
natural resources, have wreaked havoc on the progress of the region. There is no
doubt about the urgent need to review economic development models and ensure the
strengthening of all sectors and regions, including addressing gender inequality and
the gap in human development for indigenous peoples.
To achieve all of the above, innovation in new growth generation models is a top
priority. It is not enough to position oneself solely with regional comparative
advantages. Up-to-date and innovative practices are required to provide the neces-
sary infrastructure to achieve effective regional and sustainable development. In the
same way, it is necessary to establish a diagnosis from which it is possible to
establish a strategy that strengthens opportunities and allows threats to be resolved.
For this, having a tool that enables recognizing the scope of the municipalities is of
vital importance.
Development Goals in Mexico and Northwestern Municipalities:

A Lack of Governance Structure
With the passage from the Millennium Development Goals (MDGs) agreed in 2000
by the member countries of the UN, to the Sustainable Development Goals (SDGs),
established in 2015, the continuity of a new agenda was established, seeking to
complement and deepen the work developed up to that point. The mobilization
generated after the MDGs managed to generate innovative collaborations that
allowed reconfiguring decision-making at the international level. However, despite
the progress made, inequality continues and there is uneven progress in the coun-
tries. These efforts demonstrate the collective will and effort required to achieve
long-term goals.
Among the main differences between MDGs and SDGs, besides their number of
goals, targets, and indicators, are the following: SDGs were defined by consensus,
where a greater number of sectors and individuals participated. They apply to all
countries, not just the poorest or developing ones, and environmental, social, and
economic elements are included to ensure a sustainable, more inclusive, equitable,
and participatory development. In few words, SDGs now have a more holistic view
for the future (UNDP, United Nations Development Programme 2020).
Mexico signed the Millennium Declaration within the framework of the summit
of the same name. Important progress was made in addressing the challenges of
extreme poverty, health, education, gender inequality, and the environment. UN
Mexico worked hand in hand with public institutions to establish programs that
would promote solving the problems identified. Of the 51 committed indicators,
Mexico achieved total compliance in 37 of them. But it is recognized that there is
still a lot of work to be done, so it seeks to complete this work within the framework
of the 2030 Agenda (Naciones Unidas México 2015).
According to Ramos Garcia (2017), the MDGs implied consolidating institu-
tional capacities under an intergovernmental collaboration approach. Since it was
obvious that most of the MDGs surpassed Mexican public entities in competence
and capacities, it is under this premise that the UN proposed a strategy aimed at
developing the capacities of local governments, so that the benefits generated by
globalization could be incorporated and thus help countries achieve the MDGs. In
the case of border entities in northern Mexico, this program that aimed to develop
local capacities was characterized by different problems and challenges. Among
several of them were the trade integration process of NAFTA (North American Free
Trade Agreement), which increased inequality and social cohesion in the northern
municipalities, and together with the influence of organized crime, generated an
environment of violence and insecurity. In this context the implementation of an
institutional agenda in accordance with the MDGs was not a priority at the local
level. This was reflected in the few achievements obtained in the 2000–2015 period
for these goals.
Under the new and ambitious approach established by the SDGs in the 2030
Agenda, a paradigm shift is intended in the development model, which must be
socially, economically, and environmentally sustainable. This implies the need to
generate discussions within governments in order to visualize new forms of eco-
nomic growth that do not jeopardize the long-term sustainability of the environment,
as well as achieve effective collaborative processes for its governance under an
inclusive perspective. In order to implement this agenda in the municipalities of
northwestern Mexico, it is necessary to define a structure and a strategy that links the
different entities whose collaboration is required for reaching this goal.
Thus, international cooperation and support to achieve said development is
essential, since it is one of the main tools to promote and encourage the integration
of these objectives into the countries’ national development plans, as well as the
strengthening of the country’s statistical capacities. After all, the measurement of
these goals enhances the means of implementation of the agenda in the country and
strengthens the existing regional architecture. In this sense, there is a specific
purpose for promoting the creation of inter-institutional and inter-sectorial architec-
tures at the highest level to facilitate the implementation and monitoring of the 2030
Agenda and the integration of its three pillars: economic, social, and environmental
(Ramos Garcia 2017).
Need for a Governance Framework to Achieve Sustainable

Development
The need to establish common reference frameworks, particularly with regard to the
coordination of actions between different groups and institutions of a public and/or
private nature, in order to achieve common objectives, makes it essential to define
governance strategies that make this possible. In the search for long-term sustainable
development, the role that the State or state authorities should play to promote it is
indisputable (Ramos Garcia 2017).
In Mexico, it is around the year 2000 when different models for the monitoring
and evaluation of results began to be proposed, without much emphasis on the
procedures of public administration management. The Ministry of Finance and
Public Credit (SHCP in Spanish) began this discussion with the help of international
organizations, as an effort to overcome poverty and advance the economic and social
development of the country. However, this has lacked effective accompaniment from
the national government with state and municipal governments. Additionally, the
absence of a governance model for development with all its elements and its explicit
link to SDGs Agenda has prevailed in local and regional border development
policies in Northwestern Mexico.
On the other hand, sustainable development has been gaining special relevance in
the different agendas, both international, national, and local, due to the imminent
depletion of the planet’s natural resources. It is unavoidable to mention the concept
of sustainable development introduced in the Brundtland Report of 1987, where it is
established that “humanity has the capacity to generate sustainable development and
to ensure that the needs of the present are satisfied without putting at risk the capacity
of future generations, and not being able to satisfy their own needs” (Brundtland
1987: 152). However, the issue was not a priority for the majority of national and
local entities, including those on the northern border of Mexico, since between 1990
and 1995 the priority was to promote the growth of the maquiladora industry in
Mexico, as well as establishing greater links with the commercial opening processes
within the framework of the North American Free Trade Agreement (NAFTA), now
replaced by USMCA (United States-Mexico-Canada Agreement) with its
corresponding modifications.
A New Era: Federal Government and Municipal Strengthening
Given the precedents regarding the lack of a governance structure that would allow
monitoring the development of local government entities, the National Institute for
Federal and Municipal Development (INAFED in Spanish) was established, which
had as its predecessors the National Center Nacional for Municipal Studies (CNEM
in Spanish) and the National Center for Municipal Development, created in 1984 and
1989, respectively.
It is under this context, on July 30, 2002, that the National Institute for Federal
and Municipal Development (INAFED) was created, retaking the structure and
resources of previous organisms and preserving its legal nature as a decentralized

body of the Ministry of the Interior depending on the Undersecretariat of
Government.
This is how Mexico’s federal government seeks to strengthen municipal govern-
ments, through the institution INAFED, in order to improve the performance of
municipalities through training, technical support, design, and distribution of publi-
cations and educational materials, as well as the dissemination of information
(Instituto Nacional para el Federalismo y el Desarrollo Municipal 2017).
INAFED recognizes that the municipality is the nucleus where the relationship of
the neighbors and their government is permanent, therefore, it is where the social
problem is best expressed. From this standpoint, the first Sustainable Rural Devel-
opment Law was approved in 2001, which contained a territorial approach as a tool
to improve local rural competitiveness and regional rural planning with community
participation. The territorial approach highlights the importance of the territory
becoming the central object of public policies such that they correspond with the
distinctive elements of the different local realities and promote cooperation between
public, private, national, and local agents for development management.
This approach helps recognize that through this federal institution (INAFED) it is
possible to monitor the progress of local governments in different areas. Within the
wide range of functions and responsibilities of the municipality is that of facilitating
the comprehensive development of its territory. This development includes defining
actions in economic, environmental, and social dimensions, with converge within
the scope of the 2030 Agenda and the SDGs that emanate from it.
It is in this way that INAFED, with the support of local and international bodies,
creates an instrument that has been evolving and adapting to the different demands
for information and management. This instrument allows evaluating the progress of
local governments in various areas, in which it is possible to find a close association
with the SDGs and their respective goals. The municipality has the function of
facilitating development in its territory, and as such, among its different tasks are
promoting economic development and assuring the sustainability of it. Very often
the economic growth is accompanied by depredation of the environment: various
kinds of pollution including water, land, air, toxic waste, and destruction of natural
and cultural heritage. Local governments can act as an effective regulator and
educator to guarantee balanced and sustainable development.
Method
The state of Chihuahua comprises 67 municipalities, among which a great variety of

situations can be found, from eminently urban with high population concentration, to
other locations with inaccessible places and a very dispersed population. Therefore,
the analysis of data was focused on the municipalities that were representative of the
geographical area where they are located (central valley, mountains, or desert), as
well as their level of economic development, urbanization, and administrative
structure, and their data availability, since not all of them participate in filling out the
INAFED instrument, because participation is voluntary.
Municipalities were categorized as: large and urban, medium size, small, and
rural. The municipalities evaluated were: Juarez (JR) and Chihuahua (CH), as
representative of urban and large municipalities; Cuauhtemoc (CT), Delicias (DL),
and Parral (PR), as medium size with urbanized municipal capitals and important
commercial and agricultural activities; Guachochi (GC) and Cusihuiriachic (CS) as
small, rural municipalities, most of them located in the mountain zone and the other
in the central valley zone. Finally, the municipalities of Urique (UR) and Bocoyna
(BC), very small and rural municipalities too, were included since they are identified
as poor and vulnerable municipalities. A total of nine municipalities were analyzed.
The data obtained from evaluations corresponded to the years 2019 and 2020. It
was of a more descriptive and exploratory nature, and it was provided by the
Municipal Development Program sponsored by the Chihuahua State Government.
This information was collected through the INAFED instrument with the responses
provided by the municipalities themselves, as a self-diagnose, and later reviewed by
higher education institutions that serve as verifiers of this process.
This instrument is known as the Municipal Performance Guide (GDM, by its
initials in Spanish). It is a tool designed by the Ministry of the Interior, with the
purpose of contributing to the strengthening of the institutional capacities of the
municipalities of Mexico. The application of this instrument is the one that made it
possible to obtain the data presented here.
Instrument and Data Recollection
The instrument developed by INAFED (2021a, b) is called the Municipal Perfor-

mance Guide (GDM) and has had its own evolution, according to the different
orientations that the federal government itself has had. This is how it arises as a tool
designed with the purpose of contributing to the strengthening of the institutional
capacities of the municipalities of Mexico. It is a practical instrument, therefore
useful and executable. Its design is the result of institutional experience and the
valuable collaboration of authorities of the federal, state, and municipal public
administration, as well as of the higher education institutions that participate in its
application.
This Guide seeks to become an indispensable consultation tool for municipal
authorities; it helps them diagnose the conditions of their administrative manage-
ment and guides them to put into practice those actions that improve their perfor-
mance, for the benefit of the quality of life of their population. The Guide is made up
of eight modules, which cover strategic areas of the municipal administration
1. Organization.
2. Finance/Treasury.
3. Territory management.
4. Public services.
5. Environment.
6. Social Development.
7. Economic Development.
8. Open government.
These modules, or dimensions, are broken down into 31 topics and 132 manage-
ment indicators (96) that establish the basic points that every municipal administra-
tion must have, and performance indicators (36) that measure progress through
results. The participation of the municipalities is voluntary and is formalized through
an Act of the Cabildo (City Council) and the appointment of a liaison by the
Municipal President. In the first stage called Diagnosis, the municipalities must fill
each one of the indicators that make up the Guide. The Review, or second stage,
consists of the assessment of the progress reported by the municipalities with the
collaboration higher education institutions.
The possible answers (results) related to the evaluation within the instrument
consist of a color signalization. Red means a lag or failure in compliance; yellow
indicates a Work in Progress, an indicator not yet finished and/or incomplete, while
green represents full compliance with the evaluation. However, in many cases
complete dimensions are simply not evaluated because the municipality does not
present any kind of evidence, so it is not possible to assign a value to the indicator.
This situation is most common for small and rural municipalities because they lack
the resources needed to carry out these evaluations. However, even large munici-
palities do not present complete evidence for all the dimensions evaluated in the
instrument.
Since its creation, the GDM has the mechanisms to carry out remote implemen-
tation, where the use of information technologies is fundamental when it comes to
support the strengthening of municipalities, giving guidelines for higher education
institutions to continue collaborating with the same rigor than in person.
The Guide is made up of the following modules and number of indicators, which
make an important contribution to the fulfillment of the 2030 Agenda (National
Institute for Federalism and Municipal Development 2021a, b), in the way shown in
Table 1.
Findings
As a product of the comparison and search for equivalence between the INAFED
instrument and Sustainable Development Goals, as stated in Tables 1 and 2 was
obtained, which shows the achievements evaluated by each municipality.
It is worth mentioning that although the INAFED documentation (Instituto
Nacional para el Federalismo y el Desarrollo Municipal 2021a, b) showed a relation
between Municipal Indicators and SDGs 5, 6, 8, 10, 11, 13, 15, and 16, it was
possible to identify indicators that can be related within more of them, as in the case
of SDGs 3, 4, and 9, giving a total of 11 SDGs which could be associated with the
questionnaire used by INAFED to evaluate municipalities all over Mexico.
Table 1 Association between INAFED questionnaire dimensions-indicators and SDGs

INAFED dimension/SDGs INAFED questionnaire indicators
Organization 1.2 municipal planning (budget)
1.1.8 women in management positions
Treasury 2.1 income
2.2 expenses
2.3 debt
2.4 heritage
Land/territory Mgmt. 3.1–3.4 urban planning
3.2 ecological ordering
3.3 civil protection
Public services 4.1 regulatory framework
4.2 diagnosis
4.3 actions
4.4 evaluation
4.4.2 drinking water
4.4.3 drainage
4.4.4 sewage
4.4.5 recycled water
Environment 5.1 environment
5.2 climate change
5.3 sustainable public services
Social development 6.1 education
6.2 health
6.3 vulnerable groups
6.4 gender issues
Economic development 1.2 municipal planning (economic development)
7.1 regulatory improvement
7.2 productive vocation
7.3 economic performance
Open government 8.1 transparency/open access to public data
Source: Own elaboration, adapted from INAFED (2021a, b). From Sustainable Development
Goals, by United Nations Sustainable Development Group ©United Nations 2016. Reprinted with
the permission of the United Nation. https://www.un.org/sustainabledevelopment/
The content of this publication has not been approved by the United Nations and does not reflect the
views of the United Nations or its officials or Member States
It is of particular interest to mention that there are no indicators that can be

associated with the following SDGs: 1. End Poverty in all its forms everywhere;
2. End Hunger, achieve food security and improved nutrition and promote sustain-
able agriculture; 7. Ensure access to affordable, reliable, sustainable, and modern
energy for all; 12. Ensure sustainable consumption and production patterns; 14.
Conserve and sustainably use the oceans, seas, and marine resources for sustainable
Table 2 Evaluation of achievements for SDGs by municipality
INAFED Dimensions
Management/organization CH CH
JR JR
DL DL
CT CT
PR PR
BC BC
CS CS
GC GC
UR UR
Treasury CH
JR
DL
CT
PR
BC
CS
GC
UR
Land/territory Mgmt. CH CH CH
JR JR JR
Public services CH CH
Sustainability and Development at Northwestern Municipalities in Mexico:. . .
GC
Environment CH CH
DL DL
Social development CH CH CH CH
DL DL DL DL
(continued)
483
484
Table 2 (continued)
INAFED Dimensions
Economic development CH CH
JR JR
DL DL
Open government CH
JR
DL
CT
PR
BC
CS
GC
UR
Source: Own elaboration. From Sustainable Development Goals, by United Nations Sustainable Development Group ©United Nations 2016. Reprinted with the
permission of the United Nation. https://www.un.org/sustainabledevelopment/
The content of this publication has not been approved by the United Nations and does not reflect the views of the United Nations or its officials or Member States
M. d. C. Gutiérrez-Diez and J. G. Reyes López
development; and 17. Strengthen the means of implementation and revitalize the
Global Partnership for Sustainable Development, respectively.
As a general overview, it could be established that there is reasonable compliance
and progress regarding the Sustainable Development Goals. However, this is
discussed in greater detail in the section below with each municipal dimension/
category and the associated SDGs. This will shed more detail about them, as well as
for those goals not included for evaluation.
Description and Analysis
As a result of the previous evidence, the findings already presented are discussed in
greater detail below, for each one of the Sustainable Development Goals and the
categories in which municipalities were classified (large and urban, medium size,
small, and rural).
Goal 3: Ensure healthy lives and promote well-being for all at all ages.
Evidence is found in Social Development dimension (6.2-Health)

Large and urban: Only Chihuahua has evidence related to this heading, so it is
evaluated as green. Juarez did not show any evidence at all.
Medium size: Same evidence is found for Delicias, in relation with health
diagnosis, promotion and care activities were evaluated as green. Cuauhtémoc and
Parral show no evidence.
Small and Rural: No evidence at all.
Goal 4: Ensure inclusive and equitable quality education and promote lifelong
learning opportunities for all.
Medium size: Delicias reports actions related to diagnoses and actions in Basic
Education, evaluated with yellow.
The municipal indicators are found in Social Development dimension
(6.1-Education).
Large and urban: Chihuahua reported actions to support Basic Education (green).
Parral and Cuauhtémoc do not report any actions for this heading.
Small and rural: No evidence presented.
Goal 5: Achieve gender equality and empower all women and girls.
The municipal indicators are found in Organization (1.1.8), Social Development

(6.4).
Large and urban: Although Chihuahua and Juarez carry out actions such as the
participation of women in middle and senior management positions of the local
government administration and in actions directed to promote gender equality, the
evidence is evaluated as yellow in Organization dimension. Regarding Social
Development, only Chihuahua has evidence, evaluated as yellow. Juarez does not
show any results.
Medium size: Cuauhtemoc and Delicias are located in green color within the
participation of women in middle and senior management positions of the municipal
administration and in actions to promote gender equality. Parral is evaluated in red in
relation with the participation of women in middle and upper command positions of
the local administration. Only Delicias has results associated with gender equality
under Social Development, evaluated as green.
Small and rural: The four municipalities, Guachochi, Cusihuiriachic, Bocoyna,
and Urique show some evidence of presence of women in their respective organi-
zational structures. Guachochi and Cusihuiriachic obtained green; meanwhile,
Urique is evaluated as yellow and Bocoyna in red. As for activities related to gender
equality as part of their Social Development, there is nothing.
Goal 6: Clean Water and Sanitation.
The municipal indicators are found in Public Services dimension (4.4.2 Drinking
water at homes, 4.4.3 Drainage service at homes, 4.4.4 Sewerage service in roads,
4.4.5-Treated/recycled water).
Large and urban: In this case, Chihuahua was the only municipality that presents
some evidence. Although with a poor evaluation (red) in association to dimension of
Public Services, since all of them are evaluated as percentages (quantities) for which
there are not available metrics.
The rest of the municipalities do not report any data. Most of them reported this
item as “not measurable” or outside its jurisdiction, as it is considered within the
federal order.
Goal 8: Decent Work and Economic Growth.
Evidence found in Economic Development in municipal indicators

(7.1-Regulatory improvement, 7.3-Economic Performance).
Large and urban: Juarez and Chihuahua are the only ones that have activities
related within this goal, as both municipalities have a full compliance (green)
regarding Regulatory improvement and Economic Performance.
Medium size: Delicias is the only one that has evidence of a work in progress
(yellow) in both aspects. There is no evidence for the rest of the municipalities
evaluated.
Small and rural: No evidence presented.
Goal 9: Industry, Innovation, and Infrastructure.
Evidence found in Organization (1.2-Municipal Planning) and Economic Devel-

opment (7.2- Productive Vocation/profile) dimensions of questionnaire.
Large and urban: Juarez and Chihuahua, as the biggest and more developed cities,
are the only ones which take full actions as part of their Municipal Planning activities
and Productive vocation/profile (green).
Medium: As for Municipal Planning there are different levels of compliance:
Delicias and Cuauhtemoc (green) and Parral (yellow). Regarding productive voca-
tion/profile, only Delicias show some evidence (yellow).
Small and rural: They only show evidence in relation with municipal economic
planning, nothing associated with productive vocation/profile. Guachochi is the only
one with full compliance (green) in planning. Bocoyna and Urique are still working
on their corresponding planning (yellow). Cusihuiriachic is the only one with no
evidence at all (red).
Goal 10: Reducing Inequality within and among countries.
Evidence found in Social Development dimension (6.3 Vulnerable groups) of

questionnaire. Large and urban: Only in Chihuahua actions are found under Social
Development (green). Medium size: Only Delicias has actions related to this goal
(green).
Small and rural: No evidence of actions found.
Goal 11: Make cities and human settlements inclusive, safe, resilient, and
sustainable.
Evidence found in Territory Mgmt. (3.1 and 3.4- Urban Planning, 3.3 Civil
protection) and Public Services (4.1 Regulatory framework, 4.2 Diagnosis, 4.3
Actions, 4.4 Evaluation).
Large and urban: Only Chihuahua and Juarez execute actions related to the
Territory Mgmt. dimension, specifically associated with urban planning and civil
protection. Chihuahua is proficient in them (green), but Juarez still is a work in
progress (yellow). Regarding public services, Chihuahua is the only one with actions
and evaluated as a work in process (yellow).
Medium size: There is no evidence related for none of the indicators for any of the
municipalities.
Small and rural: Only Guachochi has some evidence related to public services, as
a work in process (yellow).
Goal 13: Take urgent action to combat climate change and its impacts.
Evidence found in Land/Territory Management (3.2-Ecological regulation/ordi-

nance) and Environment (5.1-Environment, 5.2-Climate change, 5.3 Sustainable
Public Services).
Large and urban: Both urban municipalities, Chihuahua and Juarez, have evi-
dence of an ecological ordinance, as a work in progress (yellow). Regarding the
actions associated with the environment, climate change, and sustainable public
services, only Chihuahua presents evidence of activities (green).
Medium size: Delicias is the only municipality in this category that presents
evidence associated with activities in item 5, although they are evaluated as a work in
progress (yellow). The rest of the municipalities and activities do not present any
evidence related to this goal.
Small and rural: There is no evidence of actions or activities in these
municipalities.
Goal 15: Protect, restore, and promote sustainable use of terrestrial ecosystems,
sustainably manage forests, combat desertification, and halt and reverse
land degradation and halt biodiversity loss.
Evidence found in the same dimensions already stated for goal 13: Land/Territory
Management (3.2-Ecological regulation/ordinance) and Environment (5.1-Environ-
ment, 5.2-Climate change) indicators.
For this case, the same evidence shown for SDG 13 is found, so the same analysis
will not be duplicated. It is worth mentioning that there are no specific provisions for
the preservation of terrestrial ecosystems in a concrete way. Only generic regulations
are mentioned in relation to ecological issues: environment and climate change.
Goal 16: Promote peaceful and inclusive societies for sustainable development,
provide access to justice for all and build effective, accountable, and inclusive
institutions at all levels.
The municipal indicators are found in Treasury (2.1 Income, 2.2 Expenses, 2.3
Debt, 2.4 Heritage) and Open Government dimension (8.1-Transparency/access to
public information).
As a reference for this goal, the main strength of the municipalities in relation to
compliance with this SDG is the federal law regarding the right to access public
information (known as the “Transparency Law”), which is applied at all levels of
government (federal, state, and local). In such a way that all municipalities present
this regulation as evidence of compliance with the evaluated municipal indicator
(Open Government), related with this goal. It is so, that the majority comply in full
with this section, although some of them lack evidence in some aspects, or simply
did not present any evidence, which did not allow a favorable evaluation for them.
Large and urban: Chihuahua and Juarez full compliance (green), for both dimen-
sions Open Government and Treasury.
Medium size: As for Treasury, the three municipalities are evaluated as full
compliance (green). Delicias and Cuauhtemoc, both show full compliance (green)
with obligations and regulations related to the access to public information. Parral
showed partial evidence (yellow) for the same.
Small and Rural: As for Treasury only Guachochi is evaluated as full compliance
(green); Bocoyna as a work in progress (yellow), and Cusihuiriachic and Urique
have a lag (red). Bocoyna, Guachochi, and Urique have full compliance related to
access to public information. Only Cusihuiriachic does not present any evidence and
it is evaluated as lag (red) in the same dimension.
As for those Sustainable Development Goals with no evidence at all: No Poverty;

Zero Hunger; Affordable and Clean Energy; Responsible Consumption and Produc-
tion; Life Below Water, and Partnerships for Goals, the following are stated.
Goal 1. No Poverty.
As it was modified from previous Millennium Development Goals (MDGs), this

new wording of the SDG has resulted in a new perspective regarding the way in
which poverty is measured. This represents a particular challenge since countries
measure this poverty in different ways: some only use a monetary measure, while
others such as Mexico, use a composite index that includes several elements that
define the well-being of individuals, such as health and education, among others. It is
worth mentioning that although this specific Goal is not identified in Table 1, with
any association to municipal indicators, it was nevertheless possible to identify
elements that can be considered.
within this SDG 1. Specifically, indicators belonging to the Economic and Social
Development dimensions could be associated to this SDG, but it will require further/
deeper analysis in order to avoid duplicates or overlays.
Goal 2. Zero hunger, achieve food security and improved nutrition, and pro-
mote sustainable agriculture.
For this case, the content and purpose of this objective represent public policies,
which are outside the scope of municipal decisions, that is, food security and ending
hunger are actions that involve an integral work of various social, economic, and
political actors. Same as previous goal, it will require further analysis.
Goal 7. Ensure access to affordable, reliable, sustainable, and modern energy

for all.
Regardless of how relevant energy production is for regional development, the

real possibility that municipalities have to regulate this aspect is practically none. On
the one hand, they do not have jurisdiction over the generation of it, but on the other,
they could establish some patterns of responsible consumption. It could mainly be
through public services such as street lighting, where there is room for a lot of
improvement, like the use of solar energy (considering the climate conditions that
prevail in the region).
Goal 12. Ensure sustainable consumption and production patterns.
This objective involves a series of joint activities that aim to promote a better
quality of life coupled with a promising future. The municipalities as the basis of the
policy are responsible for these achievements, but remain outside the planning and
execution of the actions necessary for this purpose. It also involves efficiency in the
use of economic resources, in the proper management that productive units must do
in their process with the cooperation of stakeholders, that is, perhaps for large urban
municipalities that are state capitals, this goal may apply.
Goal 14. Conserve and sustainably use the oceans, seas, and marine resources
for sustainable development.
In the case of the state of Chihuahua and its municipalities, this objective is
completely outside of public policy and decision-making. As mentioned above, the
geographical location of the state prevents carrying out actions that contribute to
this SDG.
For SDG 14, Life below Water, it could be understandable considering that the
region does not have access to the sea, but it could be questionable if this would not
apply or not, to the ecosystems found in the main water basins of the region, such as
the Bravo and Conchos rivers, as well as in the main dams or bodies of water where
life could exist.
Again, when these matters relate to the different areas of control among federal,
state, and local governments, this objective remains outside the municipal authority.
Nevertheless, for the state of Chihuahua and its municipalities, the degradation of
ecosystems is a real and urgent problem, which needs to be addressed.
In the case of forests, clandestine logging is a long-standing activity that has not
been able to be solved with federal policies.
On the other hand, the increase in population displaces and invades, with
increasing intensity, areas of ecosystems that should be conserved as protected
natural areas.
Poverty and the displacement of inhabitants from rural areas to urban areas
contribute to the differentiation and concentration of people, generating new pres-
sures on ecosystems, mainly those related to water. The supply of water for cities has
implied channeling this resource towards urban development at the expense of its
use in rural areas.
The increase in cultivation areas, converting grassland or forest areas to agricul-
tural activities that are supported by irrigation with old-fashioned systems, has
caused the abatement of the water tables and their respective consequences, whose
first symptoms begin to be felt, and will become a huge crisis. The same goes for the
incorporation of natural areas into leisure and sports activities. Ecosystems are
increasingly under pressure; municipal policy can only contribute and enforce
federal guidelines.
Goal 15. Protect, restore, and promote sustainable use of terrestrial ecosystems,
sustainably manage forests, combat desertification, and halt and reverse
land degradation and halt biodiversity loss.
Even though there is evidence for this SDG in the municipal instrument, it is
worth mentioning the need to define more precise indicators for this goal, since it
mostly refers to the inclusion of regulations, but no metrics or resources for their
implementation.
Goal 17. Strengthen the means of implementation and revitalize the Global
Partnership for Sustainable Development.
There is no doubt that the achievement of these objectives involves several

strategies; one of them is the inclusive alliance between the actors involved. These
alliances must be presented at the federal, regional, state, and local levels. The
municipality will do its thing according to its possibilities.
Nevertheless, as for the technology ingredient included in this goal, it should be
mentioned that there are national indicators regarding Internet accessibility among
the population, but they are not included in the INAFED questionnaire. According to
INEGI (Instituto Nacional de Estadistica y Geografía 2020), in the state of Chihua-
hua 50% of the population has a subscription to access Internet from their homes.
For rural population, only 30% has access.
The achievement of these objectives requires investment and financial support
that supports and fosters what is mentioned in the 16 previous goals.
The audit on these actions requires control to avoid the diversion of resources and
goals.
Final Comments
As an exploratory approach to validate the correspondence between INAFED

questionnaire and Sustainable Development Goals, these final comments are divided
among those related to the INAFED instrument itself, and those related to the
municipalities evaluation, as follows:
Regarding the INAFED Instrument/Questionnaire
1. It is evident that the municipal indicators established by INAFED, a priori of the

SDGs, do not fully coincide with the specific goals of the 2030 agenda. Therefore,
a careful review of the INAFED instrument is necessary to achieve a real
congruence between both approaches and thus achieve a realistic and efficient
measurement of progress made on the SDGs at municipal level.
2. It is difficult for local governments, with only a period of validity of 3 years, to
meet the expectations raised both by INAFED and by the SDGs. Therefore, it is
imperative to follow up on all of them, beyond their term of government. In order
to achieve this, the help of higher levels of government is required.
3. The INAFED questionnaire is prone to privilege urban aspects and leave behind
rural communities. In this way many of the indicators solicited cannot be obtained
or applied when population is scattered throughout the municipality. On the other
hand, there is an effort to seek balance in the evaluation of economic, social, and
environmental aspects.
4. It becomes incongruous to define the same set of indicators for municipalities so

dissimilar to each other, in terms of development, resources, and population
concentration.
5. Federal, state, and municipal public policy generates its own development plans
based on interests unrelated to the SDGs, most of the time, they respond to their
own political agenda.
Regarding Municipalities Evaluation Through the Questionnaire
1. It was observed that the geopolitical location of each municipality determines, to

a lesser or greater degree, the fulfillment of the SDG indicators. In certain cases,
the SDG indicators and the objectives themselves are outside the municipal
context. This means that they belong to the federal order where the municipality
can do little, or nothing, to implement policies or actions in this regard.
2. Municipal administrations are guided by impact actions, mainly of a social
nature, which does not necessarily rely on the SDGs. Unfortunately, the economic
aspect continues to be a priority over the environmental and social dimensions. It
is possible to see that the environmental debt that has been generated and
increased severely compromises the current and future development of the
region.
3. In relation to environmental issues, water has become a factor of primary interest,
since its scarcity and poor management have an ever greater impact. The contra-
diction that exists between the type of crops such as walnuts, which demand a
large quantity of this valuable resource, is not compatible with the climate of the
region.
4. In addition, there is an ambivalence/contradiction when the country legislation
states that water is a federal resource, and on the other hand, asks local govern-
ments to evaluate and measure progress in such matters. Most of the municipal-
ities simply state that this dimension is not within their competence, or do not
have enough resources to manage and follow-up metrics for them.
5. There is no municipal instance that is dedicated to monitoring government actions
and their relationship with the fulfillment of the SDGs, which could be considered
as an option, if there is availability of resources. One of the main problems related
to this evaluation is precisely that lack of liaison and voluntary participation of the
municipalities.
Based on this evaluation, there is an opportunity to generate strategies that seek to

give continuity to municipal plans, beyond their 3 years of their government. These
strategies should incorporate the political commitments and, at the same time,
include actions that are oriented toward the fulfillment of the SDGs.
The need to continue improving the INAFED instrument in order to effectively
gather and cover all the SDGs that apply for each region is a work in progress, and it
should be carried out in stages, with certain percentages of compliance with SDGs
established in the short, medium, and long term.
In most cases municipal government does not have legislative functions but has
some degree of flexibility within the framework of laws issued by national and state
legislations in such a way that they (local governments) can formulate ordinances for
their implementation and monitoring and even penalties, if applicable. It is essential
to notice that local communities can promote behaviors that may or may not have a
favorable impact on sustainable development, through the actions of their citizens,
since it becomes the closest authority for them.
Thus, this level of government will always be the one that can obtain the greatest
influence on the first and last link of development: the individuals who are part of its
community. And it is precisely individuals who through individual actions can
achieve a true change, a new model of sustainable development.
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State Development Plans in Mexico
and Their Contribution to the SDGs:
No Poverty, in the 2030 Agenda
Antonio Huerta-Estévez
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 496
Global Compact for Mexico Network and the 2030 Agenda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 498
Sustainable Development Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 502
Governance and State Development Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 506
States and Their Contribution to the Agenda 2030 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 509
Outlooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 514
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 516
Abstract
The 2030 Agenda through its Sustainable Development Goals (SDGs) is meant to
be a new way to improve life through eradicating poverty and hunger, combating
climate change, and providing education. In addition, plans include efforts to
create equality for women and improve the environment with a more responsible
consumption of and care for water. The governments of each country must
establish clear public policies that favor and facilitate the fulfillment of the
17 SDGs. The main objective of this chapter is to analyze the State Development
Plans as well as the results reported for the United States of Mexico, to determine
if they include the SDGs of the 2030 Agenda within the guiding principles of their
plans, specifically the one referring to the end of poverty. According to the
Multidimensional Poverty Index (MPI) 2019 prepared by the UN Development
Program (UNDP), there are more than 1.3 billion people who are poor in multiple
dimensions in 101 countries. In Mexico there are eight million people who are
living in multidimensional poverty, that is, 6.3% of its population. In addition,
4.7% of the population is at risk of falling into this type of poverty. As of YEAR,
A. Huerta-Estévez (*)
Departamento de Ingeniería Industrial, Tecnológico Nacional de México/Instituto Tecnológico de
Veracruz, Veracruz, Mexico

https://doi.org/10.1007/978-3-031-16017-2_18
496 A. Huerta-Estévez
43.6% of the Mexican population lives below the poverty line, and 2.5% of
Mexicans are living on less than $1.90 USD per day.
Keywords
Sustainable Development Goals · Development plans · 2030 Agenda ·
Sustainability · Global compact
Introduction
In September 2015, the United Nations (UN) began the 2030 Agenda for sustainable
development, involving three main entities: the public sector, the private sector, and
society. The purpose of these entities is planning actions that benefit the planet and
the prosperity of people through the search for peace and justice. Currently 156 coun-
tries and more than 11,500 companies are involved, which constitutes the largest
sustainability network worldwide. Based on the Millennium Development Goals
(MDGs) from 2000 to 2015, the 2030 Agenda includes three dimensions of sustain-
able development: economic, social, and environmental development (Balogh et al.
2017; López-Mera 2021; Pérez-Hoyos et al. 2020). The global development agenda
expresses both the political and economic asymmetries between countries and social
groups, as well as the conventions, ideas, values, norms, and institutions that make
up the international system (Sanahuja and Tezanos-Vázquez 2016). In this sense, it
would seek to define social responsibility in companies in a general way as a concept
applied to legal and ethical obligations and commitments that derive from the
impacts that the activity of organizations produces in the social sphere, labor
standards, the environment, and human rights as part of the axes of the 2030 Agenda
(Saldarriaga-Ríos 2013). In this sense, this is the challenge of promoting social
progress, the effort focused on ensuring the reconstruction of the countries and
achieving economic growth that would improve the living standards of the popula-
tion (Bórquez-Polloni and Lopicich-Catalán 2017).
In Mexico, in the last 30 years, the economy has been unstable, showing low
levels of growth. This can be understood as stagnation in the productive sector,
caused by the lack of public policies that strengthen the productive capacity of the
country. Therefore, the 2030 Agenda is important for Mexico, since it explains the
need for actions aimed at strengthening the economy of each country (Trejo Nieto
2017). International economic organizations such as the International Monetary
Fund (IMF) contemplate compliance with the SDGs in their Global Stability Report
and Fiscal Monitor Report. In addition, the Economic Commission for Latin Amer-
ica (ECLAC) has expressed the unsustainability of the development style that has
existed to date, establishing it as a possible threat to the well-being of future
generations (Girón 2016).
However, the Agenda does not establish, in a clear and concise way, a guide about
the real meaning of what each of the SDGs means individually as well as the
interaction among them, in order to know how to evaluate current interactions.
State Development Plans in Mexico and Their Contribution to the SDGs:. . . 497
Despite the early appearance of various studies that address the interactions among
the 17 SDGs which seek to establish guidance in this regard, there is still no
universal consensus about what it really means to adopt an approach oriented to
the integration of the SDGs and the implementation of the 2030 Agenda (Bennich
et al. 2020). For the implementation of the 2030 Agenda and the fulfillment of its
17 SDGs, changes are required in the way public policies are developed and
implemented in governments through both the national and state development
plans. There they must develop the relevant actions focused on the fulfillment of
said agenda. For this reason, an integrative vision is necessary for the formulation of
public policies as governments implement it (Nilsson and Persson 2017). Further-
more, it is known that 65% of the SDG agenda may not be fully achieved without the
participation of urban and local entities. Furthermore, since about a third of the SDG
indicators can be measured at the local level, that makes the local level an important
unit for action and monitoring progress towards sustainable development (Lorenzo-
Saez et al. 2021).
The Agenda is a global commitment that has been adopted as a tool for the
creation of inclusive and just societies by developed and developing countries
through a global alliance promoting the dignity and equality of people. It requires
the participation of governments, society, academia, and the private sector for its
implementation and achievement of the 169 goals contemplated in the 17 SDGs
(Bárcena 2019). It establishes a course for the coming years with a global approach
that faces challenges such as climate change, inequality, and poverty. These go hand
in hand with human development measures which have had an increase globally in
recent years (Pedrajas 2017). Likewise, in Mexico, little interest has been identified
in reflecting aspects related to social responsibility within their strategic planning
(Huerta-Estévez and Andrade-Estrada 2021); however, it is also true that the redef-
inition of the function of the company within modern society has meant that
organizations have implemented various programs where efforts are channeled to
try to give back to society (García-Santos and Madero-Gómez 2016).
The commitment among the various entities involved in the implementation of
the 2030 Agenda, as well as their role in cooperation, will facilitate strengthening the
implementation pathways. In addition they will revitalize the global alliance for
sustainable development by communicating knowledge, experience, technology,
and financial resources for the achievement of the SDGs in all countries, but mainly
in developing countries (Shulla et al. 2019). The fundamental factor for the success
of the implementation of this agenda will be the participation of individuals and
institutions of both a national and international nature (Balogh et al. 2017). For this
to happen, it is necessary that governments be very well structured so that they can
effectively comply with the SDGs through means that allow the participation of the
different entities that promote the common good, which is vital for the success of this
agenda and its SDGs (Arenilla Sáez 2019).
Another target of the 2030 Agenda is to encourage public and private collabora-
tion in a transparent and responsible way to support and monitor progress (Moomen
et al. 2019). One of the various challenges established in this Agenda is the way the
land is used. Establishing a way to solve this challenge will establish the resolution
capacity of the multiple challenges posed in the Agenda, which are of the utmost
importance for its fulfillment (Ehrensperger et al. 2019). All progress must be
documented, which is why an international framework is established for the Agenda
that will allow the countries’ progress and general progress in each area to be
quantitatively evaluated (Calicioglu and Bogdanski 2021).
The effort to carry out the consultation that led to the 2030 Agenda is a process
that is unprecedented by the countries that are members of the UN and its agencies,
based on the condition that it takes place in all countries involved and committed to
being responsible for progress towards a sustainable future (Fukuda-Parr and
McNeill 2019). One of the main premises of this Agenda is based on the fact that
all nations can be economically prosperous and socially inclusive and have a
sustainable environment through a comprehensive policy that allows good gover-
nance by 2030 (Walsh et al. 2020).
In this way, Mexico cannot be left behind, since, as a member of the United
Nations, it has actively highlighted its participation in shaping the 2030 Agenda
through the presentation of proposals on the principles of equality and social
inclusion as well as economic issues promoting the multidimensional aspects of
poverty, for which it has actively maintained its participation.
This chapter establishes the objective of analyzing the state development plans of
each and every one of the 33 states belonging to the United States of Mexico as well
as the latest results reported to establish compliance with the 17 sustainable devel-
opment goals (SDG) of the 2030 Agenda, specifically the number one, which refers
to the end of poverty. In this sense, aspects such as education and health are also
considered as means for economic growth, insofar as they represent an investment in
human capital rather than as development goals itself (Munster-Infante 2018). For
this reason, and according to the 2019 Multidimensional Poverty Index (MPI)
developed by the UN Development Program (UNDP), there are more than
1,300,000,000 people who are poor in multiple dimensions in 101 countries. Spe-
cifically, in Mexico there are more than eight million people who are in multi-
dimensional poverty or 6.3% of the population in addition to 4.7% of the
population that is at risk of falling into multidimensional poverty. It should also be
noted that 43.6% of the population in Mexico lives below the poverty line and 2.5%
of Mexicans live on less than $1.90 USD per day.
Global Compact for Mexico Network and the 2030 Agenda
A poor distribution of economic income at a global level in addition to the

uncontrolled and excessive use of natural resources has consequently generated a
large gap between the poor and the rich, generating a great impact in the environ-
mental and social sphere, such as the imbalance between man and nature (Arruda
Filho 2017). Current generations have assumed the challenge of being more deeply
committed to sustainable development, being highly convinced that it must be
ensured without putting life on planet earth at risk (León-Pupo et al. 2019).
Human rights, labor standards, the environment, and anti-corruption are the
foundation on which the ten principles of the global compact are founded, which
saw its origins through the commitment of the general directors (CEOs) of the
organizations, through the universal principles of sustainability, with the sole pur-
pose of benefiting the construction of a more inclusive and sustainable universal
economy. These ten principles of the global compact are embedded in four axes of
the Global Compact (human rights, labor standards, environment, and anti-
corruption) that are listed below:
Human Rights
• Principle 1: Businesses should support and respect the protection of univer-
sally recognized fundamental human rights. Within the context of their com-
mitment to the Global Compact, companies have a responsibility to support
human rights in the workplace as well as ensure it within their workplace,
which can contribute to improving a company’s performance.
• Principle 2: Companies must ensure that they are not complicit in the violation
of human rights. The different types of existing complicities must be identified
to avoid being part of these acts and thus avoid the vulnerability of human
rights violations.
Labor Rules
• Principle 3: Businesses should uphold the freedom of association and the
effective recognition of the right to collective bargaining. They should respect
the right of workers to freely form organizations of their own choice and to join
them in addition to carrying out their activities with total freedom.
• Principle 4: Companies should support the elimination of all forms of forced
or compulsory labor. Forced labor, or that which is carried out under duress, is
that in which a person is forced to work under threats or in which a person does
not work voluntarily, whether or not there is a salary.
• Principle 5: Companies should support the eradication of child labor. This type
of work is what deprives children of their childhood, harming their physical,
social, mental, psychological, and even spiritual development. These children
do not complete their basic education, causing them to be illiterate and unable
to develop the skills needed to get a job and contribute to the development of a
modern economy.
• Principle 6: Businesses should support the abolition of discriminatory prac-
tices in employment and working conditions and avoid treating people differ-
ently or less favorably because of their race, age, disabilities, or gender.
Environment
• Principle 7: Companies must maintain a preventive approach that favors the
environment. The systematic application of a risk assessment should be
required, in addition to the notification of the same when there is a reasonable
suspicion of damage, taking into account the degree of uncertainty of the
scientific evaluation.
• Principle 8: Companies should encourage initiatives that promote greater
environmental responsibility. Companies have the responsibility to ensure
that their activities do not harm the environment of their neighbors in the
course of doing business, satisfying the needs of society.
• Principle 9: Companies must favor the development and use of environmen-
tally friendly technologies. These technologies are those that protect the
environment, pollute less, use resources in a more sustainable way, recycle
more of their waste and products, and treat waste in a more acceptable way
than the technologies they replace.
Anti-corruption
• Principle 10: Companies must work against corruption in all its forms, includ-
ing extortion and bribery. Corruption poses risks to the company’s reputation
and increases exposure to legal, financial, and other risks.
These ten principles of the Global Compact serve to develop actions that focus on
the SDGs and that must be fully identified in various government documents.
During the last years, perhaps decades, society worldwide has been exposed in
the extreme to a social environment that is tense. This added to the high environ-
mental degradation; population increase and and per capita consumption have been
key elements in promoting such situations (Pedersen 2018). Under this panorama,
which cannot go unnoticed, in September 2015 the 2030 Agenda for Sustainable
Development was approved at the United Nations. The Agenda is made up of
17 SDGs (Fig. 1) and 169 universally applicable targets. The agenda establishes
Fig. 1 The 17 UN Sustainable Development Goals (SDGs). Source: https://www.un.org/

sustainabledevelopment/. “The content of this publication has not been approved by the United
Nations and does not reflect the views of the United Nations or its officials or Member States”
its pillars in the principles that promote development, equality, and human rights,
among others, with the purpose of fully including environmental sustainability
(Gómez-Lee 2019). These SDGs cover various areas in the environmental field
such as climate change, chemical pollution, waste, marine and terrestrial ecosystems,
etc., in addition to taking into account aspects related to access to food, water,
sanitation, energy, health, education, justice, and infrastructure development, cities,
employment, and growth (Nilsson and Persson 2017).
The execution of the 2030 Agenda and the achievement of its 17 goals require
specific actions focused on society, companies, academia, and regional and interna-
tional organizations (Caiado et al. 2018). Values such as freedom, equality, respect,
and responsibility, contemplated in the SDGs, are necessary to achieve prosperity
and peace (Bórquez-Polloni and Lopicich-Catalán 2017). The SDGs are character-
ized by the motto: “no one should be left behind”; and for this reason, countries
change their strategy in order to make government more participatory, inclusive, and
horizontal. These goals establish commitments with all the countries, continents, and
people that inhabit the planet under the recognition that there is not only underde-
velopment but also, above all, poor development that has led to extreme accumula-
tion and impoverishment. In all continents there are unsatisfied basic needs/
capacities (Botero-Pulgarín 2020).
Within the framework of the 2030 Agenda, sustainable development should be
seen as the formation of innovative economies where the central focus is people,
appreciating their skills, knowledge, and experience (even looking to senior citi-
zens), promoting the creation of good-paying jobs, and establishing the role of
women in public life that ensures dignity all while protecting the environment
(Szopik-Depczyńska et al. 2018). The purpose of the 17 SDGs in the Agenda is to
strengthen and rebuild the essential activity of ecosystems that guarantee great
benefits for current and future generations, paying primary attention to water and
sanitation, since this is fundamental and integral to the development of the human
being as well as the needs of ecosystems. Consequently, the successful achievement
of the SDGs will be largely based on managing and maintaining our dependence on
water (Mulligan et al. 2020).
During the period between 2000 and 2006, the duration of the administration of
the president of Mexico, Vicente Fox Quesada, a legal entity called “The Mexican
Network of the Global Compact” or “Global Compact Mexico” was started, which
works hand in hand with the UN Global Compact Office. Made up of 11 companies,
a civic organization, an academic, and the UN resident commissioner in Mexico, it is
currently governed by a board of directors, which has the mission of reviewing the
strategy and defining new guidelines. The companies that make up this Mexico
Global Compact are Aeroméxico, Arca Continental, Bio Pappel, Cemex (Chairman
of the board of directors), Citibanamex, KPMG, Nestlé, Petstar, Ripipsa, Scania,
Xcaret, UN Mexico (Interim Resident Coordinator), and Transparency Mexican as a
civic organization, in addition to the academic Ignacio de la Vega García from
EGADE Business School of ITESM.
As previously mentioned, the 2030 Agenda is made up of 17 SDGs, which in turn

bring together 169 targets and their indicators. In the case of Goal 1, No Poverty, it is
known that this goes deeper than just establishing the lack of income and resources
that guarantee a sustainable way of life, since 1 in 5 people living in development
areas lives on less than $ 1.25 USD a day. According to the Glossary of the National
Council for the Evaluation of Social Development Policy (CONEVAL 2019),
poverty occurs when a person has at least one of the six social deprivations referred
to in the indicators of educational deficiency: access to education services, access to
health services, access to social security, quality of and adequate space in the home,
basic services in the home, and access to food. In addition, the income that they
receive is not enough to acquire the goods and services that are necessary to satisfy
their food and non-food needs (Llamas-Covarrubias 2021). Hunger, poor nutrition,
discrimination, and social exclusion as well as limited access to education and other
basic services are some of the concepts included in this first SDG. Table 1 lists the
seven targets that make up the No Poverty goal and their indicators.
The task of finally ending poverty requires universal social protection systems
that are focused on safeguarding each and every person throughout their entire lives.
In addition, more measures chosen for this purpose need to be established to reduce
the vulnerability of people in this situation to possible disasters and to attack specific
underserved geographic regions within each country (Fernández-Barberis et al.
2019). The achievement of Goal 1 is not individual. There are other goals that are
directly related to the issue of hunger and malnutrition. Such is the case of the SDG
related to health. In addition to this, there are other goals such as the climate change,
natural resources, and education, as well as the empowerment of women, which are
indirectly related to the hunger issue of Goal 1. However, it must be recognized that
the SDGs do not contain indicators that help measure the various factors that lead to
malnutrition, such as those that help identify overweight and obesity in people, or
indicators regarding breastfeeding. For this reason, recent nutrition studies highlight
the great importance of investing in improving the clarity of the indicators related to
these nutrition and health results (Byerlee and Fanzo 2019).
According to the data from the National Council for the Evaluation of Social
Development Policy (CONEVAL), the percentage of the population living in pov-
erty in Mexico increased between 2018 and 2020 from 41.9% to 43.9%, and the
population living in extreme poverty increased from 7% to 8.5% in those same years.
The population with income below the extreme poverty line increased from 14% for
the year 2018 to 17.2% for the year 2020, and the population with income below the
poverty line increased from 49.9% to 52.8% during the same period (CONEVAL
2020).
Regarding the population living in poverty in Mexico, there was an increase in
that number from 51,890,900 people in 2018 to 55,654,200 people by 2020. States
such as Quintana Roo, Baja California Sur, and Nuevo León registered the greatest
increase in population living in poverty. In contrast, states such as Colima and
Nayarit were the ones that achieved the greatest decrease in people living in poverty.
Table 1 Targets of Goal 1

Targets Indicators
By 2030, eradicate extreme poverty for all Proportion of the population living below the
people worldwide (currently people living on international poverty line, disaggregated by
less than US $ 1.25 per day are considered to sex, age, employment status, and geographic
be in extreme poverty) location (urban or rural)
By 2030, reduce by at least half the proportion Proportion of the population living below the
of men, women, and children of all ages living national poverty line, disaggregated by sex and
in poverty in all its dimensions according to age
national definitions Proportion of men, women, and children of all
ages living in poverty, in all its dimensions,
according to national definitions
Implement at the national level appropriate Proportion of the population covered by
social protection systems and measures for all, systems or minimum levels of social
including minimum levels, and, by 2030, protection, disaggregated by sex,
achieve broad coverage of the poor and distinguishing between children, the
vulnerable unemployed, the elderly, people with
disabilities, pregnant women, newborns,
victims of work accidents, the poor. and the
vulnerable
By 2030, ensure that all men and women, Proportion of the population living in
particularly the poor and vulnerable, have households with access to basic services
equal rights to economic resources and access Proportion of the total adult population with
to basic services, ownership, and control of secure land tenure rights: (a) who have legally
land and other assets, inheritance, natural recognized documentation in this regard and
resources, appropriate new technologies, and (b) consider their rights secure, broken down
financial services, including microfinance by sex and type of tenure
By 2030, build the resilience of the poor and Number of dead, missing, and affected people
those in vulnerable situations and reduce their directly attributed to disasters per 100,000
exposure and vulnerability to climate-related inhabitants
extreme events and other economic, social, and Direct economic losses attributed to disasters
environmental shocks and disasters relative to world gross domestic product
(GDP)
Number of countries that adopt and implement
national disaster risk reduction strategies in
line with the Sendai Framework for Disaster
Risk Reduction 2015–2030
Proportion of local governments that adopt and
implement local disaster risk reduction
strategies in line with national disaster risk
reduction strategies
Ensure significant mobilization of resources Proportion of internally generated resources
from various sources, including through that the government allocates directly to
improved development cooperation, to provide poverty reduction programs
sufficient and predictable means for Proportion of total public spending devoted to
developing countries, particularly least essential services (education, health, and social
developed countries, to implement targeted protection)
policies and programs to end poverty in all its Sum of total grants and non-debt-generating
dimensions allocations directly dedicated to poverty
reduction programs as a proportion of GDP
(continued)
Table 1 (continued)
Targets Indicators
Create strong policy frameworks at the Proportion of capital and recurrent public
national, regional, and international levels, expenditures that are devoted to sectors that
based on gender-sensitive pro-poor disproportionately benefit women, the poor,
development strategies, to support accelerated and vulnerable groups
investment in poverty eradication
Source: By author
Fig. 2 Poverty situation by state from 2018 to 2020. Source: By author. The data was obtained
from the National Council for the Evaluation of Social Development Policy (CONEVAL). https://
www.coneval.org.mx/Medicion/MP/Paginas/Pobreza_2020.aspx
In other words, by 2020 these two states have less population in this situation, as
shown in Fig. 2.
Another important item to measure the degree of fulfillment of the No Poverty
goal is that referred to as extreme poverty, which, as well as the previous item, also
registered an increase from 2018 to 2020, from 8,696,400 people to 10,930,000
people. Figure 3 shows that the states of Tlaxcala, Nuevo León, and Quintana Roo
were the states that showed the greatest increase between 2018 and 2020 in their
percentage of the population living in extreme poverty and states such as Veracruz
and Nayarit were the ones that achieved the greatest reduction in the percentage of its
population living in extreme poverty.
The fight to combat poverty in Mexico has been an ongoing effort, especially in
the last decade where the Oportunidades program, which later came to be identified
Fig. 3 Extreme poverty situation by state from 2018 to 2020. Source: By author. The data was
obtained from the National Council for the Evaluation of Social Development Policy (CONEVAL).
https://www.coneval.org.mx/Medicion/MP/Paginas/Pobreza_2020.aspx
as Prospera, has been a fundamental and vital strategy in social policy to avoid
continuing poverty from generation to generation. Previous studies highlight that
although the impact of the Oportunidades program in Mexico was not significantly
large, the percentage of food poverty was reduced by 2.14%, poverty of capacities
achieved a reduction of 1.86%, and poverty of heritage decreased by 0.88% from the
operation of said program. The program could have had a greater impact had it had a
larger budget for its operation as well as a better management (Bracamontes-Nevárez
and Camberos-Castro 2015).
The concept of multidimensional poverty is a term that encompasses factors of
economic well-being, as well as social rights, which are conceptualized as social
deprivations. Due to this, the evolution of social deprivations cannot be improved by
an increase in the budget of federal programs, since there are various programs of a
state or municipal nature, which are accompanied by funds from federal branches.
These have common purposes, that is, related objectives, which is why the evolution
of poverty and its accompanying deficiencies are largely the result of the country’s
economic growth and development. In other words, these factors are correlated
where higher economic growth in the country presupposes lower rates of poverty
(Huerta-Pineda 2016).
In the economic crisis of 2009, more than 50 million jobs were lost worldwide,
which resulted in an increase in the levels of inequality and, of course, poverty.
According to the UN Development Program in 2010, two-thirds of the countries
with the highest inequality in the world are in Latin America, Mexico being one of
them (Camberos-Castro and Bracamontes-Nevárez 2015). Being close to the half-
way point of the implementation of the 2030 Agenda, the achievement of the SDG
goals regarding hunger as well as drinking water and sanitation and modern energy
services will be able to avoid about 433,000 child deaths by the end of the year 2030.
Today, the main factors responsible for more than 14% of child deaths worldwide are
poor health, including child malnutrition, lack of access to water for improved
drinking and sanitation, lack of access to modern fuels, and exposure to malaria
(Lucas et al. 2019).
In 2012, as part of the multidimensional measurement of poverty, CONEVAL
estimated that there were just over 23.5 million people in Mexico with incomes
below the minimum welfare line (Figueroa and Boltvinik 2016). Poverty is a
multidimensional problem; therefore, public policies in order to achieve its elimina-
tion or reduction in a significant way must be varied and generally complementary
and must be consolidated as a fundamental part of the strategies for the solution of
poverty. The effects of these strategies are not always sufficient due to trends caused
by economic crises, as has happened in Mexico (Huesca-Reynoso and Calderón-
Villarreal 2015). Social cohesion has become a key factor for the enunciation of
multidimensional poverty. This makes it clear from the beginning that the two
concepts are strongly correlated; that is, it can be assumed that increasing
social cohesion would result in a decrease in poverty. However, the concept of social
cohesion must begin in the nuclear family as an integral part of people’s social
relations. Then, the relationship between social cohesion and poverty must be
subjected to an analysis of the formation of people and their ability to manage
themselves within a set of values that help lay the foundations of a cooperative
society (Núñez-Medina et al. 2016).
Just to contextualize, in countries like Colombia the poverty index in 2017 stood
at 26.9%, and it is estimated that 12.8 million people in the country suffer from it. In
addition to this, 3.5 million people live in extreme poverty (Cubillos-Nieto 2020).
Governance and State Development Plan
The concept of governance has emerged amid the relationships of social groups for
the development of the public agenda. These have the ability to carry out consensus
processes to meet common objectives and build a shared vision of the country based
on multidirectional cooperation (horizontal and vertical) between governmental and
nongovernmental entities (Martínez-Salvador and Martínez-Salvador 2021). The
government must demonstrate that it can correctly exercise its authority in an
environment of deficits and lack of public resources in adverse conditions to face
the changes that are required for postmodernity (Olivos-Campos 2013). The gover-
nance model would show that, in addition to being directed to the policies of this
newly organized State, an eagerness to incorporate an organized and responsible
society in the development of good government (Mussetta 2009). In recent years,
more specifically in the last three decades, the concept of governance has become, in
most disciplines and areas, a very common term and increasingly frequently used,
since it is considered as the process of knowing and identifying the scope of the
interrelationships that surround us and that are essential to achieve the sustainability
of a city (Abdel-Razek 2021).
Different perspectives can be found around the term governance. There are those
that define governance as the means to attack a great variety of conflicts that
generally, through the negotiation process, reach decisions that satisfy the entities
involved in the conflicts. They then promote their cooperation for the execution of
resolution actions (Schmitter 2007). In the same sense, governance has also been
identified as the instrument that helps to improve social and institutional governance,
to which reference is made to assign effectiveness, quality, and good guidance in the
actions in which the State intervenes (Alcántara-Santuario and Marín-Fuentes 2013).
There is also the vision from the institutional point of view, since globalization has
enormously exposed the need to reorganize and restructure public administrations to
allow for greater agility in the flow of various concepts between the various countries
of the world, making it clear that globalization has forced many states to adapt their
laws as well as structurally modify their institutions, which represents a new
challenge for the governance of societies (Moyado-Estrada 2011). Similarly, multi-
ple organizations worldwide identify governance as the key factor for the develop-
ment and operation of public policies, plans, and programs that are aimed at meeting
the diverse needs of the population (Díaz-Castro et al. 2017).
The term governance can be understood as the regulated process between insti-
tutions and social groups, whether public or private, this in order to achieve
objectives and act collectively through the strategic alliances of the different mem-
bers who play a fundamental role. It is the State which serves as the leader of this
process which promotes development (Ramos García 2017; Katsamunska 2016). We
can also assume that strategies that use public policy data to improve decision-
making through planning, monitoring, and evaluating results are known as gover-
nance (Caso 2011). The discussion on governance is increasingly frequent within
environmental sciences due to a greater participation of social entities in environ-
mental management (Martínez and Espejel 2015).
In order to meet the objectives set forth in the new trends in public administration,
greater participation and involvement of citizens are required in the process of
generating and evaluating public policies in order to establish a synergy with the
government that allows it to carry out actions to respond to the demands of the
population, thus generating an increase in governmental legitimacy, which is why
governments have encouraged greater involvement of the population (De la Garza-
Montemayor et al. 2018). The current trend in the international debate is to address
water problems from the perspective of the new democratic governance. This will
allow the proposal of solutions that must be conceived and developed in a context of
multiple entities and decision points, in which the government but also the private
and social sector participate (Cáñez-Cota 2018).
The State Development Plan is the document that establishes the planning of
future actions to be developed by the States. This must be supported by the various
demands of citizens and must be exercised during the term of office of the
administration (Government of Quintana Roo 2016). The great role that local
governments play in the development of the 2030 Agenda is inescapable, since
they must focus on achieving the SDGs in each of their plans through multilevel
planning and the implementation of public policies (Ojeda-Medina 2020). The
federal political constitution, in Article 26, establishes that each State must establish
the development of the area through adequate planning and that, through the
collaboration channels that are instituted, it must collect the ideas and requests of
the citizens and in turn translate them into development plans. The development
plans of the governments of each state must establish a work guide, which will be in
force during the period of that administration, through the guiding axes, establishing
actions, objectives, and goals to be met through the indicators, which should be
consistent with the achievement of the 17 SDGs.
Mexico is facing a great opportunity, through the SDGs of the 2030 Agenda, to be
able to analyze the most appropriate way to efficiently achieve the goals established
in the development plans. The National Council of the 2030 Agenda for Sustainable
Development has the enormous task of coordinating and monitoring all the actions
that are focused on complying with the SDGs (González-Gómez 2018).
Like all content analysis work, this chapter is of a qualitative nature where content
analysis, the fundamental tool to examine each of the state development plans of the
32 States that make up the Mexican Republic. In Mexico, states or federal districts
are denominated units that are territorially delimited and that are autonomous but
that as a whole make up the country. In countries like Colombia, they are called
departments, in Spain they are called communities, and in Argentina they are known
as provinces. It is relevant to highlight that content analysis is a particular way of
analyzing ideas expressed in documents through the meaning of their words or
phrases, which constitutes an instrument that allows discovering the internal struc-
ture of written information, either in its composition or structure (López Noguero
2002).
To start this research, the 2019–2024 National Development Plan must be used as
a basis, since, in theory, state development plans must be aligned with the national
plan. However, no evidence was found in this national plan of enunciating guiding
principles of government. Only four sections were developed (Politics and Govern-
ment, Social Policy, Economy, and Epilogue: Vision of 2024), but these do not have
a planning structure, that is, there is no pronouncement of specific programs whose
purpose is to achieve the fundamental objectives of said plan. It was only possible to
identify within these four sections statements that could be interpreted as possible
actions that affect the achievement of the Sustainable Development Goals, such as
eradicating corruption, recovering the rule of law, and guaranteeing employment,
health, and education, to mention a few. However, it is not entirely clear how to
achieve these sections or objectives, nor is it explicitly stated how this contributes to
achieving the SDGs.
Once it is clear how the National Development Plan is integrated in relation to the
programs and actions for the achievement of the 2030 Agenda, a review of the state
development plans of each of the states of the Republic of Mexico can be made. The
content analysis is supported by the qualitative model consisting of the interpretation
of reality through categories abstracted from the written text (Moraima-Campos and
Auxiliadora-Mújica 2008; López-Morales et al. 2017). The qualitative case study
method follows an approach that facilitates the exploration of phenomena within
their context using a variety of data sources (Baxter and Jack 2008). This review first
focused on the guiding axes of said plans. With this, it was possible to identify the
number of axes that each state government establishes. This was done through a
review of the websites of each of the states looking for their state plan of develop-
ment and mention of the SDGs in said work plan, specifically the first of the SDGs,
which refers to No Poverty.
States and Their Contribution to the Agenda 2030
The results of the research carried out by the content analysis show that the state that
postulates the most guiding axes within its state development plan is the state of
Nayarit with seven, and the states of Baja California, Colima, Michoacán, Tabasco,
and Tamaulipas are the states that establish fewer guiding axes in their plans, with
only three. It was also found that half of the states have five guiding axes, which is
the most common number of axes established in each of the state plans. This denotes
the lack of uniformity in the number of axes to be addressed in the planning of the
national administration. Surely this phenomenon is due to the autonomy that the
states have. Figure 4 shows the number of guiding axes embodied in the develop-
ment plans in each of the states of the Mexican Republic.
Various topics are addressed as guiding axes of state plans; among them the
subject most referred to as an axis is that of security, which is present in 27 states,
representing 84.38% of the states covered in this study. Topics such as governance or
good governance are in second place with 68.75%, (22 states), followed by the
economy, which is listed in 21 states, this being 65.63% of the cases. The topic of
GOVERNING AXES BY STATE

8
7
6
5
4
3
2
1
0
QUERET ARO
COLIMA
CDMX
JALISCO
NUEVO LEON
AGUASCALIENTES
CAMPECHE
SINALOA
COAHUILA
GUANAJUATO
GUERRERO
MICHOACAN
NAYARIT
PUEBLA
MORELOS
OAXACA
QUINTANA ROO
SONORA
TAMULIPAS
VERUCRUZ
YUCATAN
CHIAPAS
DURANGO
SAN LUIS POTOSI
TABASCO
ZACATECAS
HIDALGO
MEXICO
TLAXCALA
BAJA CALIFORNIA
BAJA CALIFORNIA SUR
CHIHUAHUA
Fig. 4 Number of guiding axes by state. Source: By author

Fig. 5 Strategic axes by item. Source: By author
Fig. 6 Starting year of state government administrations. Source: By author
education is the least explicitly mentioned as a guiding principle, since it is only

mentioned in 7 states, representing only 21.87%. It is noteworthy that the Social
Welfare area, where the actions that lead to the achievement of the goal of No
Poverty, which is the main object of this study, is the fourth most mentioned since it
is reflected in 20 of the 32 states, that is, 62.5% of the states consider it as a guiding
principle in their government planning, as shown in Fig. 5.
Since the approval of the 2030 Agenda and its 17 SDGs in 2015, governments,
1 of the 3 main entities in the development and fulfillment of said agenda, have the
duty to consider the SDGs as a fundamental part in the creation of development
plans. Figure 6 denotes the number of states that began their administrations from the
years 2015 to 2020. Eleven states or 34.3% began their current administrations in
2016. Only one state, Baja California, started its administration in 2020 (3.12%).
In this analysis, it was found that the state of Morelos is the only one of the states,
of those that began their administrations between 2018 and 2020, that has not
considered any of the SDGs within its state development plan. Once the central
themes for determining the guiding axes of the state development plans have been
identified, it remains to be seen which of the 17 SDGs of the 2030 Agenda will be
considered within the actions of said guiding axes of the state development plans,
paying greater attention in the fundamental goal and basis of this study, No Poverty.
Of the 32 states of the Mexican Republic, 37.5% of these, that is, 12 states (Baja
California, Baja California Sur, Chiapas, Jalisco, Michoacán, Nayarit, Nuevo León,
Sonora, Tabasco, Tamaulipas, Veracruz, and Yucatán), consider in total the 17 SDGs
of the 2030 Agenda, 8 states (Aguascalientes, CDMX, Chihuahua, Durango, Gua-
najuato, Hidalgo, State of Mexico, and Puebla) consider between 16 and 15 SDGs,
and the remaining 12 states (Campeche, Coahuila, Colima, Guerrero, Morelos,
Oaxaca, Querétaro, Quintana Roo, San Luis Potosí, Sinaloa, Tlaxcala, and Zacate-
cas) do not consider any of the sustainable development goals within their state
development plan.
The first of the SDGs, No Poverty, is among the most contemplated goals by state
development plans since it is reflected in state plans in 20 states, which represents
62.5%. States such as Campeche, Coahuila, Colima, Guerrero, Morelos, Oaxaca,
Querétaro, Quintana Roo, San Luis Potosí, Sinaloa, and Tlaxcala are among the
states that do not explicitly express this goal within their state planning.
The analysis of the state development plans is identified if certain actions are
contemplated from the planning stage; however, it cannot be established from those
documents if the planned actions were actually carried out or even if any actions
were carried out that favor the fulfillment of the No Poverty goal without being
explicitly expressed in government planning. That is why, in addition to reviewing
the state development plans, a comprehensive review of the 2020 annual reports of
each of the state governments was carried out. Derived from this research, it has been
found that, in all states, programs and their public policies are focused on actions that
increase the fulfillment of the 17 SDGs. Although they do not express it explicitly in
their latest activity report, only seven states (Chihuahua, Hidalgo, State of Mexico,
Morelos, Puebla, Veracruz, and Yucatán) describe in a clear and detailed way how
each of the actions that were carried out contributes to the achievement of each of the
17 SDGs. Table 2 lists some of the clear actions that these seven states of the
Mexican Republic established to achieve Goal 1.
Not only are there direct actions that contribute to the achievement of Goal 1;
there are also certain actions or government strategies that directly affect more than
Goal 1 and that are not necessarily contemplated within Goal 1. As an example of
these actions, we can mention the provision of hot breakfasts for students, food
support for community kitchens, and financial support for families that have incomes
below the minimum welfare line, just to mention a few. These actions are the most
recurrent by state governments and directly affect the objectives of No Poverty in
addition to the goal of zero hunger. Table 3 shows some of the actions identified by
the states that do not explicitly state them in their latest results report.
Table 2 Actions of Objective 1 by state

State Actions in favor of Goal 1
Chihuahua Regularization of properties
Rehabilitation of houses
Support with construction materials and payment of labor for decent housing
Hidalgo Promote the social, integral, and solidary development of all people
Guarantee the development of indigenous peoples and their communities in
conditions of equality, inclusion, and social, economic, and environmental
equity in a sustainable manner
Serve indigenous communities by strengthening and intervening with social
works and actions to improve their quality of life
Ensure the provision of sustainable infrastructure for basic and strategic
services to the population
Reduce the lack of access to basic services in housing in the entity
Estado de Maintain the income growth of the poorest population
México Improve housing conditions and basic services for Mexican families
Combat hunger and increase access to healthy, nutritious, and sufficient food,
with particular attention to the poorest and most vulnerable population,
including children
Morelos Economic empowerment of women in poverty for their development
Development and integral well-being of indigenous communities and peoples
Puebla The Happiness Alliance Strategy was formed, with the aim of expanding
resources and strengthening the active participation of society in general. This
allows the delivery of subsidies in an objective, direct, transparent, and
sustainable manner, as well as the strengthening of co-investment mechanisms
for community empowerment
Nonperishable products were supplied to 65 mobile food units, through which
2 rations per day of food were provided at an affordable cost to 9750 people
The Intersecretarial Commission for Reconstruction was created. In this
context, this Administration continued with the application of 78,537,000 pesos
to carry out 1385 housing actions
In coordination with the National Water Commission and the City Council, the
preparation of the Multiple Drinking Water System Project for said
municipality was programmed and approved
Veracruz Sessions of the Council for Metropolitan Development of the State of Veracruz
Sessions of the Council for Urban Development, Land Management, and
Housing of the State of Veracruz
Assisted self-construction (new housing, expansion, and improvement), giving
priority to local labor
Construction of fourth bedrooms, floor, ceiling, and firm wall in rural and urban
ZAP
Equipping ecological stoves for the population that cooks with firewood or
charcoal and does not have a fireplace
Attention to vulnerable groups in rural and urban ZAP
Survey of community diagnoses and surveys to detect deficiencies
Yucatán Health care in time of natural phenomena
School promotion program to improve the education system
Source: By author
Table 3 Actions of Objective 1 by state

Aguascalientes Distribution of 5,300,000 food rations and support for the benefit of more than
52,000 people needing priority attention, members of vulnerable families
Baja California Guarantee access to the basic food basket for all families living in extreme
poverty, paying special attention to the supply chain and food distribution
Baja California Promotion of the social economy, providing support for productive projects for
Sur people who seek to integrate into the economy to improve their quality of life
Campeche Strengthening the capacities of people in vulnerable situations
Promotion of citizen participation and organization to reduce poverty through
cohesion and construction of social capital in the communities
CDMX The family economy support program
Chiapas Liconsa Program helped people living in poverty
Diconsa Rural Supply Program supplied stores in highly marginalized
locations
Coahuila Establishment of instruments and mechanisms to address poverty and reduce
the gap in people’s social rights
Fuerza Rosa Program assisted women in the beneficiary registry in the areas of
food, nutrition, health, education, training, legal guidance, and other associated
services
Colima Expansion and improvement of housing, through the State Institute of Land,
Urbanization and Housing
Guerrero 3047 bedrooms were built so that families living in poverty have decent
housing in order to improve their quality of life
Jalisco Adopt a Dinner Program promotes the participation of citizens to prepare food,
serve it, and live with the captive population, mainly in Casa Hogar and people
living on the streets
Michoacán Cover basic needs and promote the inclusion and access of those most in need
and guarantee inclusion and equity in education, health, and housing among all
population groups
Nayarit Reduction in the percentage of the population with incomes lower than those
of the food basket recipients
Quality housing actions, for the benefit of the inhabitants of Nayarit
250 low-income families from Nayarit who went through the loss of a loved
one were benefited, providing them with a quality funeral service
Oaxaca Attention to priority municipalities, focusing on actions aimed at improving
the living conditions of the municipalities that present the greatest conditions
of marginalization and poverty in the State
Querétaro Dignify the living spaces of people living in poverty
Promote the acquisition of decent housing for the population without access to
credit
Quintana Roo Healthy Housing Program that offers housing solutions to improve the
conditions and quality of life of low-income families
San Luis Mano a Mano Program to supply food, providing food pantries or support to
Potosí vulnerable groups
Support to families with the installation of backyard poultry farms for self-
consumption of eggs and sale of surpluses that are marketed with public
institutions in order to generate extra income
Sinaloa Productive Options Program, which allows the granting of support for the start
of small productive projects
(continued)
Table 3 (continued)
Sonora “Pink Room” or “Additional Room” program. This program, with a gender
perspective, is aimed at Mexican households with incomes below the poverty
line
Tabasco We contribute to the welfare of 630, 496 citizens, through the programs of the
Government of the Republic, with an economic benefit of 11, 508, 312, 080
pesos
Tamaulipas Food Wellbeing, providing food security to 350,000 families in vulnerable
situations without access to food, in the 43 municipalities of the State, as well
as to the vulnerable population
Tlaxcala Dignified Housing has executed 3000 subsidized housing actions for the
benefit of more than 12,900 Tlaxcalans, which has made it possible to reduce
the housing backlog in the state
Similarly, 408 additional bedrooms have been built, benefiting 1751 people,
allowing the existing overcrowding to be reduced
Source: By author
As can be seen, there are states that take actions that contribute to the achievement
of the non-poverty goal but do not express it clearly and link to Goal 1 of the
17 SDGs. Only four states could not access the information in their reports due to the
restriction of information on their official state websites due to the electoral ban.
Outlooks
The 2030 Agenda is a universal effort that encourages countries to join in appropri-
ate actions that allow the eradication or reduction of poverty and inequality in the
world. In addition to creating awareness among the main entities involved in the
development of said agenda, it is hoped that the effort will result in the protection of
the planet and the improvement of life as well as the perspective of the people, all
this through adequate public policies that allow, through the regulatory frameworks
of governments, the fulfillment of the goals of sustainable development. In Mexico,
it can be noted that not all states contemplate actions that allow the fulfillment of the
goals through the indicators of each of the SDGs in the planning of their public
policies as well as the actions of their state programs. However, we can distinguish
that all states carry out programs and actions that favor compliance with the SDGs of
the 2030 Agenda, which are reflected in the annual government reports of each of the
federal entities of the Mexican Republic.
However, not all states express it explicitly in their annual reports. Only the states
of Chihuahua, Hidalgo, State of Mexico, Morelos, Puebla, Veracruz, and Yucatán
express clearly and explicitly how each of the actions of government programs and
strategies is directly linked to the gradual achievement of the 17 SDGs. Speaking
directly of Goal 1, No Poverty, the 11 states that did not contemplate it within their
state development planning were Campeche, Coahuila, Colima, Guerrero, Morelos,
Oaxaca, Querétaro, Quintana Roo, San Luis Potosí, Sinaloa, and Tlaxcala, although
at the moment there are programs and actions that are reflected in the annual reports
that contribute to the achievement of the goals of Objective 1, No Poverty.
When talking about the percentage of the population in poverty, according to
CONEVAL, the states of Quintana Roo, Querétaro, and Tlaxcala are among the first
five states that had the most increase in this area (Quintana Roo 63.4%, Querétaro
24.1%, and Tlaxcala 20.4%). Querétaro, with an increase of 356,500 people, is the
state that had the largest increase in the population living in poverty between the
years 2018 and 2020. In the category of the percentage of the population in extreme
poverty, again Tlaxcala and Quintana Roo are among the first five states with the
greatest increase in this area (Tlaxcala 211.4% and Quintana Roo 189%). In this
instance, Tlaxcala is positioned as the worst evaluated state by CONEVAL, since it is
the one with the highest increase among all the federal entities of the Mexican
Republic, registering an increase between 2018 and 2020 of 90,200 people.
It should be remembered that the states of the Mexican Republic that did not
present plans or actions focused on achieving the goal of No Poverty in their state
development plans are Querétaro, Quintana Roo, and Tlaxcala. This is extremely
relevant since these states are among the first places to show an increase in poverty
and extreme poverty in Mexico at the end of 2020. For this reason, it is not a great
surprise that these states are in the last places among those who seek to eradicate
poverty in all its dimensions.
In contrast, the states of Chihuahua and Veracruz are among the states that
achieved a reduction in the percentage of the population in poverty (Chihuahua
2.9% and Veracruz 0.6%) which represents a decrease of 28,500 and 27,000
people, respectively. In the case of the percentage of the population in extreme
poverty, the state of Veracruz achieved a reduction in this area of 151,500 people for
the year 2020, which represents an important difference compared to 2018 of
11.8% of the population. These data reflect, to a certain level, the good work
that Chihuahua and especially the state of Veracruz are doing in compliance with the
2030 Agenda and the achievement of its SDGs, since these states are two of the only
seven states in the republic that managed to capture clearly and explicitly from their
state planning the strategies, actions, government programs, and public policies,
focused on the fulfillment of each of the 17 SDGs and, as a result, the application of
the 2030 Agenda.
In general, these results denote a lack of congruence between the state planning of
the federal entities and the execution of the public administration of the states
themselves. A clear example of this is that of the state of Morelos, which does not
contemplate any strategies. However, in its development plan, for the 2030 Agenda
and the 17 SDGs, it is 1 of the only 7 states that in its last annual report lists how each
action undertaken in the last year of government affects each of the 17 SDGs, that is,
it relates each program, action, or public policy to the fulfillment of the respective
SDGs and as a result to the fulfillment of the 2030 Agenda. This chapter can also
serve as a basis for future research related to the analysis of the indicators related to
the compliance with each of the 17 SDGs.
Public policies implemented in Mexico to reduce poverty and thus achieve Goal
1 of the SDGs and the 2030 Agenda can be copied and implemented in Latin
American countries in order to achieve the same achievements. However, it is not

that simple; aspects such as population density, job creation, and international
economic treaties as well as the geographical location of the different Latin Amer-
ican countries make it almost impossible to implement public policies the same as in
Mexico; however, these can be taken as an example to be adapted to the particular
circumstances of each country and region of Latin America.
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Environmental Challenges to Gray Cities
Becoming Green Cities
Felipe Teixeira Dias, Deborah Marques Pereira,

Carlos Magno Santos Clemente, Gabriel Oscar Cremona Parma,
Valeria Isabela Beattie, and José Baltazar Salgueirinho
Osório de Andrade Guerra
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 522
From the Urbanization Process to the Definition of Urban Space and Cities . . . . . . . . . . . . . . . . . 524
Urbanization Process in the South American Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 524
Urbanization, Environmental Degradation, and Gray Cities: Between Urban Planning
and Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 526
Green Cities, Vegetation Cover, and Sustainability in Urban Planning . . . . . . . . . . . . . . . . . . . . 528
Urban Sustainability and the South American Context: Environmental and Artificial Aspects
of Cities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 529
The Environmental Indicator, Vegetation Cover, and Green Areas . . . . . . . . . . . . . . . . . . . . . . . . 529
South America, Gray Cities, and Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 530
Urban Policies, Sustainable Cities, and Sustainable Development Goals (SDG)
in the Brazilian Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 536
Final Reflections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 541
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 542
F. T. Dias (*) · J. B. S. O. de Andrade Guerra

Southern University of Santa Catarina – Center for Sustainable Development – GREENS/UniFG
Observatory of the Northeast Semiarid Region, Guanambi, Bahia, Brazil
e-mail: felipe.dias@sustentabilidadeurbana.com; jose.baltazarguerra@animaeducacao.com.br
D. M. Pereira · C. M. S. Clemente
UniFG University Center/UniFG Observatory of the Northeast Semiarid Region, Guanambi, Bahia,
Brazil
G. O. Cremona Parma
Southern University of Santa Catarina, Palhoça, Santa Catarina, Brazil
e-mail: gabriel.parma@animaeducacao.com.br
V. I. Beattie
Elliott School of International Affairs at the George Washington University, Washington, DC, USA
e-mail: vbeattie43@gwmail.gwu.edu

https://doi.org/10.1007/978-3-031-16017-2_2
522 F. T. Dias et al.
Abstract
Within the logic of modern urban planning as one of the main elements in the
management of urban areas, it is necessary to promote sustainable culture, which
incorporates both the present and future generations. From this perspective, it is
important to consider how urban planning promotes sustainable development and
“green” cities. This approach is based on the current challenges of urban space and
the model of modern urban planning (including the concepts of “green” vs. “gray”),
which has gained prominence in cities through the accelerated process of urbani-
zation. The authors use the expression “green” to describe environmentally sus-
tainable, aligned with the UN Sustainable Development Goals (SDGs), and “gray”
refers to the modern, artificial architectural style of design that currently prevails.
The aim of this chapter is to analyze the transition from gray cities to green
(sustainable) cities in South America through a literature review. This chapter
permeates the interdisciplinary nuances of environmental, social, and legal sciences
inherent in the SDGs. The results show that, although the transition of a city from
gray to green presents significant challenges, mainly due to the logic of modern
planning, cities should promote environmentally sustainable policies aligned with
the SDGs. This review highlights the need to (re)think urban planning models,
especially their environmental-spatial aspects, to promote a culture that prioritizes
green cities, seeking sustainable innovations, through infrastructure and urban
sustainability that are in line with UN SDGs 9, 11, and 13.
Keywords
Sustainable Development Goals · Urban planning · Green cities · Latin America ·
South America
Introduction
Urbanization challenges the most diverse areas of knowledge, both from the per-
spective of identifying its origins and seeking solutions to the various problems
arising from the further expansion of cities (Baptista 2008). The twentieth century
was characterized by extensive migration from rural to urban areas, and these events
accelerated a disorderly expansion of urban spaces (Dias et al. 2021).
With the advent of the industrial and French revolutions that occurred in previous
centuries, new processes gained strength. Urbanization, for instance, rapidly spread to
many parts of the world, causing urban swelling and an exodus of populations from
rural areas (Lefebvre 2016). Thus, the urbanization process became allied with the
capitalist and mercantilist dynamics of the development of urban spaces, transforming
city properties into one of the most expensive products on the market (Harvey 2005).
Subsequently, the demand for urban spaces has expanded globally, providing a
driving force for the production of new urban spaces and the need for urban planning
(Corrêa 1989). Urban planning has become the main element associated with the
Environmental Challenges to Gray Cities Becoming Green Cities 523
dynamics of construction and reproduction of spaces and is indispensable in the

adaptation and efficient use of the land to meet the dynamics of a population
(da Silva Gomes et al. 2020).
Logically, urban planning activities in the different continents around the globe
are not connected. However, there are correlations from an economic-spatial point of
view, with a common striving for the beautification of cities to meet the ever-
increasing demands of city dwellers (Freitas and Silva 2020). This applies to the
countries of Latin America, which lies within a global socioeconomic process where
cities are considered as merchandise (Harvey 2005).
In the particular context of South American cities, especially those in Brazil, it
appears that after an urban collapse in recent decades, with migration from rural to
urban areas being extensive and disorderly, many cities underwent changes aimed at
offering better services and a more effective use of urban spaces (Campos Filho
1989). This review focuses on the largest cities in South America, notably Brazil,
with the largest land areas and populations in this region.
Historically, with the growing demand for the use of urban spaces, new urban
plans were implemented in short periods, aiming to achieve quick solutions. The
unbridled use of urban spaces amplified by the expansion of industrial activity, with
the irrational use of energy resources and the construction of real estate, promoted an
artificial enlargement of cities (da Silva Gomes et al. 2020).
The advance in the process of urban expansion and population increase experi-
enced by South American cities in recent decades has transformed previously
“green” cities into “gray” models, in which the predominance of the urban over
the natural environment has become the trend and even an accepted feature of the
new model of “modern” cities (Dekay and O’brien 2001).
In this regard, besides the structural characteristics, gray spaces bring potentiating
urban dynamics that severely and latently modify urban life forms, related to the
occupation and the appropriation of urban spaces with changes in the vegetation
cover and also the sustainability and climate system of cities.
Thus, with the valorization of urban land and the removal of urban vegetation,
“gray” cities affect the environment, with the creation of “heat islands” and the
exacerbation of climate change, challenging the science behind an idealized model
of a city that can include both buildings and green areas (Ganem 2014).
The main problems arising from the process of urbanization and land valuation are
urban swelling and, consequently, a disorderly expansion of urban spaces (Souza
2015). In this context, Clemente (2013) pointed out that from these issues, new
demands for urbanistic instruments have emerged with the goal of offering alternatives
to reduce an on-going migratory process and the further expansion of urban spaces.
In Brazilian cities, various social movements have intensified struggles for better
living conditions and the use of urban spaces, including better preservation of the
environment (Clemente 2013). These movements boosted the political-legal discus-
sions resulting in confrontations, which led to a subsequent incorporation of pro-
visions into the Constitution of the Federative Republic of Brazil of 1988.
Based on these constitutional provisions, urban issues and environmental protec-
tion have gained prominence especially from articles 182, 183 (Urban Policy) and
225 (Environment), which legitimized the duty of the public entities and society to
protect the environment and promote environmental sustainability for present and
future generations (Brasil 1988).
The role that vegetation cover plays in the improvement of urban spaces is empha-
sized in this constitutional measure by urging the agents of modern urban planning to
reevaluate, question, and even rethink proposals to create or expand urban space (Dias
et al. 2021). Against this background, it appears that the historical issues involving
“gray” cities arise from three main aspects: (1) the accelerated process of urban over
rural expansion; (2) disordered urban planning, seeking to meet the demands of the
accelerated urbanization process, and the social agents driving the production of space;
and (3) artificially urbanized spaces created at the expense of green spaces.
This chapter aims to bring reflections and discussions on the need to rethink urban
planning, through a reassessment of physical-environmental aspects, while promot-
ing a culture that prioritizes “green” (environmentally sustainable) cities over “gray”
(environmentally unsustainable) cities. Thus, this approach is in line with the UN
Sustainable Development Goals (SDGs) 3, 11, and 13, seeking sustainable innova-
tions through green infrastructure and urban sustainability, moving urban planning
toward the logic of green cities.
From the Urbanization Process to the Definition of Urban Space

and Cities
The phenomenon of urbanization is highlighted in the twentieth century as being

characterized by an accelerated and disordered expansion process mainly driven by
the migration by rural populations to urban spaces (Dias et al. 2021).
Texts on the subject point to industrialization as the key driver of the global
urbanization that occurred simultaneously with migration, a process during which
cities began to expand into rural spaces (Lefebvre 2016). On this basis, it appears
that urbanization has been driven largely by rural populations in search of work and
economic improvement or with the aim of enjoying the social spaces available
within cities (Lefebvre 2016).
Despite the propositions of authors such as Lefebvre being based on developments
in the mid-twentieth century and in a European context, his reflections and discussions
are more widely relevant to the urban-industrial scenario of the Americas.
However, three aspects will be discussed below, the first being a brief contextu-
alization of the urbanization process in the South American context, the second
directed to issues of environmental degradation and the model of grayer cities, and
the third being dimensions of the green cities and the importance of vegetation cover.
Urbanization Process in the South American Context
To start this contextualization, it is necessary to emphasize on the reflection of

Monteiro and Ojima (2014: 2) who noted that urbanization in Latin American
countries is characterized by “the speed at which the process occurred and the
resulting transformations that occurred in each country.” In this context, it is
noteworthy that the urban growth of the “so-called ‘underdeveloped’ societies in
South America occurred much faster than in European and North American coun-
tries” (Monteiro and Ojima 2014: 2).
Indeed, South America is home to large urban centers resulting from this accel-
erated process of urbanization and the expressive population growth that took place
between the years 1950 and 2000. In this respect, data published by the Economic
Commission for Latin America and the Caribbean (ECLAC) shows that metropol-
itan regions such as Buenos Aires (Argentina), Santiago (Chile), Panama (Panama),
and Montevideo (Uruguay) were home to more than 30% of the entire population of
the respective country (ECLAC 2018).
However, territorial disparities are also part of this growth process. After gaining
its independence in 1822, Brazilian urbanization gained strength and progressed
rapidly during the early part of the twentieth century when the migration of the
population from rural to urban areas became accentuated and, in turn, triggered new
demands for urbanized spaces (Clemente 2013).
Based on this history of urban growth and migration, estimates for the future have
been produced by Louise Boca Santa et al. (2021), who noted that “in 2016,
approximately 50% of the world’s population resided in cities, but estimates show
that, by 2050, approximately 67% of the world’s population will reside in these
urban centers; following an exponential growth since the 1950s.”
However, considering the premise that suitable resources can only be found in
urban spaces, the most frequent assumption is that the search for better opportunities
and quality of life is the incentive for the rural-urban migration. However, urban
spaces started to be built following the logic of social agents responsible for
producing and reproducing the space, tending to meet only the goals of the market
and industry (Corrêa 1989).
It thus appears that with a growth in industrialization and the consequent demand
for workers, cities have become powerful magnets, attracting people who relocate
expecting to improve their lives within a city (Harvey 2005). In turn, this attraction
fuels a growth in the demand for private urban property thus activating further
influence on the process of urbanization and again supporting the view that “market
and space, market and territory, are synonymous” (Santos 1996: 78).
It is highlighted here that this rural-urban migratory path is matched by an
accelerated process of industrialization where “cities transform themselves into
increasingly artificialized environments” (Ganem 2014: 19), a view that is consistent
with the reflections of Duarte and Serra (2003: 8) who point out that “urban life has
become a series of artificially conditioned experiences with houses, work spaces and
vehicles isolated from the outside.”
To understand the process mentioned above, it is necessary to understand the
distinction between cities and urban spaces and the elements that make up the core
meaning of these constructs. Corrêa (1989) considered that there is the presence of
two elements when studying urban space, namely, human agglomerations and
physical space produced for social use.
According to Corrêa (1989), urban spaces and how they are built are the products
of social desires within a group of people characterized by its social function. This
perspective was previously investigated by Lefebvre (2016), who created the term
“right to the city,” highlighting the continuous and discontinuous processes that
generate the basic ideas about the distinction between cities and urban space.
Urban space and city are two terms that differ from a technical point of view but
are commonly used as synonyms. Each city is unique, but according to the technical
definition, the term city describes a location made up of physical, urban, and political
elements, in which an agglomeration of people in a space characterizes it as an urban
space (Rolnik 2017).
Although the concept of a city can be defined from different perspectives, it must
take into account that a city has the function of conveying the basic definitions of an
urbanized area of a municipality. Nevertheless, the term city has evolved historically,
referring to a locality and aiming to describe an area with the function of sheltering
people and promoting a harmonious coexistence while striving for collective well-
being (Lefebvre 2016).
As a result, cities are accepted as being built-up areas which equally encompass the
idea of urban spaces and the concept of being places for work, leisure, education and
learning, and housing, as well as striving increasingly for further development of the
network (Lefebvre 2016). Therefore, development per se comprises specific dimen-
sions, being characterized by distinct elements, such as social, spatial, and economic.
As a physical-spatial entity, cities assume the responsibility of providing for the
maintenance of the human being, striving to validate their functionalities for full
human, social, and spatial development (Maricato 2011). Cities cannot be seen as
lifeless beings, as they shelter a set of lives, formed by people along with animals and
plants, providing spaces for living, work, leisure, and housing (Lefebvre 2016).
However, with the technical evolution of cities, their meaning has been restricted to
the isolated nuances of modernization, industrialization, and subsequently, the envi-
ronmental crisis resulting from the process of developing space from a capitalist and
unequal perspective, which has led to devastating effects in recent decades (Maricato
2011). From this perspective, a new concept that includes the human condition in cities
is the search for fair, sustainable cities that can fulfill the principal function of
promoting a harmonious social life among the occupants (Alfonsin 2001).
Urbanization, Environmental Degradation, and Gray Cities: Between

Urban Planning and Sustainability
Urban swelling is not just a social issue but remains, above all, an environmental
issue, resulting from the disorderly development of the city and industrial activity.
Reflecting again on the physical-environmental aspects resulting from the urbaniza-
tion process, it is necessary to also address the process of environmental deteriora-
tion as a way to move forward in the development of cities.
In essence, cities are part of the environment, and although artificial, they constitute
the integration between the natural and the built environments (Lefebvre 2016).
However, the processes of migration and industrialization transformed cities that

previously maintained a balance between green areas and their artificial environment
into “an increasingly contaminated place, swept by the winds of winter or suffocated
by the summer heat” (Duarte and Serra 2003: 8).
Urban planning in South American, especially in Brazil, has indeed become
deficient, as it no longer fulfills the expectations of the urbanization and industrial-
ization processes, and has culminated in hasty impromptu planning to meet the rapid
demand for sociospatial changes.
Moreover, in attending to the demands of society and the services required, the
vegetation cover of cities has been notably decreasing as new plans have been
implemented. This attitude toward vegetation cover is evident in both the green
areas of the intraurban space and in the areas that make up the municipalities,
including conservation units, even those classed as Permanent Preservation
Areas.
However, these areas, although legally protected in most cities, have succumbed
to the short-term vision of urban planning, which prioritizes the disorderly use of the
land a detriment to natural resources (Bressane et al. 2019).
The disorderly use of natural spaces in favor of establishing new urbanized areas,
or even the enlargement of the fabric of cities, has promoted disharmony between the
urban and environmental spaces in cities where spaces with environmental quality
prevail (Vasconcelos et al. 2021). Furthermore, it has been observed that the rapid
process of environmental degradation has resulted in conflicts over land use and
occupation (Moreira et al. 2015).
According to Dekay and O’brien (2001), the metropolitan cities of the Americas
gradually became a disaster and the error lies in the misuse of the land and its resources,
which transforms the “green” spaces into “gray” spaces. Therefore, it appears that one
phenomenon gives way to another, that is, cities, when moving from a green to gray
model, predominantly green cities with natural climates, turn into predominantly
urbanized and industrialized cities with an architecture that promotes the increasing
addition of buildings and consequently climate change (Dias et al. 2021).
This process has triggered a series of phenomena, including “heat islands.” This
term is applied to the situation resulting from the local heating effect that can occur
following the removal of trees from streets and urban spaces (Bias et al. 2003). Due
to the valorization of urban land and the removal of urban vegetation, it appears that
the gray city model has had an impact on the environment, through the creation of
heat islands, climate change, and other factors.
The gray aspect does not refer only to the built characteristics of cities but also to
environmental degradation at industrial centers. Thus, it is understood that air
pollution highlights the “effects of industrial civilization that so strongly influences
lifestyle” (Freitas and Silva 2020: 634).
Environmental degradation permeates from the physical-environmental, climatic,
and atmospheric aspects and the “effects of air pollution also affect the economy, by
reducing labor productivity, additional expenditure on health, losses of agricultural
production and forestry, which end up reflecting on industries and commerce”
(Freitas and Silva 2020: 634).
However, this dynamic includes, among other factors, the meteorological vulner-
ability of the countries of Latin America and the Caribbean, which can lead to
unpredictable and more extreme weather events. In turn, this situation affects the
economy and the well-being of populations negatively (Román-Collado and
Morales-Carrión 2018: 273).
Over the last decade, the environmental problems arising from this accelerated
process of urbanization have led to attention being focused worldwide on the issue of
environmental preservation and sustainability. These themes also started to chal-
lenge science from the perspective of devising a model for cities that could include
both buildings and green areas.
Green Cities, Vegetation Cover, and Sustainability in Urban Planning
To better understand the aspects of sustainability associated with urban and envi-
ronmental policies, the authors should demonstrate the impacts of green areas on
urban planning and how these interface with the issue of sustainability.
When considering the users of urban spaces, the professionals dealing with
modern urban planning and management need to promote a sustainable culture
that is inclusive for both present and future generations, considering that the city
should serve for the common good of everyone. Cities are also a perspective of the
sustainable development goals, with an eagerness to slow down the catastrophic
process that has been unleashed around the world (UN HABITAT 2017).
The challenges are for city planners to permeate multiple paths while evidencing
the rupture between their plans and the reality of each city and to devise policies
aimed at socioenvironmental issues (Lima et al. 2019). Indeed, the themes of policies
for cities and their sustainability have been gradually gaining prominence both
nationally and internationally (Gonçalves et al. 2021).
In the Brazilian context, the Federal Law 10,257 (called “Estatuto das Cidades”),
which was enacted in 2001, proposed a series of regulations aimed at the manage-
ment of urban spaces in addition to conceptualizing certain themes, including
sustainability (Brasil 2001).
However, it should be noted that sustainability is a complex concept, involving
the environmental, social, economic, and temporal dimensions of urban processes.
But the law “cannot be used in a reductionist way, and this seems to be the concept
adopted by the City Statute that comprises an environmental dimension, but it is not
reduced to it, not least because we are talking about cities” (Alfonsin 2001: 315).
In this way, the model for sustainable cities aims to avoid a disorderly growth that
can generate negative effects on the environment through the inappropriate use of
properties and seeks the preservation and recovery of the natural and built environ-
ment (Freitas and Silva 2020: 637).
On the conceptions inherent to the term “sustainable cities,” Gonçalves et al.
(2021: 5) describe them as those able to “meet the basic needs of their inhabitants,
such as infrastructure, civic services, health and medical care, housing, education,
transport.”
However, it should be noted that one of the main aspects of sustainable cities is
the migration from the gray to a green model. Although socioenvironmental prob-
lems will not be resolved through this consideration alone, climate restoration can be
addressed by not only providing leisure spaces and environmental esthetics in cities
but also a climatic balance can arise from green areas.
Combined with these reflections, Ganem (2014: 24) points out that “from a
climate point of view, for example, the area of influence of a single park is small.
The ideal condition is the distribution of several green areas in the urban fabric,
expanding its effects to a larger area and for the greatest number of people.”
Thus, it is clear that vegetation cover plays an important role in climate
improvement, highlighting the need for the promotion of vegetation and integra-
tion between urban and environmentally sustainable areas. In this regard, many
planners adopt the parameter “green area per capita as an indicator of urban
sustainability, in part following guidance from the World Health Organization
(WHO), which has established an ideal value of 12 m2/inhabitant” (Ganem
2014: 24).
Urban Sustainability and the South American Context:

Environmental and Artificial Aspects of Cities
The historical process of urbanization has resulted in sociospatial and socio-

environmental disparities, promoting various urban problems (Lefebvre 2016) that
still challenge both populations and city managers today. A factor that accompanied
the Brazilian urbanization process was the development of urban planning, which
went through several stages, from the production of cities to their beautification
(Clemente 2013).
From this perspective, the environmental indicator becomes a relevant factor for
promoting collective well-being and maintaining the urban environment, either in
terms of harmonizing artificial spaces or of promoting an improvement in the local
microclimate (Clemente et al. 2019). Thus, green areas and vegetation cover can be
used as environmental indicators in efforts to improve urban spaces (Buccheri Filho
and Nucci 2006).
It is in this sense that the following aspects will gradually be addressed: (1) envi-
ronmental indicators of vegetation cover; (2) aspects of urban planning and its
perspectives. Subsequently, these aspects will be directed to the context of South
America until arriving in Brazil.
The Environmental Indicator, Vegetation Cover, and Green Areas
In this regard, vegetation cover provides an improvement in the physical-

environmental aspect of cities and helps to promote an environmental and climate
balance, along with the well-being of the inhabitants (Duarte et al. 2017). The
presence of vegetation cover can also provide several other benefits, such as
avoiding the development of heat islands created by the absence of vegetation

(Clemente et al. 2019).
Excessive heat, especially in places that have few rainy periods, adversely affects
water resources and the maintenance of green areas, and it alters the local microcli-
mate (Buccheri Filho and Nucci 2006). Therefore, cities that prioritize a detached
modernist architecture, or with low adherence to afforestation and vegetation, tend to
form heat islands that promote increasingly gray and environmentally unsustainable
cities (Dekay and O’Brien 2001).
Urban sustainability has been hindered by disordered urbanization processes,
which has led to sociospatial segregation, economic deficits, and a mismatch with
the physical-environmental standards of cities. In this context, the UN 2030 agenda,
in line with the New Urban Agenda, proposed a document to provide basic param-
eters of analysis for urban planning (UN HABITAT 2017).
The New Urban Agenda proposes improvements to be made in urban spaces in
cities, in addition to promoting actions for the short, medium, and long term, with
parameters to achieve urban sustainability and the inclusion of the concept of the
“right to the city” as a human right (UN HABITAT 2017). Among the aspects
brought by this document, the indicator of green areas is presented as one of the
priorities to be adopted by public services.
Thus, the production of urban space in cities needs to be streamlined, prioritizing
green areas, instituting programs and projects for the maintenance of vegetation,
environmental restructuring, and incentives so that individuals can also participate in
this process. With the support of norms, the responsibility for promoting these
mechanisms was allocated to the municipalities, which are the main agents in the
promotion, inspection, and establishment of effective norms for this process (Duarte
et al. 2017).
The relevance of environmental indicators for the maintenance of life, the cli-
mate, and cities is evident. This dynamic also provides a sustainability factor for
cities, both from the present perspectives and considering future generations.
South America, Gray Cities, and Sustainable Development
From an urban planning point of view, discussions on the sustainable development

of cities, especially the continental (South American) dynamic, present a challenge,
but they can provide the perspective required to overcome international barriers to
constructive thinking and aid the planning of sustainable urban spaces.
Some particular aspects of South America in relation to the urban planning
process should be highlighted. Although this is an essential instrument to promote
sustainable urban spaces and greener cities, it can also result in obstacles being
encountered in the execution of government public policies (Moreno et al. 2020).
This dualist view of urban planning and its implications for the production and
reproduction of urban spaces emerges from a cultural dynamic that still permeates
the urban spaces of Latin America today. Moreno et al. (2020: 2) support the view
that disorganized planning without the perspective of a green city contributes to
several phenomena, for instance, “climate changes, among which are the increase in
air and soil pollution, development of heat, ventilation islands and humidity, reduc-
tion and fragmentation of green areas.”
These dynamics of urban planning do not only involve thinking about the
immovable structure of cities but also addressing issues like urban facilities, such
as transport, leisure areas, and preservation areas, among other aspects that are
present in the organic structure of urban space. From this perspective, López and
Montero (2018) highlight the importance of transport for sustainable development,
from the perspective of new approaches to urban mobility that can contribute to
sustainable areas of cities.
However, urban planners must foresee aspects of the three dimensions that make
up a sustainable process, that is, the economy, environment, and society (Romero-
Duque et al. 2020). In this regard, an innovative perspective is the Nature-based
Solutions (NBS), which have emerged as a multidisciplinary and integrated
approach to the process of achieving sustainability through urban planning
(Romero-Duque et al. 2020).
In this context, Dobbs et al. (2018: 1) asserted that Latin America “is one of the
most urbanized regions in the world, where urbanization patterns are disorganized
and disconnected from urban planning, with unknown effects for ecosystem services
(ES).” Essentially, the perspectives of the continent take us back to the idea of
searching for viable solutions to alleviate the impacts arising from the
unpreparedness of urban planning for the future.
South America: Implications of Urban Policies and Planning

Román-Collado and Morales-Carrión (2018) noted that some Latin American coun-
tries, such as Colombia, Brazil, Ecuador, Mexico, Venezuela, Bolivia, and Argen-
tina, have been seeking adaptations in the search for a green economy and most
urban problems in these countries appear to be linked to the issue of energy use.
Besides being an inter- and multidisciplinary theme, energy use is directly associated
with the dynamics of thinking and rethinking aspects for the cities of the future.
Recently, Guzman et al. (2020) raised a concern that South American cities lack
the usual connotation of urban planning. Here, the idea is that “gray cities” are used
to delimit the theme as a model of a contemporary city, with high levels of pollution,
low vegetation cover, congested mobility systems, and precarious public services.
From the reflections made so far, it appears that several elements are connected
within the logic of urban planning and that contemporary problems arise due to the
absence or deficiency of planning, which leads to the logic of gray cities. In this
regard, it is evident that urban planning has a range of impacts arising from the
need to rethink the city model, especially in relation to the growing urbanization
process.
In this context, one can consider a scale of demands that tend to direct cities
toward what Lefebvre (2016) would consider “an apparent development” under the
capitalist logic of cities that turn gray, resulting from the demands associated with
population growth. Details of some key elements that demand rapid urban planning
strategies when thinking about and recovering green areas can be seen in Fig. 1.
Fig. 1 Schematic showing demands in urban planning associated with the inclusion of green areas,
where the origins of urban problems lie in population growth. (Source: Prepared by the authors
based on Guzman et al. (2020), Román-Collado and Morales-Carrión (2018), Dobbs et al. (2018))
Figure 1 shows a scaled path through which the process begins with a population
increase as the driving force for the expansion of the urban fabric. New industries are
then consolidated in the territories, providing profits, favoring the workforce, and
promoting a rapid process of industrialization, expansion, and demands for urban
space.
The result is a disorderly process of the expansion of urban spaces, with popu-
lation projection without planning, forecasts, or mechanisms, exercising a minimal
organizational role with regard to spaces and culture. The growing demand for food
and energy and the associated environmental degradation are issues that must be
considered and evaluated from the perspective of sustainable urban planning.
When considering the logic of population growth in cities as the main factor
driving the development of urban spaces as gray spaces, there is a disparity in the
South American context, based on the discussions and reflections presented from
different perspectives. Figure 2 presents a thematic map representing the surface/
statistics of the Member States of South America, considering the established
population.
In the context of South America and through data shown in Fig. 2, a mapping
approach made it possible to identify the 87 South American cities in the present
study, 36 of which were considered large (with a population greater than 1 million
inhabitants), and 51 medium-large (with a population between 500,000 and 1 million
inhabitants).
It can be seen from the map in Fig. 2 that, considering the territorial dimension
versus the population issue, Ecuador, for example, represents a socioenvironmental
disparity regarding the binomial territory versus population (Guzman et al. 2020).
However, although it represents a disparity in relation to other South American
countries, this data confirms the gray versus green aspect, which is the theme
proposed by this chapter. It also verifies the gray aspect promoted by demographic
density, as shown in Fig. 3.
Fig. 2 Population map of South American countries (gradient of colors for population density:
lightest minimum 3.6 to darkest maximum: 68.5 inhab/km2). (Source: Prepared by the authors
based on IBGE (2010) Census (2010), INDEC (2010), INE (2010), INEC (2010), INEI (2010),
OCEI (2010), and ECLAC (2010))
Figure 3 shows satellite images, taken from 20 km of altitude (Adapted from

Google Earth Pro) of four of the most populated and dense cities in South America
(in Brazil, Peru, Colombia, and Chile). These four cities were selected to represent
four countries, considering the population dynamics, but it should be noted that
Brazil has two of the cities ranked in the top five in South America (Sao Paulo and
Rio de Janeiro). The images in Fig. 3 highlight the green versus gray aspects of cities
discussed in this chapter.
Data published by the population statistics institutes were considered for the cities
shown in Fig. 3: (a) IBGE (2015); (b) INEI (2015); (c) DANE (2015); and (d) INE
(2015). In São Paulo (Brazil), there are 12.3 million inhabitants, but this figure
Fig. 3 Satellite images of four of the largest cities in South America: (a) São Paulo, Brazil; (b)
Lima, Peru; (c) Bogotá, Colombia; and (d) Santiago, Chile. (Source: Prepared by the authors
adapted from Google Earth Pro by the Authors, 2021)
reaches 21.2 million in the metropolitan region. In Lima (Peru), there is a total of 8.5
million inhabitants, and this is the only metropolis in Peru (ECLAC 2018). Bogotá
(Colombia) has a total of 6.8 million inhabitants (reaching 7.8 million in the
metropolitan region), and Santiago (Chile) has 4.4 million inhabitants (reaching
6.2 million in the metropolitan region).
Based on a study on smart and sustainable cities, Marchetti et al. (2019) warned
that the prospect of future population growth is 68% globally over the next 35 years.
With this growing population, there will be an accelerated urbanization process,
which in turn requires the expansion of industrial activity, greater consumption of
energy and food, and more expansive mobility systems.
Therefore, from the perspective of urban expansion, it appears that in South
American countries “cities develop unevenly and demand differentiated and cus-
tomized solutions that could not exist in the developed world” (Marchetti et al.
2019: 201). This statement is verified by the reflections detailed above, which show
that gray cities prevail in South America and this is a product of the binomial
urbanization and industrialization.
The solution to the logic of sustainable cities will not be found in a simple or
single answer, and the approach to urban planning needs to become consistent with
the needs of each location. However, although the triad economy, society, and
environment should compose the pillars of urban planning, green areas are a
necessary element in the scenario of greener cities. Consequently, cities will become
better adapted to climate change, something not achievable in wholly artificial

environments formed by buildings and other man-made urban infrastructure
(Ganem 2014).
Therefore, further dialogue needs to precede urban planning in order to arrive at
policies that play a fundamental role in establishing mechanisms and guidelines for
the proper functioning of urban spaces, regulations, and goals aimed at the improve-
ment of cities.
The Brazilian Context: Population Growth and Planning Challenges

Directing the discussions presented so far to the Brazilian context, it is necessary to
make a brief synthesis of its historical processes. First, it should be noted that
between the decade 1940 to 1950, the majority of the Brazilian population lived in
rural areas, representing a total of 33,161,506 compared with 18,782,891 inhabitants
in urban areas (IBGE 1940 and 1950). This period was followed in the 1960s by a
significant growth in urbanization, mainly due to the migration of the rural popula-
tion to the cities. By the 1970s, the inhabitants of urban areas surpassed those of the
rural areas, reaching 82,013,375 and 39,137,198, respectively, in the 1980s (Fig. 4)
(IBGE 1940, 1950, 1960, 1970, 1980, 1991, 2000, and 2010).
Nevertheless, within Brazil’s territory, urban planning has gone through several
stages and has undergone a rapid process of restructuring in its proposals, aimed at
promoting a correlation between social anxiety and spatial perspectives (Clemente
2013). To verify this evolution, Table 1 provides details on the historical evolution of
urban planning in Brazil.
Table 2 shows that, in the Brazilian context, urban planning practices are discon-
nected from environmental aspects. These practices provided a mechanism for
beautifying cities at the expense of more sustainable techniques that were in keeping
with the natural environment (Villaça 1999).
Thus, the management of urban-environmental spaces must maintain a correla-
tion, overcoming the duality of the term and “more than ever, Brazilian cities are
challenged to marry urban management and environmental management, integrating
urban planning policies, housing policy and environmental policy” (Alfonsin
2001: 315).
In Brazil, urban planning is currently directed toward the dynamics of the
artificial beautification of cities, prioritizing a modern architecture that provides
greater mobility and practicality, but lacking in green areas (Dias et al. 2021).
With the advent of the Brazilian Federal Constitution in 1988, it became neces-
sary to improve the characteristics, meaning, and concepts of the country’s cities.
Consequently, the need to incorporate world standards on sustainable cities into the
national constitution became apparent, specifically with the aim of promoting
models and basic guidelines on sustainable cities.
This dynamic contrasts with the sustainable bias proposed by the Statute of Cities,
and the Urban and Environmental Policies promoted by the Federal Constitution of
1988. As a result, urban sustainability should be seen as a set of actions and functions
of cities that need to be foreseen in their planning and management structure, in order
to include the mechanisms necessary for adequate maintenance of social interaction
Fig. 4 Migration in Brazil between 1940 and 2010. (Source: prepared by the authors based on:
IBGE (1940–2010))
(Bernardi 2009). Indeed, the term “sustainability” has a connection with Sustainable
Development, which assumes three basic dimensions, economic, social, and envi-
ronmental (Louise Boca Santa et al. 2021).
Urban Policies, Sustainable Cities, and Sustainable Development

Goals (SDG) in the Brazilian Context
As seen in the previous sections, the themes of appropriate policies for cities and
their sustainability have been gradually gaining prominence both nationally and
internationally (Gonçalves et al. 2021). The contemporary concern in studies
aimed at sustainable cities emanates from the historical paths mentioned herein,
which have proved to be catastrophic, especially when addressing the prospects
for sustainable development.
The conceptions inherent to the term “sustainable cities” (Gonçalves et al. 2021:
5) are those that can “meet the basic needs of their inhabitants, such as infrastructure,
civic services, health and medical care, housing, education, transport, jobs and good
governance, with benefits for all sectors of the society.” Inevitably, it appears that
cities, whether gray or green, are born, grow, and dynamize from urban agglomer-
ations, which consequently need increasingly inclusive, sustainable, and consistent
urban planning, in line with desires of the population as well as the natural
ecosystem.
Table 1 Historical timeframes of urbanization in Brazil

Period Characteristics
From 1875 to 1930: Improvement and From 1875 to 1930: Plan influenced by the French
beautification plan system
Enhancements and beautification
Emphasizes monumental and hygienist beauty
1875 – 1st overall plan for Rio de Janeiro – 1st
report of the City of Rio de Janeiro Improvements
Commission
1875 to 1906 – increase in improvement and
beautification plans
1906 to 1930 – decline in improvement and
beautification plans
Pereira Passos Plan – apex of this period
Plans prepared by municipal officials
End of the period – Agache Plan in Rio and the
Avenidas Plan by Prestes Maia in São Paulo
From 1930 to 1990: Ideology of urban 1930 to 1940 – Plans for remodeling the centers of
planning as a science-based technique Rio, São Paulo, Porto Alegre, or Recife
In 1950 – need for integration between the various
objectives and actions of urban plans. The master
plan appears
From 1960 to 1970 – development of urban
planning or integrated local planning
In 1970 – plans moved from complexity, technical
refinement, and intellectual sophistication to a
simple plan. Strengthening popular movements – a
new stage in urban popular consciousness
1980s – resumption of popular demands initiated in
the 1st Seminar on Housing and Urban Reform
(1963)
In the late 1980s, the term master plan was
resurrected by the Federal Constitution
From 1990 onward: reaction to the Brazilian cities are again drawing up new master
previous period plans
The content of the plans encompasses urban reform
precepts and provisions of the principles of social
justice in the urban sphere
End of a period in the history of urban planning that
marks the beginning of the process of politicization,
the result of the advance of popular awareness and
organization
Refusal of technical diagnosis as a mechanism for
revealing political problems
Aspects of municipal competence highlighted,
particularly those relating to real estate production –
or urban space
Source: prepared by the authors based on (Villaça (1999), Clemente (2013)
Table 2 Classification of Social Functions of the City

Urban functions Citizenship functions Management functions
Housing Education Service provision
Work Health Urban planning
Leisure Safety Preservation of cultural and natural heritage
Mobility Protection Urban sustainability
Source: Prepared by the authors based on Bernardi (2009), Clemente (2013)
Thus, in order to propose more complete urban planning that can make inclusive
and sustainable aspects possible, it is necessary to establish minimal policies that
will guide the planning and implementation of improvements in urban spaces.
As an example, the Brazilian Urban Policy is a contemporary norm offering basic
guidelines on the aspects mentioned herein and contemplating a necessary multi-
disciplinary approach for planning that prioritizes environmental areas and the
human interest.
Thus, discussions on urban policies in the Brazilian context require a good
understanding along with a practical perspective, to achieve the development of
cities as sustainable urban spaces (Brasil 2001). In this context, the Federal Consti-
tution of 1988 incorporated provisions 182 and 183 into its normative structure,
which presupposes a macro concept for urban development policy, as a fundamental
guideline for the development of cities and promotion of the well-being of their
inhabitants (Brasil 1988).
In order to regulate the constitutional chapter of Urban Policy (2001), a legal,
social, and environmental framework was inaugurated in Brazil, which provided for
instruments and mechanisms to promote sustainable cities, called the City Statute
(Clemente 2013). This predetermines a fundamental concept that characterizes the
ideal of sustainable cities, based on access to urban land, leisure, urban facilities,
housing, and the environment for present and future generations (Alfonsin 2001).
In this perspective, in order to outline concepts, goals, and guidelines, the City
Statute provides in its structure several urbanistic mechanisms and instruments to
promote the exercise of the Social Functions of the City, the main objective of the
Brazilian Urban Policy (Brasil 2001). The expression of Social Functions of Cities
exerts normative force in the national legal scope. However, questions remain
regarding what exactly these functions are and which ones need to be considered
to structure the minimum meanings to delimit their applicability.
According to Bernardi (2009), the Social Functions of Cities can be expressed
through the conceptual content extracted from the Letter from Athens. This urban
manifesto resulted from the IV International Congress of Modern Architecture, held
in Athens in 1933. It describes three large nuclei of functions, namely, the urban,
citizenship, and management, each with specific activities aimed at developing cities
in a sustainable way (Bernardi 2009).
To represent the proposal of Social Functions of Cities, the authors highlight the
design, based on the Athens Charter, proposed by Bernardi (2009) and Clemente
(2013), who detailed which activities are strongly linked to urban policy and the
development of cities, as shown in Table 2.
Table 3 Selection of social functions of environmental sustainability

Urban functions Citizenship functions Management functions
Leisure Health Urban sustainability
Urban planning
Source: Prepared by the authors based on Table 2 of this chapter
It is inferred from Table 2 that the elements included in the list defined as Social
Functions of cities presuppose essential requirements for a healthy quality of life in
cities, a linear objective of the Brazilian Urban Policy. It is also verified that all
themes proposed by the three classes of social functions are directly correlated with
UN Sustainable Development Goals number 11, which provides for goals for
sustainable cities.
Within the management functions, urban sustainability is predefined as a guide-
line for the City’s Social Functions, and in the same block, urban planning is seen as
a perspective for the management of cities. Thus, the Social Functions of Cities
provides a strong apparatus to streamline the urbanization process, striving for a
sustainable balance in urban spaces, adhering to environmental aspects as well as
providing better quality of life for city dwellers (Clemente 2013).
In order to delimit physical-environmental aspects of urban spaces in a dynamic
with urban planning that includes greener areas, the functions in Table 3 are verified
as indicators of environmental sustainability promoted by the Brazilian Urban
Policy.
The selection of the elements that make up Table 3 represents the idea that urban
spaces should contain areas for recreation, leisure, and urbanism, and that these areas
need to be aligned and linked to urban planning that is consistent with environmental
sustainability (Clemente et al. 2019). Thus, it appears that urban policies, as the
maximum expression of social concerns, must be correlated with urban and envi-
ronmental precepts, based on the well-being of the inhabitants. Figure 5 demon-
strates the connection between the social functions of the city and some of the UN
SDGs.
The articulation, organization, and flows in Fig. 5 clarify the correlation between
the three highlighted UN Sustainable Development Goals and the Social Functions
of the City, aimed at a sustainable urban environment. Based on this association,
Clemente et al. (2019) note that there is a need for collective well-being (SDG 3),
well-planned, organized cities and their communities (SDG 11), and adequate
environmental and climate balance (SDG 13).
Cities are sustainable when they meet the minimum essential requirements for a
healthy quality of life, providing both the well-being of the inhabitants and having
satisfactory physical-environmental aspects, such as climate balance (Clemente et al.
2019; Dias et al. 2021). Therefore, it is evident that the Social Functions of the City
are of great relevance for the maintenance and balance of urban spaces, striving for
the effectiveness of urban policy in promoting sustainable cities.
However, in the view of Louise Boca Santa et al. (2021) cities are sustainable
when they comply with the sustainability tripod, promoting the necessary
Urban Policy (art. 182 Estatuto da Cidade (City Definition and Selection of the
and 183) CF/1988 Statute) (Art. 2º, I). City's Social Functions:
Citizenship Functions:
-Health
Urban functions:
- Leisure
Management Functions:
- Urban Sustainability
- Urban planning
- Microclimate adjustment
- Environmental improvement - Reduction of heat
islands
Vegetation Cover (vegetation, - Promotion of physical-spatial environmental
afforestation, Green areas) = sustainability of cities
(Clemente et. al, 2019; Dias et al. 2021).
Fig. 5 Organization and connection between aspects of Brazilian urban policy and UN SDGs 3,
11, and 13 (Source: prepared by the authors based on Brasil (2001), Clemente (2019), Dias et al.
(2021), United Nations (2019))
articulation between the economic, social, and environmental aspects. In this regard,
correlating the aspects of the sustainability tripod with the dynamics of the Brazilian
Urban Policy has led to a new term, the Socio Environmental Functions of Cities
(Humbert 2015).
Essentially, the Social Functions of the City, linked to the guidelines proposed by
the Cities Statute, promote the idea of the right to sustainable cities and the pursuit of
compliance with and the application of the Socio-Environmental Functions of Cities
(Humbert 2015). Among the aspects that stand out as guides in the process of
verifying the Socio Environmental Functions of Cities are environmental aspects
such as green areas, vegetation cover, and leisure areas.
Considering the binomial urban policy and sustainable cities, the authors start
from two assumptions that are correlated, that is, the basic guidelines of the Social
Functions of the City and the physical-environmental aspects of the urban space for
the promotion of environmentally sustainable cities. From this perspective, weaving
theoretical and practical discussions about urban policies and normative structures
as the main apparatus for urban planning are extremely relevant issues guiding the
sustainable development of cities.
Based on the discussions presented herein, it appears that urban policies in Brazil,
despite having different time lapses from the 2030 Agenda for Sustainable Devel-
opment and inclusive urban spaces, are to some degree connected to human and
environmental perspectives for the socioenvironmental improvement of cities and

communities (UN HABITAT 2017).
Furthermore, according to the perspectives listed and addressed, it is possible to
identify urban policies as an initial and fundamental premise for contemporary urban
planning that is more sustainable and consistent with the 2030 Agenda for Sustain-
able Development.
Final Reflections
The theme addressed by this chapter, combined with the construction approach used,
highlights the role of urban planning from the preurbanization process to the
consequences of disorderly urbanization. In this context, from the theoretical per-
spective, the themes associated with urban planning in the South American context
were found to be connected. In particular, the main results highlight that the subject
of urban planning in temporal, industrial, and consumption dynamics is still little
explored regarding the aspects correlated in this chapter.
Furthermore, one of the main indicators identified is the interdisciplinary corre-
lation between the various elements that make up the discussions of and reflections
on the meanings and conceptions associated with the urban planning and urban
policies binomial. To promote green cities rather than gray cities, this binomial, in
correlation with green areas, has proved to be extremely relevant and necessary,
especially in connection with the New Urban Agenda (NAU) proposed in 2017.
It is noteworthy that, based on the connection observed from the literature, data
from statistical agencies and the 2017 urban agenda, it appears that the term urban
sustainability advocates a connection between the elements of the tripod of sustain-
ability, that is, environmental, economic, and social. These three dimensions,
embedded in this context, show the relevance of urban spaces for the implementation
of the 2030 Agenda for Sustainable Development.
In addition, although it was not the main objective of this chapter, it was found
that a point raised in most of the studies analyzed is the need for policies consistent
with the urbanization process of South American cities, especially in Brazil, seeking
to resolve the socioenvironmental, socioeconomic, and sociospatial disparities
resulting from an unbridled urbanization process that is disconnected from urban
policies and planning.
Thus, two basic conclusions stand out from this chapter. The first is directly
related to the thematic relevance, which has been gaining new ground and discus-
sions, especially through seminars, organizations, and international movements,
such as the Conference of the Parties – COP26, which discussed the issue of
adaptations to climate change, among other topics related to urban sustainability.
The second point reflects directly on the first, as the proposed theme is still
relatively unexplored in terms of taking a multidisciplinary approach. This high-
lights the need for research in diverse areas that connect population aspects with the
urban planning of cities, through a holistic view, considering all causes and effects,
in addition to their respective indicators.
Finally, it is clear that interdisciplinary themes with an environmental focus,

supported by an integrative and systematic review, merit further discussion, since
the approaches are conceived in multiple ways, with different viewpoints and
concepts directed at the same object. They are both viable and extremely necessary,
and new perspectives to approach and continue the debates on nuances need to be
proposed, including aids for contemporary urban planning and policies that are more
consistent with the futuristic goals established by the UN Sustainable Development
Goals.
Acknowledgments This chapter was produced by the Center for Sustainable Development
(GREENS), of the University of the South of Santa Catarina (Unisul) and Instituto Ânima (AI) in
partnership with the UniFG Observatory of the Northeastern Semiarid Region (Observatório UniFG
do Semiárido Nordestino), in the context of the BRIDGE project – Building Resilience in a Dynamic
Global Economy: Complexity through scales in the Brazilian Food-Water-Energy Nexus, funded by
the Newton Fund, Fundação de Amparo à Pesquisa e Inovação do Estado de Santa Catarina
(FAPESC), Coordination for the Improvement of Higher Education Personnel (CAPES), National
Council for Scientific and Technological Development (CNPq), and Research Councils United
Kingdom (RCUK). In addition, we are grateful for all the linguistic and cooperative support given
by Dr. Robert Samuel Birch, Honorary Researcher, Harrison Hughes School of Engineering/Walker
Building, The Quad Liverpool. We also thank the team of editors of this project (Springer) for
providing a scientific space that deals with topics relevant to sustainable development.
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Obesity and 2030 Agenda in Latin America:
Prevention and Control Policies in Brazil
and Chile
Maura Dinorah da Silva Motta and Helena Ribeiro
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 546
Obesity Scenarios: Global Versus Latin American . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 548
Obesity and the 2030 Agendas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 550
Public Policies for Prevention and Control of Obesity in Latin America: The Case
of Brazil and Chile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 553
Brazilian Public Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 554
Brief Description of the Main Brazilian Policies for Obesity Prevention and Control . . . . . . . . 555
Year 1999: National Food and Nutrition Policy (“PNAN” – Política Nacional de
Alimentação e Nutrição) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 555
Year 2006: The National Health Promotion Policy (“PNPS” – Política Nacional de
Promoção da Saúde) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 555
Year 2006: Food Guide for the Brazilian Population . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 555
Year 2006: The National System of Food and Nutrition Security (“SISAN” – Sistema
Nacional de Segurança Alimentar e Nutricional) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 556
Year 2011: Strategic Action Plan for Confronting NCDs (2012–2022) . . . . . . . . . . . . . . . . . . . . 556
Year 2012: The Food and Nutrition Education Framework for Public Policy . . . . . . . . . . . . . 557
Brief Description of the Main Chilean Policies for Obesity Prevention and Control . . . . . . . . . 557
Year 1997: The Council “Vida Chile” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 557
Year 1997: Health Promotion in Schools (Programa Escuelas Saludables) . . . . . . . . . . . . . . . . 558
Year 2006: Dietary Guidelines for the Chilean Population – the “GABAS” . . . . . . . . . . . . . . 559
Year 2006: Global Strategy Against Obesity (“EGO-CHILE” – Estrategia Global
Contra La Obesidad) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 559
Year 2012: Law on the Nutritional Composition of Food and Its Advertising
(Ley Sobre el Etiquetado y Publicidad de Los Alimentos) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 561
M. D. d. S. Motta (*)
University of São Paulo-USP, Porto Alegre, Brazil
e-mail: mauramotta@alumni.usp.br
H. Ribeiro
University of São Paulo-USP, São Paulo, Brazil
e-mail: lena@usp.br

https://doi.org/10.1007/978-3-031-16017-2_34
546 M. D. d. S. Motta and H. Ribeiro
Year 2015: Law 20.869 – Law on Food Advertising (Ley sobre Publicidad de los
Alimentos) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 562
Year 2013: Choose Healthy Living (“Eligir Vivir Sano”) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 563
Year 2013: Healthy Municipalities, Cities, and Communities Strategy (Estrategia
Municipios, Comunas y Comunidades Saludables) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 563
Year 2014: Tax Law on Sales of Artificially Sweetened Beverages – No. 20.780 . . . . . . . . 565
Year 2015: Former Vida Sana (“Elige Vida Sana”) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 565
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 567
Abstract
Obesity, at the end of the twentieth century, mainly affected developing countries
with accelerated epidemiological and nutritional transition, such as the Latin
American countries of Brazil and Chile. The obesity rate in the Americas is
almost double the global average (24.2% vs. 13.1%, respectively). In Latin
America and the Caribbean, 58% are overweight (more than 360 million) and
almost 25% of the population (28% of women and 20% of men) are obese. The
Sustainable Health Agenda for the Americas 2018–2030, based on the UN
Agenda 2030, constitutes the main policy framework and local strategic planning.
The chapter describes the policies, actions, and strategies that have been
implemented over the past two decades in Brazil and Chile to combat the growing
prevalence of obesity, demonstrating that there are no results without incisive
state action and governance. In a scenario dominated by market politics, the
application of inhibitory and regulatory measures adds to public health policies
and incentives for healthy eating. Chile has chosen to confront the economic
interests of the food industry in order to improve the health indices of its
population. Brazil has made voluntary agreements to reduce sodium and devel-
oped an innovative food guide with great global repercussions, which values
fresh and minimally processed foods as one of the ways to fight obesity and
achieve SDG 3. In both countries there is a movement to include civil society and
academia in policies to address obesity.
Keywords
Obesity · Chronic diseases · SDG · Public policy · Brazil · Chile
Introduction
Since the second half of the twentieth century, the world has undergone intense
transition processes of epidemiological, demographic, and nutritional orders, in
which it became possible to observe, in a few decades, an intense decline in the
incidence of infectious and parasitic diseases concomitant to an exponential increase
in chronic noncommunicable diseases (NCDs) in the population (Schmidt et al.
2011). From the end of the last century to the year 2019, chronic noncommunicable
diseases have established themselves as the leading cause of morbidity, mortality,
Obesity and 2030 Agenda in Latin America: Prevention and Control. . . 547
and premature disability in the world, accounting for seven of the top ten causes of
death and with cardiovascular diseases, diabetes mellitus, cancer, and chronic
respiratory diseases as the highest incidence and impact on public health. All the
diseases mentioned above are, in a large percentage, comorbidities of obesity (WHO
2021a; Burigo and Porto 2021).
However, in the twenty-first century, the trend that seemed to be headed toward
the consolidation of NCDs as an unquestionable priority for health systems in the
world was interrupted, at the end of the second decade, with the largest pandemic in
the last 100 years on the planet, caused by a new variant of the coronavirus, SARS-
CoV-2 (severe acute respiratory syndrome coronavirus 2), causing the potentially
lethal coronavirus disease, COVID-19. COVID-19 was responsible for the deaths, in
just one year after it was first reported, of over two million people on the planet with
two countries in the Americas as absolute standouts in this ranking, the United States
in North America and Brazil in Latin America (WHO 2021b). The first studies from
2020, a few months after the discovery of the first case of COVID-19 in Wuhan
Province, China, confirmed the characteristics of those at a higher risk of infection,
which include people over 60 years old and who present as comorbidity(ies) heart
disease, diabetes mellitus, hypertension, and obesity. In all of these studies, there is
clear evidence of worse prognosis, a higher mortality, and severity of COVID-19 in
those patients who have any of these conditions, but especially obesity, which is also
a risk factor for the others (Lighter et al. 2020).
Obesity became a major health problem worldwide when it spread exponentially
at the end of the last century, affecting mainly developing countries, such as Brazil
and Chile. Latin America, a region where some of the countries with the highest rates
of the disease in the world are found, has been experiencing an accelerated epide-
miological and nutritional transition in the twenty-first century, and, even though at
different rates, the countries are already showing a significant increase in the
prevalence of obesity in various population subgroups, resulting in a global syn-
demic that, in the current scenario, still synergizes with the pandemic of COVID-19.
The concept of a “global syndemic” refers to the interaction of the pandemics of
obesity, malnutrition, and climate change, sharing determinants that mutually influ-
ence their burden to society (Swinburn et al. 2019; Souza et al. 2020).
The disease is one of the most significant obstacles to countries in achieving
short- and medium-term global goals and targets, such as the Sustainable Develop-
ment Goals (SDGs). The Sustainable Development Goals are a global action plan
that brings together 17 sustainable development goals and 169 targets, to be met by
the year 2030 (2016–2030) created to eradicate poverty and promote a decent life for
all, within the conditions that our planet offers and without compromising the quality
of life of the next generations. They were agreed upon based on the Millennium
Development Goals (2000–2015) and the Final Declaration of the UN Conference
on Sustainable Development, better known as Rio+20 (UN 2015; Burigo and Porto
2021).
The SDGs are thus part of the process of creating the UN 2030 Agenda, which
replaced, in a more comprehensive way, the Millennium Development Goals
(MDGs). The Millennium Development Goals were eight major global goals set to
be met by the year 2015 (2000–2015). They were established through Resolution n
55/2, better known as the “United Nations Millennium Declaration,” and unani-
mously ratified by the heads of state and high representatives of the 191 UN member
countries and 22 international organizations during the 55th session of the General
Assembly, the “United Nations Millennium Summit,” held from 6 to 8 September
2000, at the UN Headquarters in New York, United States (Roma 2019).
Within Latin America, specifically in the area of health, the Sustainable Health
Agenda for the Americas 2018–2030 or “ASSA 2030” was agreed upon as the
strategic policy instrument to provide direction and policy vision for health devel-
opment in the region until 2030, in which the containment/resolution of the over-
weight and obesity issue is highlighted (PAHO and WHO 2017).
The ASSA 2030 sets out 11 goals and 60 targets, which cover a broad spectrum of
expectations, including universal health coverage, addressing communicable and
noncommunicable diseases, and a wide range of other objectives. The Agenda was
approved by Ministers and Secretaries of Health of the countries of the region of the
Americas with the commitment to make the Americas healthier and more equitable
over 13 years, in harmony with the global vision and principles set forth in the 2030
Agenda for Sustainable Development, building on the progress made in achieving
the Millennium Development Goals (MDGs) and its predecessor Health Agenda for
the Americas 2008–2017 (PAHO and WHO 2017).
The countries Brazil and Chile, representatives of the largest economies in the
Latin American region and with the highest obesity rates in South America, have
considerable similarities in the profile of obesity incidence and prevalence and in
recent decades have shown growth on an exponential scale in overweight/obesity
rates across age groups. The two countries, which started to develop national public
policies with direct emphasis on obesity prevention and control only at the end of
the twentieth century, have implemented important actions and strategies to contain
the problem recognized worldwide in the last two decades. It is of great relevance
to the public health of nations and for all of Latin America to approach the magnitude
of the current obesity situation in the period of Agenda 2030 by describing the
official statistics of the evolving panorama of the disease in the countries studied,
associated with how national government policies are working to reduce, control,
and circumvent this situation.
This demonstrates and highlights the increasing need for fine regional mapping of
the condition and the creation and implementation of incisive government policies,
strategies, and actions to contain one of the greatest health problems of our time.
Obesity Scenarios: Global Versus Latin American
Obesity, a multifactorial chronic noncommunicable disease, is associated with about

a hundred diseases and health problems in all organs and systems, thus presenting
itself as both a cause and a risk factor for death (Smith et al. 2008; Mancini 2010;
Singh et al. 2013). In this context, it is relevant to highlight that obesity is a chronic,
metabolic disease of diverse etiology, associated with loss of quality of life and
reduced life expectancy (Araújo et al. 2009; Wyatt 2013). A simple and still common
definition, formulated by the WHO (1998), defines obesity and overweight as the
abnormal or excessive accumulation of body fat detrimental to human health.
According to the most recent Global Burden of Disease Study (2019), there are
currently more than 2.3 billion overweight people in the world, and the obese
population has more than doubled in 73 countries since the 1980s. In 2015, an
estimated 711.4 million people were obese worldwide, 107.7 million of whom were
children, representing a prevalence of 12% in adults and 5% in children. For
comparison, in 2008, about 1.5 billion adults over 20 years old were overweight,
and of these, more than 500 million were obese, and more than 300 million were
female. Across the world, obesity is directly responsible for about four million
deaths, more than the deaths caused by traffic accidents, Alzheimer’s, and terrorism
combined. Specifically in Latin America, it causes more than 200,000 deaths, with a
constant growth trend (FAO, OPS, WFP and UNICEF 2018; GBD 2019).
The prevalence of obesity affects about 106 million individuals in the Latin
American and Caribbean region, equivalent to practically 1 in every 4 inhabitants
of the region (24.2%), which is almost double the world average (13.1%), according
to the Panorama of Food Security and Nutrition in Latin America and the Caribbean
2021, published by the Food and Agriculture Organization of the United Nations and
the Pan American Health Organization; still, about 58% of the Latin American and
Caribbean population is overweight (or more than 360,000). Obesity, meanwhile,
affects nearly 25% of the regional population (or 150 million), with 28% of women
affected and 20% in men (FAO, OPS, WFP and UNICEF 2019; FAO, FIDA, OPS,
WFP and UNICEF 2021).
In childhood, overweight and obesity affect 2.6 million children under 5 years of
age in Latin America and continues to grow steadily since the 1990s. Currently, an
important indicator of malnutrition in children under 5 years old is overweight,
which is at the other end of the weight-for-height (excess) distribution. Unlike
wasting and dwarfism, overweight has shown an upward trend over the past three
decades, with prevalence increasing from 6.2% in 1990 to 7.5% in 2019,
representing in absolute numbers 3.9 million overweight children today and an
increase of 400,000 cases over the period. The world average is 5.9%, with the
quality of diets having a direct relationship to these numbers (FAO, FIDA, OPS,
In Brazil, the Pesquisa Nacional de Saúde (2020) (PNS), conducted by the
Brazilian Institute of Geography and Statistics (IBGE) in partnership with the
Ministry of Health and released at the end of 2020, presents the most updated data
on overweight and obesity in the population over 15 years of age in the country, also
making a comparison with the information from two Family Budget Surveys (POF),
also at the national level, conducted between 2002 and 2003 and between 2008 and
2009. The prevalence of overweight people in the adult population (aged 20 years or
more) in the country went from 43.3% to 61.7% between 2003 and 2019 in the
evaluation of the three surveys, which represents a percentage increase of 42.5%.
The obese population went from 12.2% to 26.8%, representing an alarming and very
worrying increase of 119.7%. In this period, the prevalence of obesity in females
more than doubled, increasing from 14.5% to 30.2% (108.3%), and among males it
increased even more, from 9.6% to 22.8% or 136.4%.
Thus, regarding overweight, in detail, more than 60% of the Brazilian adult
population, according to the PNS 2019, have a BMI above 25, which represents
more than 100 million people, 63.3% of women and 60% of men. Among adoles-
cents aged 15–17 years, overweight was found in 19.4% (two million people), being
higher in female adolescents (22.9%) compared to males ones (16.0%). As for
obesity in adults (18 years of age or older), it was observed in 21.8% of men and
29.5% of women or 25.9% for the general population. The indicator was higher for
both genders in the 40–50 age groups, reaching 34.4%. For adolescents in the age
group of 15–17, the figure stood at 6.7%, with about 8.0% for females and 5.4% for
males.
In Chile, data from the Encuesta Nacional de Salud 2016–2017 (ENS 2016-
2017), a Ministry of Health tool to find out which diseases and comorbidities are
affecting the Chilean population over 15 years of age, show a prevalence of
overweight in the population of 40.2%, being 43.7% in males and 37.0% in females.
The results show no statistically significant differences from previous surveys, the
ENS 2009–2010 and the ENS 2003. The total prevalence of obesity observed was
31.4%, being 28.9% for males and 33.9% for females. Also according to the
2016–2017 NSS, overweight by age showed a high prevalence in the 15–24 age
group, at 31.2%, about 14% more compared to the 2003 NSS. However, the
prevalence of overweight in the age groups 25–44, 45–64, and 65 years and older
remained stable but high, with no statistically significant differences from the
previous ones.
For criteria of evaluation and classification of overweight and obesity, even today,
clinical practice uses the Body Mass Index (BMI) described in 1869 by Quetelet,
who in his studies observed that after the end of growth, that is, in adulthood, the
weight of normal-sized individuals was proportional to the square of their height.
Thus, BMI is calculated by weight in kilograms divided by height in meters squared
(Kg/m2) at both individual and population levels (Carmichael 1999; Guillaume
1999; Kuczmarski et al. 2002). However, the term Body Mass Index showing the
influence of diet on health was only published in 1972 in the Journal of Chronic
Diseases by Ancel Keys (Keys et al. 1972).
The WHO (2014) defines a person with a BMI of 25 or greater as “overweight”
and those with a BMI of 30 or greater as “obese,” classifying obesity based on BMI,
with the risk of associated comorbidities being put into three classes: class I obesity
which is also called moderate obesity, class II or severe obesity, and class III or
severe/morbid obesity.
Obesity and the 2030 Agendas
The obesity pandemic alerts us today of structural problems in society. The disease is
a consequence of determinants of various natures, involving biological, social,
economic, cultural, environmental, and behavioral components, and it is well
established that eating behavior is conditioned not only by individual choices but
also by the food system in which the individual is inserted (Rauber and Jaime 2019).
Food and nutrition insecurity has contributed to the occurrence of overweight, in
addition to being associated with malnutrition. The simultaneous prevalence of body
fat accumulation and nutritional deficiency (of vitamins and minerals) that increases
every day, especially in children and adolescents and from developing countries, is
known as the double burden of malnutrition, a term increasingly present in the
literature on food and populations (Uzêda et al. 2019).
The interaction between food and nutrition insecurity and overweight and obesity
involves the impossibility of access to more nutritious and diversified foods, since
these tend to have a higher cost, when compared to the value of industrialized
products, with a high caloric density and a low nutritional content (FAO, OPS,
At the global level, the concern of countries with reducing their obesity rates was
addressed in Resolution A/RES/70/1, entitled “Transforming Our World: the 2030
Agenda for Sustainable Development” or “Agenda 2030,” as it became known
worldwide. Approved between 25 and 27 September 2015, at the 70th General
Assembly of the United Nations (UN) by representatives of its 193 member states,
it addresses the problem of obesity in its Goals 2 and 3, respectively.
Goal 2, “Zero Hunger,” establishes that the end of hunger, the achievement of
food security and improved nutrition, and the promotion of sustainable agriculture
will be achieved and is composed of five goals, the first two being directly influential
and related to the problem of obesity. Even though the disease in adults is not an
indicator of SDG 2, its statistics and prognosis in the population make the data a
complementary warning indicator of this malnutrition outcome. Both are intended
by 2030:
2.1 – End hunger and ensure access to safe, nutritious and sufficient food for all people, in
particular the poor and people in vulnerable situations, including children.
2.2 – End all forms of malnutrition, including achieving, by 2025, the internationally
agreed-upon targets on stunting and cachexia in children under five years of age, and
meeting the nutritional needs of adolescents, pregnant and lactating women and older
people
The aim 3 of the 2030 Agenda, “Health and Well-Being,” which aims to ensure a
healthy life and promote well-being for all people at all ages, has 13 targets. Of these,
two goals directly involve the issue of obesity:
3.4 – By 2030, reduce premature mortality from non-communicable diseases by one-third

via prevention and treatment and promote mental health and well-being;
and
3.d – Strengthen the capacity of all countries, particularly developing countries, for early
warning, risk reduction, and management of national and global health risks.
The Latin American and Caribbean region in the last two decades has made a
significant progress in eliminating hunger, achieving food security, and improving
nutrition; however, the significant increase in overweight and obesity observed in all
population groups in recent years is so severe that, in addition to influencing
malnutrition problems, it ultimately undermines the achievement of the other goals
since metabolic risks are high, leading to the development of NCDs and the
increased likelihood of premature death (FAO, OPS, WFP and UNICEF 2019).
NCDs accounted for more than 3.8 million Latin Americans in the year 2016,
accounting for more than 50% of deaths that occurred across all countries in the
region. In Brazil, it corresponded to more than 70% and in Chile to 80% of the
number of deaths, and more than 80% of deaths were caused by five conditions:
cardiovascular diseases, followed by various types of cancer, respiratory diseases,
digestive diseases (6%), and diabetes (4%), all comorbidities of obesity (FAO, OPS,
The United Nations (UN) convened the Food Systems Summit in September
2021 as part of the Decade of Action to achieve SDGs by 2030. The goal of the
summit is to advance the 17 goals by considering the necessary transformation of
food systems and leveraging the interconnectedness of food and agriculture agendas
with global challenges such as hunger, climate change, poverty, and inequality.
However, the large corporate presence during the event was widely criticized for
favoring corporate technology solutions and ignoring agroecology, organic agricul-
ture, and indigenous knowledge, excluding a significant representation of the people
most affected by changes in food systems (Nexo 2022).
At the regional level, meanwhile, ASSA 2030 was approved at PAHO’s 29th Pan
American Health Conference, held from 22 to 26 September 2017 by the Ministers
of State for Health, representing its 35 member states. ASSA was influenced by a
series of side events and conference exhibitions that created opportunities for the
exchange of experiences and debate on topics such as health equity, climate change,
migrant health, and the strengthening of health services to improve the approach to
chronic diseases and the use of regulatory policies to promote, support, and protect
healthy eating. Its 11 goals take into account the health situation of the Americas
region, outstanding issues related to the MDGs, the Health Agenda areas of action
for the Americas 2008–2017, the impact targets and intermediate outcomes of
PAHO’s strategic plans, and the regionally adjusted health targets of SDG 3 and
other health-related goals in Agenda 2030. Its targets were defined primarily based
on existing commitments at the global or regional level and express the aspirations of
member states, individually and jointly, in a manner compatible with the goals and
vision of the Agenda (PAHO and WHO 2017; FIOCRUZ 2017).
Among the goals of ASSA 2030, Goals 1 and 9 are involved indirectly and
directly, respectively, with the issue of obesity, and they are:
Goal 1 – Expand equitable access to comprehensive, integrated, quality, person-, family-,

and community-centered health services with an emphasis on health promotion and disease
prevention. This goal aims at strengthening or transforming the organization and manage-
ment of health services by developing models of care centered on the person, the family, and
the community.
Goal 9 – Reduce morbidity, disability, and mortality from noncommunicable diseases,
injuries, violence, and mental health disorders. It is, therefore, the goal that aims to reduce
the burden of noncommunicable diseases such as obesity, including cardiovascular diseases,

cancer, diabetes, and other NCDs, which in large percentage are comorbidities of obesity.
Public Policies for Prevention and Control of Obesity in Latin

America: The Case of Brazil and Chile
The analysis of the current epidemiological profile of the population in Latin

American countries shows advances in the control of malnutrition and evidences
the transition process in which sedentary lifestyles and consumption of ultra-
processed foods have been incorporated, with a high energy content; rich in saturated
fats, sugars, and salt; and poor in fiber and micronutrients. According to the Food
Guide for the Brazilian Population (2014), ultra-processed foods are industrial
formulations based on ingredients extracted or derived from food (oils, fats, sugars,
modified starch) or synthesized in laboratories (dyes, flavorings, flavor enhancers,
etc.), and their labels may contain giant lists of ingredients. Most of them have the
function of extending the shelf life of the food or even promote the addition of color,
flavor, aroma, and texture to make it attractive. When present, natural or minimally
processed ingredients appear in reduced proportion. Some examples of ultra-
processed products are margarine, sweetened breakfast cereals, cereal bars, and
soft drinks. Added to this are other social determinants, such as urbanization, long
commuting times, the rise of fast-food chains, the impact of food advertising in the
media, and the high supply of unhealthy foods at low values (FAO, OPS, WFP and
UNICEF 2019).
The market for several major ultra-processed products is oligopolistic and gen-
erally dominated by large transnational corporations. The sale of ultra-processed
products increases with the advent of urbanization and the opening of domestic
markets to foreign investment and deregulated control by national governments.
While sales volume remains highest in high-income countries, growth in the first
decade of the twenty-first century was faster in low-income countries. Finally,
consistent with previous observations, the sale of ultra-processed products is directly
related to a rapid increase in overweight and obesity and various chronic non-
communicable diseases; therefore, public policies to control and combat the prob-
lems are increasingly urgent (Castro 2017).
To properly address the obesity epidemic, government policies, actions, and
strategies must provide stimulating environments that support and provide the
proper conditions for maintaining healthy eating patterns and physical activity, either
through fiscal measures that make healthy foods more accessible or through regula-
tions that limit the advertising of unhealthy foods (especially to children) and
interventions in urban planning that assist and promote routine physical activity.
This becomes possible with objective, structured, and consistent actions of the
government in articulated intersectoral policies that provide the population with
options for a healthier life (Reis et al. 2011; Pimenta et al. 2015).
The main national government policies with a direct focus on obesity prevention
and control in Brazil and Chile will be summarized below, demonstrating objectively
how the governments of the two nations are working and focusing their strategies to
combat the problem.
Brazilian Public Policies
When the focus on public policies infers a direct relationship (exclusive or not) with
the obesity issue, it is first necessary to represent and delimit the government
agencies responsible, which in Brazil is currently established by the Ministry of
Health through the Unified Health System (SUS) and the National Food Security
System (SISAN).
In the SUS, obesity is approached as a risk factor and as a disease, requiring
individualized emphasis and being related to socio-environmental issues, with the
main objective of improving eating habits and encouraging physical activity. In
SISAN, the problem is also considered a social issue of food insecurity, and new
modes of production, commercialization, and consumption of food are proposed to
change eating practices in an integrated way. Thus, the SUS proposals point to an
integrated and intersectoral approach to obesity, and those of SISAN reinforce
intersectorality in a broad perspective that challenges the current sectoral institu-
tional structures (Dias et al. 2017).
In Brazil, the established policies regarding obesity are primarily divided based
on origin and proposition into:
Plan of action-strategy for the confrontation of NCDs in the context of SUS:
– PNAN – National Food and Nutrition Policy

– Food Guide for the Brazilian Population
– PNPS – National Health Promotion Policy
– Action plan – Strategy to confront NCDs
Plan of action-strategy for the confrontation of NCDs in the context of SISAN:
– CONSEA – Food and Nutrition Security Council

– CAISAN – Interministerial Chamber of Food and Nutritional Security
– Intersectorial Plan for Prevention and Control of Obesity
EIPCO – Intersectoral Strategy for Obesity Prevention and Control
– PNSAN – National Policy for Food and Nutrition Security
– National Plan for Food and Nutrition Security I and II
– Benchmark of Food and Nutrition Education
Obesity became, in fact, the object of public policies in Brazil in 1999, when the
Ministry of Health, through the Unified Health System (SUS), which is the main
proposer of actions, started to follow the international trend of concern with the
problem. In general, Brazilian public policies on obesity intervention have their
actions based mainly on disease prevention and encouragement of a healthier future
life, based on education actions, guidance on healthy eating, and encouragement of

physical activity (Pimenta et al. 2015).
Brief Description of the Main Brazilian Policies for Obesity

Prevention and Control
Year 1999: National Food and Nutrition Policy (“PNAN” – Política

Nacional de Alimentação e Nutrição)
This policy demarcates the principle of actions to combat obesity. With an interdis-
ciplinary and intersectoral character, its purpose is to improve the food, nutrition, and
health conditions of the Brazilian population through the promotion of appropriate
and healthy eating practices, food and nutrition surveillance, and prevention and
comprehensive care of diseases related to food and nutrition. Upon completing
10 years since the publication of PNAN, the process of updating and improving its
bases and guidelines began (Brazil 2013).
Year 2006: The National Health Promotion Policy (“PNPS” – Política

Nacional de Promoção da Saúde)
This policy seeks to improve the quality of life of Brazilians, presenting six strate-
gies, of which the first three are related to obesity control:
– Implementation of the recommendations of the Global Strategy for Healthy

Eating and Physical Activity in the country
– Stimulating healthy eating from the perspective of food and nutritional security,
contributing to the Millennium Goals to guarantee the human right to adequate
food and to the implementation of the Global Strategy
– Encouragement of physical activity and leisure activities in line with the imple-
mentation of the Global Strategy (Brazil 2006)
Year 2006: Food Guide for the Brazilian Population
This is the Ministry of Health document that presented the first official food
guidelines for the population and one of the strategies for the implementation of
the guideline for the promotion of adequate and healthy food (PAAS) that integrates
the National Food and Nutrition Policy (PNAN) and the National Health Promotion
Policy. The first version of the document (2006) presented the concept of food and
nutritional security and recommended measures to combat the “obesogenic” envi-
ronment, such as the regulation of food advertising. Updated in 2014, the 2014 food
guide remodels the health sector in addressing the food issue, expanding the
dialogue between SUS and SISAN, considering the promotion of adequate and
healthy food as part of the construction of a sustainable food system, and highlight-
ing food conditioning factors, from production to consumption. It presents the
NOVA classification that categorizes foods according to the purpose and extent of
processing and not according to the type of predominant nutrient in the food “In
natura and minimally unprocessed, culinary ingredients, processed or ultra pro-
cessed” (Monteiro et al. 2016).
Year 2006: The National System of Food and Nutrition Security

(“SISAN” – Sistema Nacional de Segurança Alimentar e Nutricional)
Responsible for organizing actions implemented by different ministries – from food

production to consumption. SISAN’s members are:
– The National Conferences

– The National Council of Food and Nutritional Security (CONSEA) that promoted
the articulation between the government and civil society in order to elaborate
guidelines for the SAN policy in the formulation of policies (extinct)
– The Interministerial Chamber of Food and Nutritional Security (CAISAN) –
promoter of the articulation and integration of agencies that work with SAN,
being responsible for several strategies in the scope of confronting obesity (Brazil
Consea 2021)
Year 2011: Strategic Action Plan for Confronting NCDs (2012–2022)
This policy was created with the goal of promoting the development and implemen-
tation of effective, integrated, sustainable, and scientific evidence-based public
policies for the prevention and control of NCDs and their risk factors and strength-
ening health services aimed at caring for people with chronic diseases. The Plan
recognizes obesity as a disease and a risk factor for NCDs, with its own causes and
determinants, and was the major landmark of the actions against the epidemiological
scenario of morbidity and mortality in the country for almost a decade (Brazil 2011).
In September 2021, the Strategic Action Plan for Confronting Chronic Diseases
and Noncommunicable Diseases in Brazil (NCDs), 2021–2030, was launched with
the goals of:
• Increasing the recommended consumption of fruits and vegetables

• Reducing consumption of artificially sweetened beverages
• Reducing consumption of ultra-processed foods
• Increasing physical activity during leisure time
Baseline prevalence of obesity in adults – National Health Survey 2019 and

Monitoring – Vigitel (Brazil 2021).
Year 2012: The Food and Nutrition Education Framework for Public
Policy
This document was published by the Ministry of Social Development and Fight
against Hunger and defines the concept of Food and Nutrition Education and
establishes guidelines for public initiatives related to the topic. Since its publication,
we still observe a scarcity of academic and scientific works that make reference to
the document and highlight its relevance (Brazil 2012).
Chilean Public Policies

The Chilean Ministry of Health has been adopting, since the end of the twentieth
century, specific policy measures to control the obesity epidemic that, for decades,
has shown a progressive increase in prevalence in the Chilean population. The
actions taken focus on two main axes: the social determinants of health related to
food environments and people’s behavior. These actions aim to reduce the consump-
tion of unhealthy foods as much as to increase the consumption of healthy foods
(Rodríguez Osiac et al. 2017).
A member state of the United Nations, Chile has adopted the Health in All
Policies framework. The framework holds policymakers accountable for the health
impact of such decisions. This framework recognizes that the social determinants of
health and the decisions of different sectors can affect the health of the population.
Therefore, health problems, which are often beyond the role of the health sector,
must be addressed through intersectoral public policies. Public policies to combat
and control obesity consist, firstly, of following guidelines based on the types of
food, establishing taxes for certain products aiming at reducing consumption, and
promoting healthy eating. It strongly regulates the advertising of ultra-processed
products, imposing labeling standards on foods, and highlighting the nutritional
content of the products. It actively works for better food and nutrition education and
demands healthy school meals (WHO 2014).
Documents from the Chilean Ministry of Health, MINSAL, were used to describe
and evaluate most of the policies in this analysis, given the limited availability of
literature on obesity control and prevention policies.
Brief Description of the Main Chilean Policies for Obesity

Prevention and Control
Year 1997: The Council “Vida Chile”
The Chilean Ministry of Health, aware of the consequences of obesity and the
burden related to the disease, established the National Health Promotion Plan
(PNPS), based on the strategy of developing primary healthcare and with the
purpose of contributing to face the challenges of the new epidemiological and
socioeconomic profile of the country. Shortly thereafter, the National Council for
Health Promotion, known as Vida Chile, was created, forming an intersectoral
coordination body chaired by the Minister of Health and made up of 28 public and
private institutions throughout the country, in 13 regions, reaching 310 of the
country’s 347 municipalities. The purpose of Vida Chile is to advise ministries on
the development of healthy policies and to coordinate a strategic plan of action of an
intersectoral nature, developing action plans in the most participatory manner
possible, in order to ensure local priorities and their proper implementation.
According to the Ministry of Health, about 45% of the Chilean population partici-
pates in some social organization, mainly religious, sports, and territorial (including
neighborhood associations and centers for parents and guardians) (Chile 2010b).
Vida Chile has a network of local councils articulated under the guiding idea of
“Building a Healthier Country.” The Vida Chile Community Councils are participa-
tory, made up of representatives of social and community organizations, municipal
authorities, local public services, and private entities. Their basic objectives are to
collaborate in the participatory diagnosis of health and quality of life and to
participate in the formulation, implementation, and evaluation of the Community
Health Promotion Plan (Salinas et al. 2007).
Vida Chile established five priorities for the decade, with intersectoral goals
aimed at reducing the prevalence of obesity, sedentary lifestyles, and smoking and
increasing psychosocial and environmental protective factors. Most of these goals
became part of the Health Reform Health Goals. To achieve these goals, the Ministry
of Health has systematically implemented health promotion plans in all regions of
the country, consisting of community interventions at the local level and national
actions to support human resource development, communication, social participa-
tion, reorientation of health services, and regulation (Salinas et al. 2007; Chile
2010a).
In the first phase, local interventions prioritized working with social organiza-
tions, educational and primary healthcare facilities, and, later, work centers, univer-
sities, and private sector business entities. Among the main landmarks of this process
are the three editions of the Chilean Congress on Health Promotion, in 1999, 2002,
and January 2007, and the Forum of the Americas, organized by the Pan American
Health Organization (PAHO) in 2002, where the Chilean Commitment to Health
Promotion was signed. From this analysis, different strategies and programs that
make up the PNPS were implemented gradually and systematically, such as the
strategy to designate health promoters in schools, communes, and workplaces.
Year 1997: Health Promotion in Schools (Programa Escuelas

Saludables)
The School Health Promotion Policy operates in educational spaces, from day care
centers to schools. The promotion policy has been implemented since 1997, and in
2000, targets for 2010 were set to reduce the prevalence of obesity in preschool
children from 10% to 7%, in school children entering the first year of elementary
school from 16% to 12%, and in pregnant women from 32% to 28%. In addition, it
proposed reducing sedentary lifestyle and smoking and increasing the population’s
participation in social organizations (Chile 2010b; INTA 2015).
This policy, specifically, has not had positive results. Obesity in children under
6 years old was 9.4% in 2009, and in 2012 it reached 10.3%. In those from 2 to
3 years old, it was approximately 6%; from 3 to 4, 11%; and from 4 to 5, it reached
16%. In JUNAEB, which measures and weighs all 6-year-old children entering first
grade each year, obesity reached 23.1% in 2010 and 22.1% the following year (INTA
2015).
Year 2006: Dietary Guidelines for the Chilean Population – the

“GABAS”
In 1997, the Ministry of Health made the food pyramid official as the representative
chart of dietary guidelines for the population, the Food Guide. In 2014, a new chart
was designed and validated, which replaces the food pyramid in order to clearly
represent the variety and proportionality of foods recommended for consumption,
also distinguishing the foods suggested to be avoided and incorporating the recom-
mendation of daily physical activity (Chile 2013).
The food guides are a fundamental tool for the promotion and education in
healthy eating and physical activity, in order to contribute to the prevention and
reduction of chronic noncommunicable diseases, especially obesity. The “GABAS”
(in Spanish language “Guías Alimentarias para La Población Chilena) are accom-
panied by a GRAPHIC IMAGE that represents the variety and proportionality of the
foods that are recommended to be consumed, in order to help the population identify
and follow the dietary recommendations for good nutrition and health (Chile 2013).
The overall message of all the elements, which make up the GABA image, is the
importance of achieving a balance between consumption and expenditure of food
and energy through physical activity and exercise (Chile 2013; PAHO 2015).
Year 2006: Global Strategy Against Obesity (“EGO-CHILE” –

Estrategia Global Contra La Obesidad)
The Ministry of Health launched the Global Strategy against Obesity (EGO-CHILE)
in 2006 to reduce, or at least stabilize, the prevalence of obesity. This strategy has
been continued by different promotion and prevention actions. The Global Strategy
against Obesity (EGO) was born as a reflection of what the World Health Organi-
zation, at the 57th World Health Assembly, established as the “WHO Global
Strategy on Diet, Physical Activity and Health (DPAS),” two years earlier, to achieve
“the change of behavior of society and individuals” that allows reducing obesity and
chronic noncommunicable diseases (Abello and Caro 2007). This strategy (EGO)
considers the multidimensional nature of the sociocultural factors involved in the
obesity problem, which must be addressed through multi-sectoral and intersectoral
policies and actions. This tool generates guidelines that involve the health field, the
family and community environment, the school environment, the business environ-
ment, and, finally, the academic environment and scientific societies. The
EGO-CHILE program “has an important social communication aspect, whose
main purpose is to encourage the improvement of eating habits and regular physical
activity” (Chile 2015a).
The implementation of this strategy is formalized through activities, actions,
recommendations, voluntary agreements and commitments, self-regulation, regula-
tions, and alliances. It intends for state institutions, the private sector, parliament, and
others, to work together to promote policies, legislation, and programs aimed at
improving eating habits and increasing physical activity in the population, taking
into account social and cultural determinants, in order to integrate the principles of
sustainability, social participation, and equity.
EGO-CHILE presents many advances throughout its 15-year trajectory. Among
its most notable achievements are:
– The increase of exclusive breastfeeding in the sixth month to 49% and the
stabilization of the upward curve of obesity in children under 6 years old, at
around 7%. In this context, nutritional orientation was incorporated for the
healthy child at 5 months and 3.5 years and for women in the 3rd and 6th months
postpartum.
– The incorporation of a comprehensive model of care for obese children and adults
with associated risk factors: the MINSAL-FONASA initiative program, a multi-
disciplinary, non-pharmacological, four-month intervention, with an emphasis on
changing eating habits and physical activity. The results showed improvement in
nutritional status and metabolic diseases, which has justified its extension to new
primary care centers in the country.
– Nutrition labeling of foods, in Spanish known by the acronym ENOA (Etiquetado
nutricíonal obligatorio de alimentos), which, as of 6 November 2006, came into
effect with the decree from the Ministry of Health requires all packaged foods to
carry the regulated nutritional information on the label. The ENOA is one more
tool for self-care and an important advance in the promotion of healthy eating.
The objective of the application of this regulation is that the consumer has at his
disposal the information about energy, protein, lipids, carbohydrates, and sodium
intake. To start the educational process of this measure, about six million booklets
with explanatory information on how to read labels have been distributed.
– New WHO growth curve: Chile is the first country in Latin America to implement
the application of the new WHO growth curve as part of its national nutritional
food surveillance policy. In this way, the country applies the best available
standard for assessing the nutritional status of children under six years of age,
thus providing a great decision-making tool for regional and national nutrition
policies and programs.
– Updated regulations for nutritional assessment, malnutrition management, and
dietary guidelines.
– Capacity building: Workshops are held for health staff throughout the country
focusing on new regulations, nutrition labeling, individual and group counseling
on healthy living, and application of the new WHO growth curve.
– Dissemination: All documents related to the new regulations, educational mate-
rial, and EGO information are available for health teams on the MINSAL intranet
and for the general population on the Ministry of Health’s website in the food and
nutrition section and for specific population groups on www.egochile.ci, with
portals for parents, teachers, and children.
– Obligatory incorporation of the obesity and sedentary lifestyle component in
regional health plans: Since 2007, these plans have prioritized interventions on
obesity and sedentary lifestyle in schoolchildren throughout the country,
corresponding to the EGO school version of the EGO strategy. During 2007,
more than 700 establishments throughout the country underwent interventions,
and by 2008, about 1000 food programs had been reached (Chile 2015a).
Year 2012: Law on the Nutritional Composition of Food and Its

Advertising (Ley Sobre el Etiquetado y Publicidad de Los Alimentos)
The Law on the Nutritional Composition of Food and Its Advertising (Law
No. 20,606) also restricts the advertising of foods labeled “HIGH IN” directed to
children under 14 years of age and aims to ensure that there is an adequate supply of
healthy foods in educational establishments by prohibiting the sale, promotion, and
free delivery of unhealthy foods to nurseries and primary and secondary schools.
The Act, commonly referred to as the “Food Act” or the “Labeling Act,” seeks to
simplify nutrition information for food components related to obesity and other
noncommunicable diseases, protect children and adolescents from advertising of
“HIGH IN” nutrient foods related to obesity and other noncommunicable diseases,
and improve the supply and availability of food in educational facilities by incor-
porating three interventions: (1) Currently, the initiative is composed of four phases.
In the fourth phase (planned for 2022), “HIGH IN” labels will become valid for
macro food producers and micro food producers. As it progresses, the standards for
limits on fat, calories, sugars, and sodium in marketed foods are raised.
To define which foods were subject to this law, they observed the limits that foods
have in nature, in terms of sugars, sodium, saturated fats, and energy, and from these
limits, the levels and contents that the food should have were fixed, so that those who
exceeded them would be subject to this law (Corvalán et al. 2019).
In an attempt to give the industry more time to respond to this new regulation and
eventually reformulate their food, a phased implementation was established, which
meant having slightly higher limits at the beginning of the law in 2016, which were
reduced in 2018, making them stricter. The goal was to reach, in the year 2019, the
limits that were initially outlined and should have been in force since the beginning
of the law (Corvalán et al. 2019).
The adjustment of the limits of the law means, in practice, that solid products,
every 100 g, should carry the warning label when exceeding 300 calories, 500 mg of
Table 1 Tolerated limits, in grams and milliliters, by stages of Law No. 20,606
Limits for Solid foods:
First Phase Second Phase Third Phase
Calories 350 kcal/100 g 300 kcal/100 g 275 kcal/100 g
Sodium 800 mg/100 g 500 mg/100 g 400 mg/100 g
Sugars 22,5 g/100 g 15 g/100 g 10 g/100 g
Saturated fats 6 g/100 g 5 g/100 g 4 g/100 g
Limits for liquid foods:
First phase Second phase Third phase
Calories 100 kcal/100 ml 80 kcal/100 ml 70 kcal/100 ml
Sodium 100 mg/100 ml 100 mg/100 ml 100 mg/100 ml
Sugars 6 g/100 ml 5 g/100 ml 10 g/100 ml
Saturated fats 3 g/100 ml 3 g/100 ml 3 g/100 ml
Source: Described by the authors based on Chilean government public data – Chile Atiende (2021)
sodium, 15 g of sugar, and 5g of fat. In the case of liquids, in the second phase of the
law, it was already established that in every 100 ml, they must carry seals if they
exceed 80 calories, 100 mg of sodium, 5 g of sugars, and 3 g of fat. This is more
restrictive than the first phase, during which this was required upon exceeding
100 calories, 100 mg of sodium, 6 g of sugar, and 3 g of saturated fat (Table 1).
In June 2017, one year after the law went into effect, MINSAL released a report
evaluating the regulation in which it highlighted the fact that, during 3008 control
inspections, the compliance achieved was 72%. Monitoring protocols have been
developed, and targeted inspections have been carried out, which follow certain
prioritization criteria, because there is no capacity to control everything. Of the more
than 3000 inspections, the nonconformities detected reached 845 cases, originating
summaries that were attributed to labeling problems, advertising aimed at children
(containers or point of sale), and also the sale of “HIGH IN” foods in educational
establishments.
Year 2015: Law 20.869 – Law on Food Advertising (Ley sobre

Publicidad de los Alimentos)
This law, from 2015, establishes provisions regarding the advertising of food. In
particular, advertising that induces the consumption of foods labeled as high-calorie
or high-salt (Law No. 20,606) directed at minors under the age of 14 is prohibited. It
is also provided that no food advertisement may claim that these products alone meet
the nutritional needs of a human being.
The Advertising Law amends Law No. 20,606 on Nutrition Labeling of Foods,
establishing limits on food advertising aimed at children under 14 and prohibiting
the advertising of infant formulas.
The Advertising Law confirms the criteria to prohibit all “HIGH IN” food
advertising directed to children under 14. In addition, the Advertising Law adds a
time restriction for “HIGH IN” food advertising aimed at people over 14 in movie
theaters and on television. All such advertising cannot be shown between 6 am and
10 pm. Without disregarding the above, the Advertising Law provides for certain
exceptional cases in which advertising may be carried out outside the hours indicated
for “HIGH IN” foods aimed at people over 14 years of age (sporting, cultural,
artistic, or entertainment events). As for the advertising of infant formulas, the law
prohibits any advertising activity for breast milk substitutes. This prohibition
includes both starter and follow-on formulas, as defined in Decree No. 977, Food
Sanitary Regulations (Chile 2015b).
Year 2013: Choose Healthy Living (“Eligir Vivir Sano”)
Eligir Vivir Sano is a national program, aimed at promoting healthy eating and
physical activity (Law 20,670), which subsequently obliged the various sectors of
the state, such as health, education, and sports, with competence in matters related to
the promotion of healthy lifestyles, to incorporate policies, plans, and/or programs to
promote a healthy lifestyle and promote the prevention of obesity and NCDs.
The program’s concept is to generate healthy habits and lifestyles in all Chileans
to reduce the risk factors and behaviors associated with chronic noncommunicable
diseases and, as specific objectives, to promote healthy eating and encourage
physical activity and for the individual to spread the benefits of the activities to
their family members. Another objective was to promote contact with nature, respect
for the environment, and outdoor living (Chile 2021).
Its mission is to be a proactive, positive, and practical program, as it invites
citizens to incorporate action commitments into their lives (eat healthy, move your
body, live with your family, and enjoy the outdoors), and the vision is to become a
quality of life reference for Chileans and an institutionalized and sustainable public
policy for the medium and long term. The Program is part of the National Health
Strategy 2011–2020. Of the 50 health objectives of the Strategy, for 2020, 16 are
Eligir Vivir Sano objectives, such as decreasing the prevalence of childhood obesity,
increasing the prevalence of physical activity in young people, and increasing
communes with green areas.
Using an interministerial coordination, community health plans have already
been implemented in 288 communes related to the “Choose Healthy Living”
commitments through sports gatherings, teacher training workshops, improvement
of environments, implementation of plazas etc., with an investment of millions of
pesos (Chile 2021).
Year 2013: Healthy Municipalities, Cities, and Communities Strategy

(Estrategia Municipios, Comunas y Comunidades Saludables)
In 2013, the Chilean Ministry of Health launched the Healthy Municipalities, Cities,
and Communities Strategy. The goal is to strengthen the role of the municipality as
an actor to improve health outcomes and quality of life for its population, in
partnership with the community and in an intersectoral way. In 2015, the
implementation of the strategy in its organization and strategic planning phases

began in 331 municipalities in the country, materializing into intersectoral agree-
ments, at the national level, and political commitments with mayors of the country
(PAHO and WHO 2021).
Although it does not have a political commitment expressed in decree or law, the
sustainability of Health Promotion programs in the Ministry of Health shows that the
strategy is inserted in it. This is reiterated in the Ministry’s vision and in the sector’s
strategic guidelines which, among others, indicate the need to evaluate and redesign
existing public policies, with an equitable focus, aiming to increase public goods in
health, formulating policies to promote styles, health, healthy living, and greater
access to and availability of safe and healthy food. The strategy is managed by the
Ministry of Health Promotion and has as its own structure the Intersectoral Com-
mission, created in each commune and at the national level (PAHO and WHO 2021).
The Ministry of Health leads the strategy, while the mayors of the country’s
municipalities promote the development of comprehensive health diagnoses and
implement the three-year Strategic Planning for Health Promotion. The Ministry of
Social Development also intervenes, with the programs “Live Your Gardens” and
“Choose a Healthy Life in Community”; the Ministry of Education incorporates health
issues in the thematic guidelines of subjects by cycle and articulates with entities such
as the National Council for School Assistance and Scholarships (JUNAEB), the
National Council of Kindergartens (JUNJI), and the Education Quality Agency; the
Ministry of the Environment is active in building healthy environments and sharing
the supply of healthy food (school and community gardens) and the Ministry of Sport
through comprehensive sports schools and the Sport and Social Participation program.
In addition, there are technical collaboration agreements, in the construction of healthy
environments, with the Ministries of Housing and Urban Development and the
Ministry of Transportation and Telecommunications (Chile 2015c).
The strategy is intersectoral and intrasectoral. At the local level, each commune
forms an intersectoral committee, according to local needs. At the national level, an
interministerial committee has been formed, creating spaces reinforced with dia-
logues with citizens and regional public health forums. Currently, the Ministry of
Health promotes dialogues with citizens to enrich the new Sport Policy. In addition,
it was possible to sensitize different sectors, such as housing, transportation, and
municipalities, among others, to develop bicycle paths and infrastructure for phys-
ical activity in public spaces. Scientific evidence was duly used to evaluate and
redesign the strategy. A formal intersectoral evaluation system is being built under
the Health in All Policies approach (Chile 2015c).
Social, citizen, and community participation is a transversal axis of the Healthy
Municipalities, Communes, and Communities Strategy, because through it, problems
are identified and understood. One of the participation mechanisms is the dialogues with
citizens that, at the communal level, serve to discuss local laws and policies. Participa-
tory diagnoses have also been implemented, which are part of the comprehensive
diagnosis of quality of life that the country’s communes carried out throughout 2015.
In the same year, 15 regional managers’ schools were held, where social leaders were
trained in Social Determinants of Health, Health in All Policies, and the Healthy
Municipalities, Communes, and Communities Strategy (Chile 2015c).
Year 2014: Tax Law on Sales of Artificially Sweetened

Beverages – No. 20.780
Law No. 20,780 aims to limit the consumption of sugar-sweetened beverages. Under
this law, natural, artificial, energy, or hypertonic beverages, with syrups or products
that replace them or that are used for the preparation of similar drinks, mineral water,
or flavored water, will have a 10% tax. If the drink has more than 15 g per 240 ml or
equivalent portion, the tax will be 18%. More specifically, the country has created a
tiered tax, increasing its tax rate on sugary drinks from 13% to 18% on those with
high sugar content (i.e., > ¼ 6.25 g sugar/100 ml) and reducing the rate from 13% to
10% on those with low or no sugar content (i.e., <6.25 g sugar/100 ml, including all
drinks with sugar-free sweeteners) (PAHO and WHO 2020).
The size of the tax has implications for the expected effect on people’s consump-
tion. The price elasticity of demand is a common parameter that measures the
percentage change in quantity demanded as a result of a 1% change in price. In
the case of sugary drinks, this parameter is estimated to vary between 0.8
and 1.3. Thus, based on a price elasticity of 1.0, an excise tax that increases
the prices of these beverages by 25% should reduce the consumption of the taxed
product by 25% on average (Cabrera Escobar et al. 2013).
Guerrero-López et al. (2017) suggest that the demand for soft drinks, for example,
is elastic in Chile and that a 5% increase in the tax rate on natural or artificially
sweetened nonalcoholic beverages, passed on fully in prices, can provide a drop of
approximately 6.85% in the consumption of soft drinks and 8.15% in the consump-
tion of other beverages. Simultaneously, a 5% increase in the price of soft drinks
would cause an increase of about 3% in the consumption of pure water and, to a
lesser extent, in the demand for other beverages such as milk, coffee, tea, and mate.
These results, however, would depend directly on pass-through prices.
Year 2015: Former Vida Sana (“Elige Vida Sana”)
The “Vida Sana” Program was revamped in 2019 and renamed “Elige Vida Sana.”
Initially, the program aimed to control excess malnutrition and improve the meta-
bolic profile and physical condition of the population with risk factors for
the development of type 2 diabetes mellitus and cardiovascular diseases. The
reformulation is in line with the new governmental measures promoted in the
strategic axis, “Wellness and culture of healthy living,” and in the commitment:
“Revitalize the Healthy Living Choice program to promote a culture of healthy
living through more exercise and better nutrition.” The new strategy proposes three
components: healthy eating, physical activity, and free time. In each, individual and
collective benefits linked to this pillar will be delivered (Chile 2019).
This Government Program seeks to intervene in the risk factors for the develop-
ment of noncommunicable diseases through a strategy that has shown to be success-
ful in the people who adhere to it. Considering the drastic demographic and
epidemiological changes registered in recent years in the Chilean population, with
a predominance of noncommunicable diseases, its confrontation is related to
changes in lifestyles and actions, fundamentally in the field of promotion, preven-

tion, and body maintenance. It is aimed at those people who have a high risk of
developing hypertension and type 2 diabetes in the future, due to the fact that there is
a long period of increased blood pressure and glucose intolerance that precedes the
development of the disease. There are screening tests that can identify high-risk
individuals, as well as safe and potentially effective interventions that can decrease
risk factors for developing noncommunicable diseases. Along with this, coordina-
tion must take place with the commune’s intersector, in the various service areas.
This activity is considered essential to achieve successful program execution, espe-
cially in those cases where the success of a particular action, such as the entry of
users and their treatment, depends on the understanding, will, and decisions of all
sectors (Chile 2019).
The evidence and methodology previously tested in primary care in Chile are
precisely focused on reducing risk factors for the development of noncommunicable
diseases, through lifestyle modification directly related to the prevention of NCDs
(Chile 2019).
In both countries, the policies, actions, and strategies implemented in the last two
decades demonstrate that there are no results without incisive state action and
governance. In a scenario dominated by market politics, the application of inhibitory
and regulatory measures to this established system needs to be added to public
policies on health and encouraging healthy eating.
Through the examples of national public policies and strategies presented here, it
is clear that in recent years, Brazil and Chile have been developing and
implementing concise actions to prevent and control obesity that bring them closer,
despite still having a long way to go, to achieving, even if partially, the global and
regional goals and targets set out in the 2030 Agendas.
It is clear that it is impossible to achieve satisfactory results in the fight against
obesity while benefiting an industry that promotes obesity. However, from the policy
profile, it is possible to observe that in Brazil there is still a contradiction between the
national strategies against the market, which hinder the effectiveness of preventive
policies and fight against obesity, while Chile promotes, over a few years, a real
revolution in the scope of public actions regarding obesity and fights a war against an
industry that few countries have had the courage to face.
Brazil has consolidated the implementation of several and varied measures of
intersectoral character and governance in combating the problem, through SUS and
SISAN, the latter composed of the much-needed Interministerial Chamber of Food
and Nutritional Security (CAISAN) and CONSEA, the latter unfortunately
disbanded in 2019. Through the National Health Promotion Policy, it is possible to
identify the concern in its individual and political context.
A long period of federal legislation, regulation, and inclusion of different social
actors, which promoted intersectoral and health policies and valued the participation
of society in councils, seems to be the right strategy to face the growing problem of
overweight and obesity, which burdens so many individuals and the Brazilian health
system.
Brazil has one of the most recognized tools in the world for Food and Nutrition
Security, the new Food Guide for the Brazilian Population, considered the best world
publication in the area of dietary guidelines by experts, despite being little known
and recognized in its own country. However, it is a publication that conflicts with the
interests of the food industry in promoting and recognizing the benefits of healthy
eating unprocessed, in valuing regional foods, and in not recommending the con-
sumption of ultra-processed foods. Ultra-processed foods, ultra-satiable, of low or
no nutritional value, rich in fats, sodium, and sugars, have been increasing their share
on the Brazilian table because they are less expensive, economically, partly due to
the tax incentives they receive in the country. The most obvious case is that of the
soft drink industry, which has tax incentives due to being located in the Manaus Free
Trade Zone. Redistributive policies should be applied in this context. However,
positively, as in few countries with similar socioeconomic characteristics, it is still
possible to observe in the Brazilian food profile the habit of consuming “real food,”
with preparation from fresh or minimally processed ingredients. These habits have
contributed to the fact that the overweight and obesity rates have grown more slowly
than in other Latin American countries such as Mexico and Chile.
As for Chile, the conditioning factors for NCDs are significant in the country,
directly involving obesity. Over the last two and a half decades, Chile has built some
of the most incisive and expressive obesity prevention and control public policies in
the world in an attempt to restore the national food culture and reverse obesity rates.
These policies are regulatory, redistributive, and educational and involve several
social actors. The actions in the country have been gradual and continuous and do
not end with each new government. However, the results are still small and are
expressed more in the flattening of the growth curve than in its inflection toward
obesity reduction. The expectation is that it will start to bear its fruit soon.
Chile has passed some of the most incisive and pioneering laws to fight against
the worldwide syndemic of overweight and obesity. The Food Labeling and Adver-
tising Law allows the country to take an immense and courageous step in curbing
obesity, facing the giant food industry by making it mandatory to mark packages
containing foods high in unhealthy agents such as fat, calories, and sugar, restricting
their advertising, and banning them in the school environment. Just 2 years later, the
government passed a law taxing artificially sweetened beverages between 10% and
18%. In just a few years, Chile has promoted a true revolution in public policies
regarding obesity and is waging a war against an industry that few countries have
ever had the courage to face.
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Part II
Educational and Communication Perspectives
Climate Change Communication Efforts
and Results in Latin America
and the Caribbean
Brenda Lía Chávez Cosamalón, Diego Posada , and

Aaron Benavot
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 575
Data Availability Regarding CCC Efforts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 575
The Study of Climate Change Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 576
Review of CCC Research Methods in Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 576
Geographical Coverage and Regional Differences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 578
Action for Climate Empowerment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 578
Scoping CCC in LAC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 579
Quality Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 580
Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 591
Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 591
Conclusion and Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 591
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 592
Abstract
Climate change communication (CCC) is a key aspect of the United Nations’
Action for Climate Empowerment (ACE) guidelines (UNESCO and UNFCCC,
Action for Climate Empowerment: Guidelines for accelerating solutions through
education, training and public awareness. UNESCO Publishing, 2016). CCC,
B. L. Chávez Cosamalón
Caritas Australia, Monitoring and Evaluating Climate Communication and Education (MECCE)
Project, Sydney, NSW, Australia
D. Posada (*)
Università degli Studi di Padova, The Monitoring and Evaluating Climate Communication and
Education (MECCE) Project, Padova, Italy
e-mail: diego.posadagonzalez@studenti.unipd.it
A. Benavot
School of Education/EPL Department, University at Albany-State University of New York, The
Monitoring and Evaluating Climate Communication and Education (MECCE) Project, Albany, NY,
USA

https://doi.org/10.1007/978-3-031-16017-2_78
574 B. L. Chávez Cosamalón et al.
which consists of public awareness, public participation, and public access to

information, is expected to ensure that citizens are informed about climate
challenges and risks, while fostering climate action and resilience. During the
past decade, policy interest and academic research in CCC have increased,
although most studies have been focusing on Global North contexts.
The lack of internationally comparable data around CCC, especially in the Global
South, weakens policy advocacy, undermines national and regional target-setting,
and impedes monitoring processes. While the prevalence, uneven quality, and lack of
comparability of relevant data are salient issues in many regions, they are especially
acute in Latin America and the Caribbean (LAC) (Eise et al., Climate change
communication research: a systematic review. SSRN Electron J, 2020).
In this chapter, findings from a systematic exploration of data availability and
quality regarding public awareness, public participation, and public access to
information regarding climate change among countries in the LAC region are
reported. More than 80 relevant datasets have been reviewed, most of which are
complete, although some are still in process. A small set of the most promising
data sources based on the following four criteria have been reviewed:
1. Validity: data collection has been peer-reviewed and, in the case of a survey,
refers to a nationally representative sample.
2. Temporal coverage: data refers to at least two points in time within
2015–2030.
3. Accessibility: disaggregated data is open and free to access.
4. Geographical coverage: the data covers at least 50% of the 197 UNFCCC
members and at least 1 LAC country
(Much of the analytical strategy employed in this chapter draws from a larger
and more comprehensive study, known as the Monitoring and Evaluating Climate
Communication and Education (MECCE) project (mecce.ca). MECCE is a
6-year partnership grant with core funding from the Social Sciences and Human-
ities Research Council of Canada and under the direction of Professor Marcia
McKenzie from the University of Saskatchewan and the University of Mel-
bourne. While the reported analyses are aligned with several MECCE project
objectives, they do not represent an official outcome of the MECCE project).
Overall, this chapter highlights major data gaps in climate change communi-
cation in Latin America and the Caribbean regions. Identifiable inequalities are
pointed out. Policy implications are highlighted especially if urgent steps are not
taken by national and regional authorities to remedy the current situation.
Keywords
Climate change communication · Systematic review · Data availability · Dataset ·
Action for Climate Empowerment or ACE · Latin America · LAC · Public
opinion · Inputs · Outputs · Outcomes · Monitoring and evaluation · Cognitive ·
Social/emotional · Public awareness · Public participation · Public access to
information
Climate Change Communication Efforts and Results in Latin America and. . . 575
Introduction
Planet Earth is undergoing significant changes due to the increase in greenhouse gas
emissions (Nolan et al. 2018). The effects of climate change, which include more
frequent extreme weather events such as heatwaves and storms, are already apparent
in every continent and impact not only human beings but also natural ecosystems
(AAAS 2014). Climate change is clearly undermining the long historical equilibrium
between human societies and the natural environment (Pecl et al. 2017).
Not surprisingly, research interest in climate-related topics has increased in
scientific and environmental fields, including social science fields like communica-
tion. In communication research, the term “climate change” has been the most
popular keyword in recent years (Comfort and Park 2018). Notably, within the
growing subfield of climate change communication (CCC), the three most popular
research topics are public knowledge of climate change, public belief in climate
change, and public action regarding climate change (Eise et al. 2020).
However, recent studies and reviews of CCC have mostly focused on Global North
settings (Koteyko and Atanasova 2016; Su et al. 2017; Eise et al. 2020), suggesting
that Africa, the Middle East, and Latin American and the Caribbean (LAC) are regions
most in need of further research. Overall, research has indicated that citizens in LAC
are considerably more concerned about climate change than those of other world
regions. Over 80% of citizens in LAC are aware that climate change is a serious threat
versus less than 50% in other regions of the world (Lee et al. 2015).
In this chapter, we explored this apparently weak scholarly focus of CCC in LAC,
especially regarding data availability for monitoring and evaluation purposes. Con-
sidering the interest in and impact of climate change in the region and the current
intergovernmental processes to address these issues, academia can and should
contribute to policy formation through transparent and accessible information
about the best approaches for capturing the status of CCC efforts and results.
This chapter also assesses the current availability of multicountry datasets to
support monitoring, reporting, and evaluation strategies of CCC in the LAC region.
Datasets were organized according to the three elements of the UN Framework
Convention on Climate Change (UNFCCC) Action for Climate Empowerment
(ACE) framework – namely, public awareness, public participation, and public
access to information.
This chapter begins by briefly reviewing relevant literature pertaining to CCC
both from a global and LAC perspectives. Then, it discusses the methods used to
examine CCC data availability in the LAC region. The main section reports the
quantity and quality of available data, identifies existing gaps in data coverage and
data variety in LAC, and, finally, considers key implications from these findings.
Data Availability Regarding CCC Efforts
This section introduces the study of CCC in the past 40 years, the methods used
when researching CCC efforts and results, examples of CCC measures and the
institutions leading the studies, as well as the significant geographical inequalities
in the study of CCC. In addition, it notes the working definitions of ACE elements
and discusses their broader relevance.
The Study of Climate Change Communication
Climate change communication has been studied since the 1980s, first within the
field of psychology and, later on, in other social sciences (Grundmann and Stehr
2010; Nerlich et al. 2010; Capstick et al. 2015; Fløttum 2017; Eise et al. 2020).
Review studies show that in the 1980s and 1990s, there was rising awareness about
climate change, which then turned into concerns in the early 2000s, triggering social
polarization and skepticism in the 2010s.
It is worth noting that most public communication about climate change happens
either through traditional media outlets or online. Journalists and editors are there-
fore considered the gatekeepers of an evolving CCC discourse in terms of the
approaches discussed, frames used, key actors, and a diversity of interpretations
(Post 2017).
Review of CCC Research Methods in Literature
Several methodological strategies have been used to study CCC. These include
case studies, surveys, manual and automated content analyses, discourse analy-
sis, visual research, and multi-method approaches. Discussions around climate
change adaptation and mitigation are subject to power struggles between differ-
ent social groups and worldviews (Burke et al. 2015). For instance, landowners
and indigenous communities often hold opposing perspectives regarding land
use. The coexistence and competition of opposing or contradictory discourses
involving climate change influence public opinion and policy formation. The
media is one of the main arenas where these discursive battles occur (Koteyko
and Atanasova 2016).
Studies based on content analysis tend to focus on topics such as climate change
coverage by the media across countries, developments over time, and how climate
change is depicted either in text or images (Metag 2017). The analysis of media
sources for climate-related content can either be automated or manual. Automated
analyses follow a two-step procedure in which the coding software is prepared by
human coders and then applied to large amounts of text or audiovisual corpora
(Metag 2017). For example, these include print media, television news broadcasts, or
online media. Dictionary approaches and text mining represent common strategies in
automated content analysis. Manual content analysis involves trained coders who
carefully read the texts to determine the prevalence and meaning of terms and
phrases. Each kind of content analysis can involve manifest or latent coding.
Manifest content analysis codes explicit, categorical, and observable content (Holsti
1969; Riffe et al. 2005), while latent content analysis requires an in-depth analysis of
nuances found in the texts (Post 2017). Several scholars prefer manual over auto-
mated coding, in order to better extrapolate nuances in the texts (Krippendorff 2012;
Sjøvaag and Stavelin 2012). However, the advent of more sophisticated software
may alter this preference going forward.
The three most prevalent analytical techniques are narrative analysis, framing
analysis, and frequency analysis (Metag 2017). In narrative analysis, the focus is
on the structure of texts where interpretative paradigms are followed (Wozniak
et al. 2015). Framing analysis explores what perspectives or features of climate
change are presented and prevail, whereas frequency analysis attempts to
count the number of news items or keywords over specific periods of time
(e.g., Asplund et al. 2013).
When conducting critical discourse analysis, key terms are identified, and either
their appearance is analyzed (Hammerstad and Boas 2015) or metaphor maps are
drafted (Ison et al. 2015). These evaluations aim at unraveling new storylines and
their advocates (Zannakis 2015; Metag 2017). Context is a fundamental aspect of
this type of analysis, particularly the “cognitive, social, historic, and cultural con-
texts” (Urquijo Reguera et al. 2015: 279), as well as issues regarding tone and
language (Boykoff 2008). Discourse analysis can be subdivided into two strands:
“Foucauldian” discourse analysis, which pays special attention to social issues, and
critical discourse analysis (CDA), which focuses on in-depth text analysis from a
linguistic perspective (Fairclough 2003).
Visual environmental communication research seeks to empirically explore how
visual images convey messages about the environment (Hansen 2017). Some studies
analyze how climate change is both verbally and visually communicated, while
others claim that the visual component is “a critical but frequently under-estimated
contributor to the social and cultural life of environmental issues” (Di Francesco and
Young 2011: 157). Studies find that NGOs and journalists have similar conceptions
of which images are powerful. By contrast, there were “no substantial similarities in
visual frame conceptions” between journalists and representatives of government
delegations (Wozniak et al. 2017: 13). Studies indicate that NGOs are significantly
more successful than governments in advancing evocative visual concepts in the
media, whereas the opposite occurs with spoken or written text (Hansen 2017). This
implies that the selection of visual components by NGOs is better aligned with the
values or desired effect of organizations (Hansen 2017).
The growing predominance of the Internet as a means of communication has led
to the development of new research methods that analyze how climate change is
communicated. For instance, these methods have been utilized to assess blogs
(Elgesem et al. 2015). To determine journalistic decisions, a popular analytic method
combines content analysis of official documents and news outlets (Post 2017). Some
studies use different algorithms to capture terms like “climate change” or “global
warming” on Twitter to determine whether people tend to connect extreme temper-
ature events to climate change (Kirilenko et al. 2015; Fløttum 2017).
Also, survey research is employed to keep track of global concerns about climate
change (Nisbet and Myers 2007). Large-scale survey research has shown that over
80% of citizens in Latin America and Africa are concerned about climate change
(Lee et al. 2015), a figure significantly higher than in other world regions. Some
surveys incorporate open-ended questions such as “What comes to mind when you
hear or read the words ‘climate change’?” Answers to these and similar questions
add nuance to the public discourse through a detailed linguistic analysis (Fløttum
2017).
Geographical Coverage and Regional Differences
CCC research has mainly focused on Global North contexts, especially in North
America and Europe (Schäfer and Schlichting 2014). For example, CCC studies are
disproportionately found in and about the USA (e.g., Boykoff and Boykoff 2004),
Canada (e.g., Ahchong and Dodds 2012; Young and Dugas 2012), and Australia
(e.g., Bacon and Nash 2012). Significant content analyses of CCC are also found in
several high-income, European countries (Metag 2017). Studies report that media
coverage in the Global North tends to depict climate change as an issue occurring in
faraway places and impacting others (Leiserowitz et al. 2013; Su et al. 2017).
A recent comprehensive analysis of CCC research found that out of 255 studies,
176 use data from Europe and North America and 81 from the rest of the world (Eise
et al. 2020). Few studies draw on information from Africa, Latin America and the
Caribbean, and the Middle East (Eise et al. 2020). Inequalities in Internet access may
account in part for the limited research of CCC in the Global South. That said, given
that many Global South countries and communities are hardest hit by climate
change, the dearth of studies focusing on these settings is a major limitation of the
existing CCC literature.
Action for Climate Empowerment
Action for Climate Empowerment (ACE) is a term adopted by the United Nations
Framework Convention on Climate Change (UNFCCC) to denote work under
Article 6 of the Convention (1992) and Article 12 of the Paris Agreement (2015).
The overarching goal of ACE is to empower all members of society to engage in
climate action, through education, training, public awareness, public participation,
public access to information, and international cooperation on these issues. This
chapter focused on three ACE elements – namely, public awareness, public access to
information, and public participation – within broader UNFCCC contexts. It was
beyond the scope of this chapter to discuss education, training, and international
cooperation.
Public awareness can be understood as outreach programs or activities that
employ targeted, systematic communications to the public (UNESCO and UNFCCC
2016). This type of activity may be developed by governments, NGOs,
intergovernmental organizations, or other entities. Public access to information is

defined as programs or activities that make information, data, and statistics available
to the public. Technologies such as databases and the Internet, often including
accessibility in multiple languages, help to facilitate this provision of information.
Public participation refers to the efforts to mobilize the public in climate mitigation
and adaptation activities and to integrate public perspectives in policy decision-
making, community action, or policy advocacy (UNESCO and UNFCCC 2016).
The UNFCCC (1992) defines climate change communication (CCC) as commu-
nication and public engagement efforts aimed at educating and informing the
national public, or specific audiences, about climate change and its impacts to
mobilize action to address it through mitigation, adaptation, impact reduction, and
early warning. The term CCC encompasses the three ACE elements noted above:
public awareness, public participation, and public access to information.
Effective climate communication would be expected to go beyond the simple
transfer of information on climate science and the like and include additional
learning dimensions – specifically, social and emotional, on the one hand, and
behavioral and action-oriented, on the other hand. Integrating cognitive, social and
emotional, and action approaches in a holistic fashion in the three ACE elements
would result in the strongest outcomes. Cognitive approaches enable learners to
develop knowledge of climate change, including its underlying anthropogenic and
biophysical causes, impacts, and potential solutions. Social and emotional
approaches highlight emotions, feelings, and dispositions toward climate change
and its impacts. In practice, this means creating learning experiences that enable
learners to collaborate more effectively, negotiate, and communicate with others to
address climate change challenges. For example, this would include self-reflection
skills, values, attitudes, and motivations that enable people to build their own
capacity for resilience in the face of climate change and its impacts. Lastly, action
or behavioral approaches seek to develop action competencies, including skills and
practices, individual and collective agency, and behavioral change to address climate
change and to minimize one’s own and collective climate impact (UNESCO and
UNFCCC 2016).
Scoping CCC in LAC
This scoping exercise consisted of two steps: first, searching for multicountry
datasets related to CCC and, second, selecting the most relevant for monitoring
and evaluation purposes based on multiple criteria (e.g., geographical scope, tem-
poral scope, accessibility, and validity). The search was conducted between June
2021 and January 2022 through the Google search engine. Given the wide scope of
this endeavor, several experts were initially consulted to provide a list of relevant
data sources (i.e., institutional websites, data repositories, and relevant academic
papers), from which to start the search. The search terms considered each ACE
element accompanied by “climate change” or “global warming.” Terms regarding
data types such as “survey,” “poll,” “time series,” and “database” were also applied.
The initial inclusion criteria considered existing multicountry (minimum five coun-
tries) datasets with at least national-level measures regarding climate change, public
awareness, public participation, or public access to information. This search yielded
43 datasets. In this work however, 1 additional criterion was added: the dataset had
to include data for at least 1 LAC country, which resulted in a total of 32 datasets.
The selected 32 datasets were classified according to their validity, temporal
scope, accessibility, geographical coverage, measurement level, associated dimen-
sion (cognitive, social/emotional, action/behavioral), and subject focus (climate
change vs. general environmental issues). The first four criteria are further described
under “quality index.”
Measures in the datasets were further classified by “measurement levels,” which
referred to (1) inputs, regarding the strength of national legal and institutional
frameworks surrounding CCC (e.g., policy documents, funding, strategic plans,
commitments); (2) outputs, concerning the level of implementation of CCC policies
or strategies; and (3) outcomes, focusing on CC public knowledge, skills, percep-
tions, attitudes, and behaviors such as objective and perceived knowledge, CC risk
awareness, emotional concern, interest in cooperating, trust in information, satisfac-
tion with national efforts, personal adoption of behaviors, and participation in
collective action.
Quality Index
To assess the extent to which available datasets can be used for monitoring and
evaluating CCC inputs, outputs, and outcomes, an index of data quality for monitoring
and evaluation purposes (hereafter referred to as “quality index”) was developed. This
quality index (QI) does not represent a general data quality assessment, but rather an
assessment of the potential use of existing data for monitoring and evaluation purposes.
Hence, the “best” datasets under this assessment were those that fulfil the aforemen-
tioned criteria for “credible and actionable evidence” (Donaldson 2015).
The QI combined the weighted scores assigned to each dataset in terms of
validity, temporal scope, accessibility, and geographical coverage. Table 1 illustrates
the rubric used to assign scores in a three-point scale. The scores were weighted to
reflect the importance of each criterion for CCC monitoring purposes. Validity was
given considerable weight, following the long-standing academic discussions
around the centrality of internal and external validity for social research and evalu-
ation objectives (Cronbach and Meehl 1955; Crooks et al. 1996; Garaway 1997;
Newton and Shaw 2016). To facilitate comparisons and visualization, QI values
were normalized, transforming original data points to a scale ranging from 0 to
1. Each dataset was assigned a value for each of the criteria and an overall value.
The quality index was used along the LAC geographical coverage in four-
quadrant matrices to assess datasets for monitoring and evaluation purposes in the
LAC region. Additionally, data availability maps were constructed to support the
assessment of the national availability of datasets in each of the LAC countries
according to ACE element and measurement level. The four-quadrant matrices were
Table 1 Criteria considered for the data quality index

Max.
Criteria Good (¼3) Fair (¼2) Poor (¼1) Weight score
Validity Adequate data Adequate data Data 70% 2.1
collection process, collection process, collection
peer-reviewed data peer-reviewed data process is
and analyses, or analyses, lower subject to
representative of external validity high risk of
either national bias
population or age
subgroup
Temporal Recurrent: data Recurrent: data One-off 20% 0.6
scope collection collection data
conducted more conducted twice in collection
than twice in the the 2015–2030
2015–2030 period period
Accessibility Respondent-level Access to Access only 5% 0.15
dataset open and aggregated data through
free only or payment
respondent-level
dataset upon
request
Geographical Covers 98 or more Covers 49 or more Covers less 5% 0.15
coverage countries – 50% of countries – 25% of than
197 UNFCCC 197 UNFCCC 49 countries
countries countries
Total 100% 3
Source: authors’ elaboration
developed in Microsoft Excel, and the choropleth maps were generated using
Datawrapper.
As previously mentioned, the scoping exercise focused on 32 multicountry
datasets with national-level data for at least 1 LAC country and at least 1 ACE
element. Most datasets referred to 1 aspect of public awareness (22 out of 32 or 69%)
or public participation (53%); fewer referred to public access to information (19%).
Over a third of the datasets were classified as useful for more than one ACE element,
as illustrated in Fig. 1.
Of the 32 datasets, 12 were judged to be of sufficient quality and geographical
coverage for monitoring purposes of CCC efforts and results in the LAC region.
Figures 2, 3, and 4 describe the classification and selection processes undertaken to
reach this result. First, for each ACE element, the datasets were plotted according to
their quality index and LAC coverage. Following this step, all datasets located in
quadrant I – top right corner – were considered for the selection set. Additionally,
datasets from quadrant II (top left corner) which have a high relative validity (0.75)
and covered at least 25% LAC countries were included.
The resulting selection referred to as “M&E selection” was composed of the
12 datasets (Table 2). Most of these (40%) were related to communication outcomes
such as the understanding of climate change as a serious problem or the participation
Fig. 1 Number of datasets

identified per ACE element.
(Source: authors’ elaboration)
Fig. 2 Public awareness datasets per LAC coverage and quality index. (Source: authors’
elaboration)
in environmental organizations. Only one-quarter of the 12 datasets depicted outputs

such as the quantity of climate change-related news articles or perceptions regarding
government efforts to protect the environment. Another quarter of the datasets
related to inputs such as financial aid allocated to climate communication efforts
or national commitments toward any of the three ACE elements. Table 2 summarizes
key information about each dataset.
In reference to the three learning dimensions (cognitive, social-emotional, and
action), 11 of the 12 datasets (92%) contained an explicit cognitive dimension such
as efforts to increase knowledge of climate change; 42% of the datasets contained
information relevant to a social-emotional dimension, such as the expression of
Fig. 3 Public participation datasets per LAC coverage and quality index. (Source: authors’
elaboration)
Fig. 4 Public access to information datasets per LAC coverage and quality index. (Source: authors’
elaboration)
feelings and motivations related to climate causes, effects, and actions. A similar
percentage of datasets (41%) referred to an action or behavioral aspect related to
CCC, such as citizen participation in assemblies around climate change mitigation,
or adaptation decisions.
Regarding the subject focus, 9 of the 12 datasets (75%) made explicit use of the
term “climate change” in their survey items or scales; only 3 datasets – namely, World
Values Survey, Gallup World Poll, and Escazú Agreement – took a wider approach,
Table 2 “M&E selected” datasets
584
Period
[rounds Next Measure. Learning Subject
Dataset ID Dataset name Description collected] data level dimension focus ACE element
DAC climate Climate Change: OECD quantitative report 2000–2019 2022 Input Cognitive, Climate Public
OECD DAC on bilateral and [20] action change participation
External multilateral climate-
Development related external
Finance Statistics development finance
flows at the activity level
Escazú Ag. United Nations Signatories of the 2018–2022 2022 Input Cognitive, Environ. Public
Treaty Collection Regional Agreement on social- issues participation,
Access to Information, emotional, access to
Public Participation and action information
Justice in Environmental
Matters in Latin America
and the Caribbean
Gallup World Gallup World Poll Gallup survey that polls 2005–2021 2022 Output Cognitive Environ. Public
Poll representative samples of [15] issues awareness,
households in a large public
sample of countries participation
(150+). Eligible
participants are aged
15 and above
LAPOP LAPOP Americas Vanderbilt University 2004–2021 2022 Outcome Cognitive Climate Public
Barometer periodic study of [8] change awareness
34 countries in the
Western Hemisphere. It
measures attitudes,
evaluations, experiences,
and behavior in voting age
adults in the Americas
B. L. Chávez Cosamalón et al.
Latinobarometro Latinobarometro Annual public opinion 1995–2020 2022 Outcome Cognitive, Climate Public
survey in 18 LAC [21] social- change awareness
countries, with nationally emotional
representative samples of
the population aged
18 and above
Levi Levi (2021) Study “Country-level 2016–2019 – Outcome Cognitive Climate Public
conditions like prosperity, [1] change awareness
democracy, and regulatory
culture predict individual
climate change belief”; it
analyzes the belief in
human-made climate
change in population aged
18 and above, in
2007–2010 (Gallup data)
and 2016–2019
(60 countries, data from
6 different surveys)
MeCCO Media and Climate Led by the University of 2004–2021 2022 Output Cognitive Climate Access to
Change Colorado Boulder among [57] change information
Observatory other institutions, MeCCO
(MeCCO) monitors the appearance
of “climate change” and
“global warming” in
127 sources (across
Climate Change Communication Efforts and Results in Latin America and. . .
newspapers, radio, and

TV) in 59 countries in
7 different regions of the
world
(continued)
585
Table 2 (continued)
586
Period
[rounds Next Measure. Learning Subject
Dataset ID Dataset name Description collected] data level dimension focus ACE element
OGP Open Government Data on the content and 2011–2022 2022 Input Action Climate Public
Partnership (OGP) performance for all OGP change participation,
Commitments commitments since 2011. access to
The information is derived information
from OGP action plans
and reporting from the
Independent Reporting
Mechanism (IRM)
PISA Programme for Recurrent assessment 2000–2021 2024 Outcome Cognitive Climate Public
International instrument that measures [7] change awareness
Student 15-year-olds’ ability to
Assessment use their reading,
mathematics and science
knowledge, and skills to
meet real-life challenges
WHO WHO Health and Conducted every 3 years, 2017–2021 2023 Output Cognitive, Climate Public
Climate Change this survey tracks global [2] social- change awareness,
country survey progress on health and emotional, public
climate change issues. action participation
National data are
constructed by surveying
ministries of health as well
as other health
stakeholders and
ministries
B. L. Chávez Cosamalón et al.
World Risk Poll The Lloyd’s Implemented by Gallup, 2019–2021 2023 Outcome Cognitive, Climate Public
Register this survey targets [2] social- change awareness,
Foundation (LRF) nationally representative emotional (P.A.) and public
World Risk Poll samples of the population environ. participation
aged 15 and above and Issues (P.P.)
covers the biggest risks
faced globally (e.g., risks
for women, safety of food,
workplace injury and
harassment, climate
change, online safety)
World Values World Values International research 1981–2020 2022 Outcome Cognitive, Environ. Public
Survey Survey program devoted to the [7] social- issues awareness,
study of social, political, emotional, public
economic, religious, and action participation
cultural values of people.
The recurrent
multicountry survey
targets people aged 18 and
above
Source: authors’ elaboration
Climate Change Communication Efforts and Results in Latin America and. . .
587
addressing environmental issues or environmental activism. It is worth noting that

during the search phase, these three datasets were identified in academic papers as
having an explicit climate change element and, thus, were included in the initial
identification of CCC datasets. In fact, the items were used as proxies for CCC matters.
To assess the monitoring potential of the 12 datasets, the frequency of data
collection points was considered. Ninety percent of the selected datasets qualified
as pseudo-panel data, since they recorded nationally representative values, at a
minimum of two time points during the 2015–2030 period, with the exception of
the Levi (2021) study, which was cross-sectional. Half of the 12 datasets were
committed to updating national values on an annual basis.
Six of the 12 datasets were classified as useful for more than 1 ACE element (see
last column of Table 2). Out of the eight public awareness datasets, four were also
relevant for public participation, whereas out of the seven public participation
datasets, two were also relevant for public access to information.
Figure 5 summarizes the number of datasets available per ACE element for each
LAC country. Argentina, Brazil, Colombia, and Peru were included in all datasets
that contain a public awareness, public participation, and public access to informa-
tion element. Countries in the Caribbean had the least available information on the
three ACE elements, except for the Dominican Republic, which was among the
upper half of countries regarding data availability.
Public participation was the most prominent ACE element, covered in at least one
dataset in every country, while public awareness was covered in all but two coun-
tries. Public access to information was the least prominent element and was absent in
several countries in the Caribbean.
Figure 6 mapped data availability regarding the 12 selected datasets according to
ACE element and measurement level (inputs, outputs, and outcomes). The choropleth
graph presents nine maps with countries colored according to dataset availability. The
dark blue color refers to when there were at least two datasets concerning a specific
intersection of ACE element and measurement level, light blue when there was one
dataset at such an intersection, and orange when there was no available dataset. The
main gaps found were regarding input measures of public awareness (e.g., policy
documents, funding, strategic plans, commitments) and outcome measures of public
access to information (e.g., climate change information access and use from the user
perspective). Output data on public participation (e.g., implementation of participatory
processes for climate decisions and action) and public access to information (e.g.,
implementation of access to information strategies) was also scarce.
The following five intersections had the greatest data availability:
1. Public awareness outcomes, including data on the perception of climate change as

a serious threat and general climate change knowledge from LAPOP,
Latinobarometro, Levi, PISA, World Risk Poll, and World Values Survey.
2. Public awareness outputs, including Gallup World Poll’s data on satisfaction with
government efforts to protect the environment and WHO’s data on government-
run climate change campaigns.
Fig. 5 Number of “M&E selected” datasets available per ACE element for each LAC country.
Please note that some datasets account for more than one ACE element. (Source: authors’
elaboration)
3. Public participation inputs, including climate finance data related to citizen

participation from the OECD DAC database and government commitment data
from the Open Government Partnership (OGP) and the Escazú Agreement.
Fig. 6 LAC maps according to data availability, per ACE element and measurement level. (Source:
authors’ elaboration)
4. Public participation outcomes, including the World Risk Poll’s data on disaster
preparedness and the World Values Survey data on environmental activism.
5. Public access to information inputs, again including data on government com-
mitments from the OGP and the Escazú Agreement.
Discussion
This scoping exercise clearly showed that even though there were more than
30 datasets with CCC information on countries in LAC, only 12 datasets were
assessed as sufficient for monitoring and evaluation purposes.
Datasets focused on outcomes (rather than inputs or outputs) were the most
prominent and tended to cover all three learning dimensions (cognitive, social and
emotional, and behavioral – action). That said, no single dataset covered all three
dimensions. The most prominent dimension was the cognitive one, which aligns
with findings from studies on climate change education (UNESCO 2021).
From a monitoring perspective, even though many datasets included data at more
than one time point, only half of them would have been useful to monitor CCC
changes on an annual basis. Given that public views of climate change appear to be
shifting rather quickly, the ability to regularly track dispositional changes over time
would be key to effective policy planning and implementation.
Overall, existing datasets poorly captured ACE elements for Caribbean countries
and small island states. This is particularly the case in relation to public access to
information. In South America, ACE-related data were more prevalent for countries
like Peru, Argentina, Brazil, and Colombia as compared to Venezuela, Guyana, and
Suriname. Interestingly, these data gaps did not respond to differences in population
or population density, since countries like Haiti and Cuba were also included in few
datasets, whereas a low population country like Uruguay was included in 10 out of
the 12 datasets. Few databases focused on inputs for public awareness and outcomes
for public access to information.
Limitations
This exercise entails several limitations. First, the validity of specific items within
each dataset was not analyzed. This would be a necessary step before utilizing
specific items in the datasets. Second, only datasets with national data were included
in the exercise. This excludes some relevant datasets that report aggregated regional
data in LAC such as UNICEF’s “Esfuércese más” study or the climate change survey
carried out by Statsknow. Finally, the work presented here would be difficult to
replicate since the starting point was expert input on datasets from which additional
datasets were identified as part of a snowball-like sample.
Conclusion and Recommendations
This chapter explored data availability and quality regarding three ACE elements
within climate change communication among countries in the LAC region. From an
initial sample of 80 datasets, 32 multicountry datasets were identified with national-
level data for at least 1 LAC country and addressing at least 1 of 3 ACE elements of
interest – public awareness, public participation, and public access to information.
Then, using a composite index of dataset quality, a final sample of 12 datasets was
selected for further analysis.
This scoping exercise has clearly shown that, despite the availability of consid-
erable information regarding climate change communication in the LAC region, in
most cases the data are of insufficient quality for monitoring and evaluation pur-
poses. In addition, clear evidence of data gaps and inequalities within the LAC
region was uncovered. Higher-income LAC countries – for example, Argentina,
Brazil, and Peru – had more and better-quality CCC data than other countries within
the region. There is a dearth of datasets with relevant information on Caribbean
countries, even though the effects of climate change are quickly spiraling out of
control for many small island nations.
Overall, more quality and holistic data on CCC is sorely needed in the region.
This emerged as a major finding of this scoping exercise. This is especially notable in
reference to data on CCC inputs and outputs. Given the plethora of methods being
used to track CCC in other world regions, LAC decision-makers should take note of
existing innovative methodological approaches to improve the quantity and quality
of CCC data. A crucial element is data objectivity, and therefore, more “objective”
measurements or subsequent external data verification steps should be given prefer-
ence in future studies.
While the need for improvements in the quantity and quality of CCC data for
monitoring purposes can be found in many regions, this chapter focused on the status
of data availability in the LAC region and highlighted major data gaps, especially
between high- and low-income countries. Even though the carbon footprint of
low-income and small island countries is modest, the effects of climate change
loom large and underscore the importance of innovative interventions and initiatives,
whose impact is carefully tracked, when using robust data sources. National author-
ities and development partners should prioritize funds for climate-related data
collection at both the national and regional levels.
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Climate Change Education at First
Sustainable Public School: Case Study
Diego Posada
Contents
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 596
Uruguayan Educational Context and School No. 294 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 597
Research Aims and Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 599
Theoretical Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 600
Climate Change Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 601
International Perspectives on Climate Change Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 603
Transformative Education for Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 604
Challenges for Climate Change Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 604
Policy Enactment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 606
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 606
Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 607
Theory of Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 608
Transformative Education: Enablers and Barriers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 609
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 617
Further Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 618
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 619
Abstract
This chapter focuses on the enablers and barriers to climate change education
(CCE) in the first sustainable and self-sufficient public school in Latin America:
School No. 294 in Jaureguiberry, Uruguay. Furthermore, this research studied
how the CCE policies and practices carried out in the school have been
interpreted by the school community. Data was collected through interviews
and document analysis; 17 participants took part in this case study, and
D. Posada (*)
Università degli Studi di Padova, The Monitoring and Evaluating Climate Communication and
Education (MECCE) Project, Padova, Italy
e-mail: diego.posadagonzalez@studenti.unipd.it

https://doi.org/10.1007/978-3-031-16017-2_53
596 D. Posada
6 documents were analyzed. The semistructured online interviews were

conducted between November 2020 and March 2021.
The active and sustainability-oriented educational approach was defined as
transformative education for sustainability and a Theory of Change for the school
project was developed. Findings include a review of enablers and barriers to
transformative education for sustainability using Ball’s four contextual dimen-
sions for policy enactment as a lens. This analysis indicates that the community
has had a mixed reception to the CCE policies and practices. For instance, at the
start of the school project in 2016, only 15% of families had an organic vegetable
garden at home, whereas in 2019, 80% of families did. On the other hand, only a
few members of the community actively participate and support school activities.
Moreover, there have been tensions in the school community due to different
expectations and reactions to CCE policies and practices. The findings presented
in this chapter highlight the importance of the support from the community and
authorities for CCE projects.
Keywords
Climate change education · Sustainability · Teaching-learning practices ·
Transformative education · Global South · Sustainable school · Case study ·
SDG 4.7 · Uruguay
Background
Climate change is the defining issue of our time. In today’s global society, it is a
challenge that must be tackled from a wide range of angles, including education.
Educating the youth to lead more sustainable lifestyles and in harmony with nature
are central pillars of the social and economic changes that must be undergone in the
upcoming years in order to not surpass the 1.5 C increase in global temperature, as
urged by the Intergovernmental Panel on Climate Change (IPCC 2019). The UN
Tbilisi conference in 1977 was the first international conference focused on the
interconnection of environmental issues and education (UNESCO 1997). Since then,
the 1992 UN Framework Convention, the 2015 Sustainable Development Goals and
Paris Agreement, have highlighted the crucial role education plays in environmental
challenges (Hargis and McKenzie 2020). There has been an increase in public
awareness toward the climate crisis and the relation between sustainability and
education. This link has become crucial not only for scholars and international
organizations, but other key actors such as the general public, governments, and
civil society organizations.
The relationship between human development, education, and environmental
impact is complex. People with high educational achievements are more likely to
have a larger carbon footprint, which is harmful to local and global ecosystems. This
is often due to an overall higher consumption of goods, food and water waste, as well
as high greenhouse gas (GHG) emissions as a result of regular use of cars and
Climate Change Education at First Sustainable Public School: Case Study 597
airplanes (Wals and Benavot 2017). Conversely, access to environmental education

and knowledge about climate change and ecology has promoted behavioral change
toward reducing waste and energy use, selecting less carbon-intensive methods of
transport if possible, and recycling. This implies that some types of education prove
to be effective in increasing care for the environment at the local and global levels
(Wals and Benavot 2017).
In this context, this case study focuses on climate change education (CCE) at
School No. 294 in Jaureguiberry, Uruguay. The school is better known as “Escuela
Sustentable” (Sustainable School), and it is internationally renowned for being the
first sustainable and self-sufficient public school in Latin America (IADB 2020; Una
Escuela Sustentable 2021). In this chapter, the Uruguayan educational system and
Public School No. 294 are briefly described. Then, the research questions and aims
are presented. That section is followed by current academic discussions regarding
CCE, international perspectives about CCE, transformative education, and chal-
lenges for these types of pedagogical approaches. Next, Ball’s policy enactment
theory is discussed and briefly contextualized for this case. This is followed by a
short description of the research methodology. Then, findings are presented in two
sections:
(a) Theory of Change (ToC)

(b) Enablers and barriers to transformative education
Finally, the findings are summarized in the conclusion and further research is
recommended.
Uruguayan Educational Context and School No. 294
Uruguay has a highly centralized educational system. ANEP (National Public

Education Administration) is the governing body for both administrative and ped-
agogical decisions (Santiago et al. 2016a) for over 2000 public schools that cater to
300,000 children aged 6–12 (INEEd 2021a). Approximately 50% of public schools
are categorized under “rural schools” (Santiago et al. 2016a). Common features
among rural schools are that they often have fewer students enrolled than urban
schools, they are located outside of cities – sometimes in remote areas –, have small
educational teams – sometimes a single teacher/director – and therefore, the multi-
grade system is common practice (ANEP-CEIP 2013).
Uruguay has achieved universal coverage at the primary school level (INEEd
2021b). Unfortunately, educational attainment and equity are still a challenge both at
primary and secondary levels. There is significant inequity in terms of student
attainment based on socioeconomic context (INEEd 2019, 2021c). Furthermore,
both PISA and TERCE (Third Regional Comparative Study) results have shown that
Uruguay ranks high among countries in which there is a strong correlation between
educational achievement and socioeconomic context (Vazquez 2016). Moreover,
598 D. Posada
one of the main challenges the national educational system faces is the low atten-
dance and completion rates at the upper-secondary levels (Santiago et al. 2016b).
School No. 294 is located in Jaureguiberry, a small coastal town 70 km East of
Montevideo. It was inaugurated in 2016 and has a pedagogical focus on CCE and
sustainability (Una Escuela Sustentable 2021). It is a rural school that hosts approx-
imately 80 students from a lower-middle socioeconomic background. As with most
rural schools in Uruguay, it is structured by a multigrade system in which educators
teach two or more grades simultaneously (ANEP-CEIP 2013). The educational team
consists of the Headteacher, two primary school teachers, one preschool teacher, and
a school inspector. Moreover, they are supported by a Vegetable Garden Expert and
volunteers from Tagma, the NGO that built the school. School No. 294 has been
internationally renowned for being the first sustainable and self-sufficient public
school in Latin America (IADB 2020; Una Escuela Sustentable 2021). The school
has received significant media and public attention over the past years and is the first
of a growing network of schools of similar characteristics built by the NGO Tagma
in Latin America – in Argentina, Chile, and Colombia (Una Escuela Sustentable
2021) (Fig. 1).
The school was built by applying biotecture techniques; 60% of the materials
were recycled items such as plastic, tires, and glass, the energy grid relies on solar
energy, and water is harvested for regular use and irrigation. The school was
designed by applying the following six biotecture principles (Earthship Biotecture
2021; Una Escuela Sustentable 2021):
– Building with natural and recycled materials

– Passive thermal/solar heating and cooling
– Food production
– Solar electricity
Fig. 1 School No. 294 in Jaureguiberry, Uruguay. (Source: Courtesy of NGO Tagma)
– Water harvesting
– Contained sewage treatment
Despite its relative fame, there has only been one study carried out in 2016 shortly
after the school opened, which focused on school practices. The findings of that
research were the following: the community had struggled to have a school built in
their locality, how the uniqueness of the building had influenced how knowledge is
conceptualized, drawn attention from the media and the general public, and how the
community inhabits this peculiar building (Milstein et al. 2016). For the purpose of
this research, six school documents were analyzed. Within those, it is worth
highlighting the Institutional Project, in which the vision, objectives, and educational
activities are presented. The document first describes the objectives of the project,
which include:
– Becoming aware of the surrounding natural environment, its importance, beauty,

and conservation
– Getting to know, study, enjoy, and protect the surrounding natural environment
– Learning about the importance of the soil, how to look after it, and its role in
sustainable food production
– Analyzing and studying manifestations of human intervention in their
surroundings
– Adopting an everyday behavior that aims at defending and recovering the eco-
logical balance
– Learning about climate change, its consequences, and possible actions to
undertake
The institutional document lists strategies and activities that prioritize climate
change and the environment as cross-curricular priorities and provides concrete
examples of integration of these in all subjects. Importantly, the policies outlined
in the institutional project align with research that has found that having school
objectives and a whole institution approach in which climate change and sustain-
ability are priorities are key for CCE projects (Hargis and McKenzie 2020).
Research Aims and Questions
The aim of this research is to investigate how actors within the school community
have perceived and adopted the CCE policies and practices carried out in the school.
The research questions were:
RQ1: How have the educational team, students, and parents interpreted the CCE
policies of the school and how did they react to these policies in their own
practice?
RQ2: What personal and contextual circumstances can explain the different inter-
pretations and reactions to the CCE policy among the school community?
600 D. Posada
Data was collected through semistructured in-depth interviews with 17 partici-

pants and document analysis. The participants were the educational team –
Headteacher, teacher, and educators – parents, students, and education experts.
This qualitative case study can be framed as an empirical attempt to study a
phenomenon that has several more variables than data points (Yin 2018), and
therefore, its design, methods, and data analysis are guided by theory (Yin 2018).
More specifically, this chapter aims at providing evidence to understand how the
educational community perceives the CCE policies and practices present in the
school and how they have reacted to them since the school project started in 2016.
Theoretical Framework
In this section, relevant literature for this chapter is summarized. This includes
definitions and ongoing discussions around the Sustainable Development Goals
(SDGs) and education, international perspectives on CCE, transformative education
for sustainability, challenges for CCE, and the relevance of contexts in policy
enactment.
The SDGs, in theory, provide a substantial framework to support the role of
education as an enabler to sustainable development. SDG 4 focuses on achieving
quality education and SDG 13 on climate action. Within SDG 4, target 4.7 aims at
ensuring that students have the “knowledge and skills needed to promote sustainable
development” (IBE 2016: 3). Moreover, target 13.3 refers explicitly to CCE and 12.8
to providing access to information about sustainable development. Indicators 4.7.1,
12.8.1, and 13.3.1 aim to measure “the extent to which (i) global citizenship
education and (ii) education for sustainable development are mainstreamed in
(a) national education policies; (b) curricula; (c) teacher education and (d) student
assessment” (UNESCO 2017). Even though these indicators seem to provide bench-
marks, there has been considerable debate regarding how to define “global citizen-
ship education” (GCE) or “education for sustainable development” (ESD).
Moreover, how these are integrated into education policies or curricula, and how
we measure such process, is also not clear.
More importantly, these targets have an underlying assumption that integrating
ESD or GCE in education would necessarily have a positive impact toward SDG
13, hence alleviating the effects of climate change. Even though improving educa-
tional conditions could potentially lead to mitigating climate change, that is not
necessarily true. The correlation between higher GHG emissions per capita and high
GDP countries is well documented (Friedlingstein et al. 2021). Similarly, high GDP
countries lead in terms of educational indicators for literacy and numeracy, as well as
near-universal primary and lower secondary completion rates (OECD 2019). How-
ever, when it comes to climate action, studies have shown that very few countries
with high educational rates have had sufficient commitments based on the Intergov-
ernmental Panel on Climate Change (IPCC) targets to limit the temperature increase
below 2 C (Van Vuuren et al.; Houghton 2015; Komatsu et al. 2020). This would
not only question the assumption that high education rates, per se, would guarantee
an increase in climate action and reduction of GHG emissions but would also
encourage reconsidering how education, and what types of education, might foster
climate action. Some authors argue that how we currently structure our education
systems, policies, and curricula may be part of the causes of climate change
(Komatsu et al. 2020).
If knowledge and skills are not sufficient for people to act toward environmental
sustainability, cultural aspects such as behavior, attitudes, and values should be
included in the educational equation (Wulff 2020). Some argue that these are the
key aspects of CCE instead of knowledge about climate change. CCE tends to be
conceptualized within citizenship education, or rather global citizenship education.
The multiple conceptualizations of “global citizens” tend to be based on Western
ideals and neoliberalism (Jickling and Wals 2008; Mannion et al. 2011; Ideland and
Malmberg 2014; Bengtsson and Östman 2016). Therefore, experiences and perspec-
tives from different contexts in the Global South are particularly relevant when
dealing with CCE. It is vital to align education policies and practices with sustain-
ability objectives that are relevant at the local level. This includes reorientating our
teaching and learning methods to tackle the climate emergency. Nonetheless, there is
little consensus about what CCE should look like, how it should be provided, and
how to adapt pedagogical practices to ensure its effectiveness (Reid 2019).
Climate Change Education
Since the UN Tbilisi Conference in 1977, education has been considered a crucial
element in order to confront environmental issues (UNESCO 1997). Environmental
education (EE) was, until then, the main movement within education to promote
environmental respect and biodiversity conservation. Since then, the concepts of
ESD and CCE have emerged and taken a central role in academic and public circles.
Even though these concepts are tightly intertwined, there is ongoing debate about
how to define them. The conceptualization of EE, ESD, and CCE is constantly being
redefined depending on the context in which they are being used (Blum et al. 2013).
CCE can be defined as education that “helps develop an adequate response to
climate change, increase public awareness and resilience, and empower people to
change their attitudes and behaviours in order to adopt a more sustainable lifestyle”
(UNESCO 2015; Goritz et al. 2019: 2). CCE has mostly focused on scientific facts
about climate change, which is based on the premise that higher climate change
literacy translates into beliefs and sustainability-oriented actions (Hargis and
McKenzie 2020). However, studies have shown that the relationship between
knowledge and actions is not straightforward when it comes to complex issues
such as climate change (Lee et al. 2015; Hornsey et al. 2016). Evidence suggests
that effective CCE should focus on social and emotional aspects, rather than on
cognitive ones (Brownlee et al. 2013; Hargis and McKenzie 2020; Rousell and
Cutter-Mackenzie-Knowles 2020). Recent research suggests that CCE could empha-
size the four learning dimensions shown in Fig. 2 (Hargis and McKenzie 2020).
602 D. Posada
Fig. 2 Four dimensions of

CCE. (Adapted from Hargis
and McKenzie 2020)
The cognitive dimension focuses on scientific knowledge and developing critical

thinking skills such as media literacy, questioning the status quo, and discerning fake
news. As students learn more about climate change, they are prone to suffer from
eco-anxiety (Doherty and Clayton 2011; Wynes and Nicholas 2019), a sense of
hopelessness, and guilt (Hargis and McKenzie 2020). Comprehensive CCE should
provide students with tools to tackle these socio-psychological challenges, offer
tangible answers, and reinforce the fact that meaningful climate action is occurring
(Hargis and McKenzie 2020). The justice-focused dimension is oriented toward
racial and social inequities such as climate (in)justice regarding climate change and
its effects. These are ethical and political issues that can be linked to globalization,
indigenous knowledge and rights, decolonization, and eco-feminism. Finally, the
action-oriented dimension focuses on the importance of participatory and place-
based pedagogy, and community action (Hargis and McKenzie 2020).
Whole-school approaches in which CCE is a lens for all areas of knowledge,
activities, functioning, and governance have been found to be an effective method
(UNESCO 2016; Hargis and McKenzie 2020). This includes prioritizing sustain-
ability and climate change across the curriculum, incorporating sustainability into
school policies, and inviting local experts to participate in school activities (Hargis
and McKenzie 2020). Monroe et al. (2019) argue that CCE approaches that appear to
be more effective have two main characteristics: they make information personalized
and meaningful, and are designed to engage learners. However, evidence shows that
there does not seem to be a multidisciplinary approach from different social and
scientific perspectives when tackling climate change in schools (Monroe et al. 2019).
Schweizer et al. (2013) have emphasized the importance of place for CCE and
educators, whereas Howell and Allen (2019) highlight life experiences that can
shape climate change educators and their values. CCE must be place-based and
respond through affective connections to local beliefs and attitudes in specific
contexts rather than on climate change knowledge (Rousell and Cutter-Mackenzie-

Knowles 2020). These types of emotionally driven educational interactions can
include storytelling, time-lapse local photography, and interaction with local eco-
logical systems (Rousell and Cutter-Mackenzie-Knowles 2020). Other related topics
are if and how to adapt curriculums to local conditions and needs (Peñalba et al.
2012; Chang and Pascua 2017) as well as how to foster subjective CCE that enables
actions (Biesta 2013).
There is increasing public pressure on educators and on their role to contribute to
the solutions to the climate crisis (Reid 2019). It is important to note that research has
shown that more environmental knowledge on its own does not necessarily translate
into attitudes or behavior (Dijkstra and Goedhart 2012; Wibeck 2014). Also, if and
how environmental literacy can be measured is contested in the academic literature;
there is no consensus on instruments that measure and monitor CCE at the interna-
tional level (Bogliaccini 2018).
International Perspectives on Climate Change Education
Climate change is not a scientific problem, but rather a social and economic one.
Teaching students about such a complex and politicized topic, and how to be critical
thinkers is not neutral and neither is the wider context (Perkins et al. 2018). It is
therefore relevant to understand why certain actors embrace one perspective or
another, the values or ideas that drive them, and the challenges and opportunities
to translate these ideas into practice in different contexts. CCE content has been
reported by 95% of the 194 reporting countries in one or more of their country
submissions to the UNFCCC Secretariat in 2018 (UNESCO 2019). However, there
is little scientific evidence of what the nature of that content is and the intended
learning outcomes (Reid 2019). Moreover, there is no agreement about who should
be responsible for providing CCE, how to make sure that it is effective, and how to
assess it (Reid 2019).
From a teaching and learning perspective, it is important to try to define what
types of pedagogical approaches can be considered useful for CCE. Perkins et al.
(2018) have classified International perspectives on CCE pedagogy into five com-
plementary visions:
1. Teaching science in a way that acknowledges that scientific knowledge is com-

plex and nuanced
2. Pedagogies that focus on climate change data, myths, and debates
3. Taking an approach that welcomes critical inquiry and engaging with global
perspectives
4. Focusing on student-centered pedagogies that are transformative and lead to a
climate change curriculum
5. Fostering student-centered participation in researching and mitigating climate
change
604 D. Posada
These visions have common features: promoting critical thinking, project-based

learning, experimentation, cross-cultural knowledge and experiences, and tackling
skepticism. These are characteristics that can be attributed to constructivism and
inquiry-based learning since they encourage students to be active participants in
developing meaning and knowledge instead of solely being recipients of information
(Woollard and Pritchard 2010).
Transformative Education for Sustainability
“Transformative education for sustainability” aims at educating citizens toward

environmental and social justice issues and provide them with tools to act (Laininen
2019). This type of education tends to promote learning by doing, collaboration,
participation, and transformation in nature (Laininen 2019). In some cases, it can
involve questioning not only how humans live but also production and consumption
systems, local eco-social problems and how they relate to global issues, as well as
carrying out action and awareness campaigns, all of which can be both instrumental
and emancipatory.
Transformative education for sustainability can be defined as learning processes
that change the relationship between human beings and nature, well-being, and how
the economy and politics are understood in our daily lives (Laininen 2019). One of
its key objectives is to harmonize the natural environment with communities that
lead sustainable lifestyles (Cook 2019). Transformative learning could contribute
toward a “cultural transformation into a sustainable society and world” (Laininen
2019: 180). This type of education promotes active participation of all actors within
school communities, empowering students as change agents, incorporating skills
and sustainable practices in school routine, and fostering the role of the school as a
force of cultural transformation toward sustainability (Laininen 2019; Hargis et al.
2021). In this context, schools must act as they teach; school practices should
showcase different aspects of sustainability and encourage students to lead sustain-
able lifestyles as part of their school routine (Laininen 2019). Transformative
education for sustainability requires student enquiry and participation in decision-
making processes. Merely promoting sustainable lifestyles is not an ambitious
enough target for this type of education (Cook 2019). The role of individuals in
creating change in their own lives, their families, and in their communities must be
fostered (Laininen 2019).
Challenges for Climate Change Education
As mentioned above, When it comes to climate change, knowledge does not

necessarily result in action. There are psychological and socioecological processes
that take place and determine how learners – and school actors – interpret and react
to climate change. Effective teaching on social and scientific issues such as climate
change requires educators to have a clear grasp of learners’ previous beliefs and
assumptions (Sadler et al. 2004). Psychologists have claimed that what individuals
think about environmental issues does not reflect their knowledge of the topic but
rather their identity (Perkins et al. 2018).
Individuals have different strategies to protect their beliefs from new information
that contradicts them. For instance, motivated reasoning occurs when individuals
build biased arguments in order to come to a personally favored conclusion even if it
defies logic and science (Perkins et al. 2018). This is a challenging phenomenon
when dealing with CCE. How can a scientific-based CCE perspective be provided to
a learner whose mind has already been made up and is not open to listening to
scientific evidence that contradicts their beliefs? Furthermore, it is likely that those
young learners’ opinions are an interpretation of what they have learnt at home.
Therefore, the child’s mind could become a battleground for two – or more –
opposing climate change perspectives. Other significant psychological challenges
are cognitive biases. These can impact how a person processes information (Perkins
et al. 2018). Bias “involves retrospective distortions and unconscious influences that
are related to current knowledge and beliefs” (Schacter 1999: 183). Bias refers to the
distortion of our memories by our present knowledge, feelings, or beliefs (Schacter
1999).
In theory, there should be a constant flux and adjustment between our previous
beliefs and new information. Previous beliefs should serve as an anchor to assess
new information and if that new information contradicts beliefs and is trustworthy
and credible, previous beliefs should be adjusted accordingly (Perkins et al. 2018).
However, individuals tend to adjust the new piece of information to fit their previous
beliefs, and not otherwise (Kunda 1990; Sadler et al. 2004). This phenomenon is
referred to as “confirmation bias” (Wason 1960). People are inclined to interpret and
assess information in a way that validates their prior beliefs (Wason 1960). This has
been documented in science classrooms by Roth and Anderson (1988), who con-
cluded that learners dismissed texts that contradicted their prior beliefs.
Research has shown that feelings are an important driver of our biases (Zajonc
1980). Abelson (1963) coined the term “hot cognition,” which suggests that the
thinking process is permeated by emotions and feelings that arise within millisec-
onds of the introduction of new information. These emotions can be blinding and
restrict our ability to reason objectively (Perkins et al. 2018). In a classroom setting,
this could translate into a learner making up their mind about climate change – or
having already done so previously – and be unlikely to change their minds due to the
strong emotions connected to their initial evaluation (Perkins et al. 2018). This is
particularly relevant for educators, who are asked to tackle a complex socio-
scientific problem like climate change while, in some cases, navigating a highly
polarized political climate.
In short, learners’ personal prior beliefs, assumptions, and biases can pose major
challenges to CCE. Once learners have made up their minds about climate change, it
is challenging for them to accept new information that contradicts their beliefs.
606 D. Posada
Policy Enactment
Policy enactment is localized in nature. Policies do not dictate what to do but rather
construct the circumstances that reduce or modify the available options, or set
specific goals (Ball 1994). Ball et al. (2011) argue that policies are profoundly
shaped and framed by school context. Schools have different capabilities for coping
with policy and creating their own response to it. Schools have their own culture,
ethos, and contexts, which set their limits, and therefore create their own version of a
policy (Ball et al. 2011). Policy enactment necessarily encompasses a creative
process of recontextualizing a written, sometimes abstract, policy into practices
that can be carried out in the school (Ball et al. 2011). The educational team are
recognized as both agents and subject in policy enactment (Ball et al. 2011). They
are agents in the sense that educators are the ones who not only set policies but are
also responsible for enabling them. However, they are subjects because, simulta-
neously, any school policy will undoubtedly affect their work. Furthermore, there are
institutional factors that shape how policies are both interpreted and enacted (Ball
et al. 2011).
Context is key in policy enactment; context can promote or block policy pro-
cesses and is constantly constructed from within and out (Ball et al. 2011). Ball et al.
(2011) recognize four contextual dimensions: situated, professional, material, and
external. Situated contexts are the location, the school history, and student intake, all
of which are intertwined. Professional contexts refer to teachers’ professional devel-
opment, expectations, commitments, and values (Ball et al. 2011). Material contexts
are the infrastructure, the budget, building, available technology, and the level of
staffing (Ball et al. 2011). Even though this context will not be the focus of this
chapter, it is worth noting that it is a key context to be taken into account in this
particular case. The school was built following biotecture methods and therefore has
a nontraditional look and functionality. Finally, external contexts entail support from
the authorities, and expectations or pressure from other institutions or entities (Ball
et al. 2011). These four contexts are interconnected, and each plays a fundamental
role in policy enactments in the school (Ball et al. 2011).
Methodology
Data was collected through semistructured online interviews and document analysis.
It is worth noting that lesson observations were originally planned but had to be
canceled due to restrictions related to COVID-19. This chapter emphasizes the role
of subjectivity and relies on verbal data and interpretation (Hammersley 2013). The
research questions are broad and open-ended, and data offers a rich and complex
description of a real-life social phenomenon (Perkins et al. 2018). Qualitative
research approaches have been deemed well-suited to investigate sustainability
and CCE due to their rich and complex nature and data (Perkins et al. 2018).
Fourteen interviews were conducted. The main themes of the interviews were
(1) the school, (2) CCE practices at the school, and (3) sustainability and climate
change. These themes were selected in order to obtain a nuanced understanding of
respondents’ opinion regarding school policies and practices regarding CCE. The
total number of participants was N ¼ 17: six parents, five members of the educa-
tional team, two students, one national educational expert, and three international
CCE experts were interviewed. These last four experts were interviewed in order to
contextualize the school within the education system and key academic concepts of
CCE. In case studies, data analysis “consists of examining, categorising, tabulating,
testing, or otherwise recombining evidence to draw empirically based conclusions”
(Yin 2009: 126). Cohen et al. (2017) mention two types of data collection in case
studies: the data gathered by interviews or other methods and the researcher’s
ongoing analysis and comments on that data. This fluid process of data analysis
provides the researcher the evidence to draw conclusions and add credibility,
reliability, and validity (Yin 2009) to the study.
The data collected through in-depth interviews was analyzed through content
analysis by seeking patterns and looking for pathways and connections in the
transcriptions (Miles and Huberman 1994). The aim was to create a framework
that helped answer the research questions. This research followed three ethical
principles: no harm, voluntary consent, and scientific integrity (Denscombe 2012).
As for privacy and deidentification, there are two important actors that are worth
mentioning. First, the “Motivated Teacher” has been part of the school project since
its inception in 2016 and has been regarded as a pillar in the educational team by
other interviewees. She has actively supported and promoted the school project.
Secondly, the “Vegetable Garden Expert” is a volunteer who has worked at the
school for the past 5 years. She is a national expert in organic vegetable gardens,
native fruits and vegetables, and agroecology, and has been the point-person for
activities related to the vegetable garden.
During the interview process, it became clear that only a limited number of
parents are highly motivated and have embraced the school project and activities.
This has been a limitation to the development of the school project, which relies on
community participation. It is worth noting that the six interviewed parents and two
students are extremely satisfied with the school project, which is one of the limita-
tions of this chapter since it was not possible to interview parents who are not
actively engaged with and generally satisfied with the school.
Findings
In this section, the two main findings are presented. First, the Theory of Change
depicts an ideal situation for the school in terms of inputs, activities, output,
intermediate outcomes, and final outcomes. Secondly, enablers and barriers to
transformative education for sustainability are detailed.
608 D. Posada
Theory of Change
The concept of ToC emerged in the 1990s as a response to enhancing evaluation of

community initiatives (Stein and Valters 2012). ToC is a theory that can describe
how and why a program, policy, or initiative is effective (Weiss 1995). It is a way to
represent a set of conditions or assumptions that are required to achieve specific
objectives and how the activities and outcomes of a program are interrelated (Stein
and Valters 2012).
In this context, an ideal ToC based on interviews, findings, document analysis,
and literature review is presented. It is worth emphasizing that this ToC does not
represent the current situation at School No. 294, but rather a contextualized ideal
scenario for this educational project. A policy or program related to CCE can be
considered impactful when it leads to “real-world changes in ecological sustainabil-
ity, policies, and people’s well-being” (Koehn and Uitto 2017 in Ssossé et al.
2021: 7). In the case of this school, the immediate focus is on the individual and
community’s well-being. However, one could argue that by providing an example of
CCE teaching and learning methods, ultimately the school could directly – or
indirectly – influence national educational policies and practices. This ToC, which
could be used as a roadmap for future action, represents a positive scenario for the
school project and its community, especially in terms of inputs and long-term
outcomes (Fig. 3).
Several discordances can be observed if the ToC and the findings of this study are
compared. The most substantial differences have been empirically corroborated
in terms of inputs. The findings have shown that there are two elements present in
the school project that appear to be aligned with the ToC: the sustainable and
Fig. 3 “Ideal” Theory of Change based on findings, document analysis, and literature review.
(Source: Author’s elaboration)
self-sufficient building and the committed professionals – Headteacher, Motivated

Teacher, Vegetable Garden Expert, and Tagma volunteers – who have embraced the
project from its inception. On the other hand, there are challenges still to be
addressed such as the level of professional development and commitment of other
educators, engagement and participation by most members of the community, and
proactive support by national educational authorities.
These are complex issues that require a fluid collaboration between the school’s
educational team, the community, and education authorities. NGO Tagma has played
an important role as a liaison between the school educational team and national
education authorities in the initial process of the project. The educational team is
currently trying to consolidate the educational project by tackling some of these
challenges, hopefully with the support of Tagma and the Vegetable Garden Expert.
At this point, it is worth noting that analyzing outputs and outcomes was beyond the
scope of this research.
Transformative Education: Enablers and Barriers
As previously mentioned, transformative education for sustainability has been

defined as learning processes that transform how the relationship between humans,
nature, and well-being is understood (Laininen 2019). One of its key objectives is to
harmonize the natural environment with communities that lead sustainable lifestyles
(Cook 2019). Enablers and barriers to transformative education for a sustainability
have been identified and categorized using Ball et al.’s (2011) four contexts for
policy enactment: situated, professional, material, and external. Table 1 illustrates
this analysis.
Situated Contexts
The situated contexts that enable transformative education for sustainability at the
school are its location and commitment by some parents. The school is situated in a
semi-rural area, which allows it to have relatively big school grounds. This has
enabled having a sizeable vegetable garden and green spaces for outdoor learning
activities. Moreover, there is a tendency to work with vegetable gardens and soil in
rural schools in Uruguay. The commitment by a small group of parents in terms of
support for school activities and maintenance has been regarded as fundamental by
educators.
Interviewed parents and students have embraced the school project. They find the
school innovative and refreshing. Also, they are motivated by its whole-school
approach toward sustainability. Students enjoy going to school and are engaged
with activities such as tending the vegetable garden and learning about native flora
and surrounding environmental issues and they share that knowledge at home. In
turn, parents actively participate in school activities and maintenance. This positive
acceptance of the school project can be attributed to a world-vision affinity in topics
such as sustainability and climate change. In fact, four of the interviewed parents
610 D. Posada
Table 1 Enablers and barriers to transformative education for sustainability
Source: Author’s elaboration
have built their houses using similar biotecture principles to the ones applied at the
school:
We try to align ourselves with principles of permaculture, for example. We try to take
advantage of what the place has to offer. We have a vegetable garden, we built our house
with mud walls, we harvest rainwater for irrigation, and we do other activities that coincide
with the school ethos. (Interviewee 10 – parent)
On the other hand, the two situational barriers identified are the lack of commit-
ment and support by most parents and tensions within and between stakeholders. As
for the lack of commitment shown by the community in school activities, both
parents and educators explicitly expressed their concern with this issue:
The community in Jaureguiberry is very difficult, it is hard to get them involved.

(Interviewee 06 – parent)
I wouldn’t say there is a community in Jaureguiberry, but maybe little groups that are
sometimes connected or not, even at enmity at times. (Interviewee 01 – educator)
Fig. 4 Tensions within and

between actors. (Source:
Author’s elaboration)
In general, interviewees agreed that the community has not taken ownership of
the building or the sustainable school project. This has been identified as a major
barrier to the school’s pedagogical practices both by educators and parents. On the
other hand, parents and members of the educational team who are committed to the
school and the project have established a strong bond. It is worth mentioning that the
decision to build the school in this location and thus within this community was
made by national education authorities. The rationale behind the selection of
Jaureguiberry for such a unique project by national education authorities could not
be identified but has been a decisive factor in the development of this school project.
Furthermore, tensions within and between different actors have been a barrier to the
school project. These tensions have been subdivided into three close-knit groups:
national education authorities, community, and educational team (Fig. 4).
In general, participants showed dissatisfaction toward national education author-
ities and how they have acted toward the school. The school was showcased in the
media when it opened in 2016 and was celebrated by national education authorities,
but it receives little attention in order to face its unique challenges. Most inter-
viewees agreed that national education authorities have been ineffective in providing
support in issues such as teacher training, staffing, and infrastructure maintenance.
Both parents and educators consider the school has been ignored by the authorities
when assistance has been requested for maintenance issues. This lack of attention
was also identified while reviewing communications between the school and author-
ities. This has created tensions between the educational team and the school com-
munity with educational authorities.
Regarding tensions within the community, as previously mentioned, only a few
members of the educational community actively participate and support school
activities such as workshops, meetings, and garden maintenance, which has gener-
ated tensions among parents and between the educational team and some parents.
Professional Contexts
The professional contexts that have been identified as enablers are its whole-school
active pedagogical practices, its experienced and flexible staff, and shared values
regarding sustainability.
612 D. Posada
As previously mentioned, the school has had two pillars: its Headteacher and
Motivated Teacher. They are both experienced professionals in the field who have
embraced sustainability as a lens for their educational practices. The role of a
qualified and committed Headteacher cannot be overstated; studies have shown
that they are the key actor in the implementation of CCE projects at the school
level (UNESCO 2016). They show deep concern for climate change and see
sustainability as a possible solution. Further, they believe in the school’s potential
in creating more sustainable citizens and are not afraid to delve into new realms of
knowledge and pedagogical practices. They were recognized by all participants as
key actors in promoting sustainability in their educational practices:
The Headteacher and the Motivated teacher adopted the principles of sustainability and all
the building has to offer and have maximized them. For example, they carry out educational
projects beyond the school year, they have five-year projects with native plants, classified
native plants with QR codes, native fauna and they keep adding new projects. (Interviewee
05 – educator)
Both the Headteacher and the Motivated Teacher have worked for over 20 years
in the public education system. They are experienced professionals who trust their
abilities to learn new skills and try new pedagogical approaches. This combination of
experience, philosophical and ethical alignment with sustainable practices, and
willingness to embrace change has been found to be fundamental to positive
responses to this type of pedagogical approach in previous studies (Howell and
Allen 2019). Moreover, the whole-school active pedagogical approach carried out in
the school is aligned with characteristics that seem to be effective for CCE: it is
personalized and designed to engage students (Schweizer et al. 2013; Chang and
Pascua 2017; Monroe et al. 2019). Students are encouraged to carry out projects,
such as environmental research in the school’s surrounding nature. For instance, they
have studied acidity levels in a nearby river and how these might be affecting crabs
and local fishermen. It has been documented that these types of place-based practices
tend to increase students’ climate science knowledge and interest (Peñalba et al.
2012; Monroe et al. 2019). The whole-school hands-on approach was appreciated by
all interviewed parents, students, and educators. They highlighted the fact that
children were enthusiastic about their experiential learning and were eager to share
what they knew on numerous occasions:
It is amazing to work in the school and see what kids are experiencing, how much they know
about native plants (..) They are constantly experiencing and learning by doing, not like in
other schools that you need to plan in advance in order to try to do something similar.
(Interviewee 04 – educator)
In terms of the pedagogical focus, climate change was not identified as a central
element of the school’s approach, but rather sustainability and sustainable practices.
There is a strong focus on working with the vegetable garden, the study of native
flora and fauna, renewable energy, and sustainable water cycles. Document analysis
has shown that the aim is to get children acquainted with their surrounding natural
environment through the active study of complex relations between water, weather,
insects, plants, and animals. The school provides concrete answers and showcases
possible ways to tackle complex environmental issues such as water scarcity, organic
food production, water treatment, and energy production and consumption. These
pedagogical strategies ground theory into practice. Students experience practical and
sustainable solutions, which can translate into knowledge they bring home. When
the school opened in 2016, approximately 15% of families had vegetable gardens at
home, whereas in 2019, 80% of families did. This is a promising indicator that some
school policies and practices have found their way into homes across the school
community. Going beyond school boundaries and reaching the community is one of
the desired outcomes of the school project.
The transformative pedagogical approach toward sustainability in School
No. 294 is action-oriented and focused on behavioral dimensions, rather than on
cognitive, socioemotional, or justice-focused (Hargis and McKenzie 2020). CCE
should pay special attention to the socioemotional and action-oriented dimensions
since, ultimately, its objective is to encourage and enable sustainable lifestyles. The
cognitive and justice-focused perspectives can serve as the knowledge and ethical
considerations for such behaviors and attitudes. Interviewees were enquired about
the pedagogical approach the school takes toward CCE. They were provided with
five global perspectives based on the work by Perkins et al. (2018). Responses were
inconclusive; most interviewees believe there is a combination of approaches. The
two most popular identified approaches were:
– Focusing on student-centered pedagogies that are transformative and lead to a

climate change curriculum
– Fostering student-centered participation in researching and mitigating climate
change
Furthermore, it was not possible to identify specific sources of information

regarding climate change, sustainability, and CCE for the educational team but
rather a combination of personal and professional experience, guidance from the
Vegetable Garden Expert, and personal curiosity and research by members of the
educational team. Conversely, the professional barrier to transformative education
for sustainability is the uneven commitment by members of the educational team.
Members of the educational team have interpreted and reacted to the CCE policies
and practices of the school with different degrees of alignment and commitment.
Some of them, the Headteacher, the Motivated Teacher, the Vegetable Garden
Expert, and volunteers from NGO Tagma, have embraced and fostered the CCE
policies and practices, whereas other educators who have joined the school for a year
or two have struggled to do so. This can be attributed to their previous experience,
beliefs, and motivation toward climate change, environmental issues, nature, and the
role of education in steering students toward sustainable lifestyles.
614 D. Posada
Material Contexts
In terms of material contexts, the key enabler is the school’s sustainable and self-
sufficient building. The building is a defining feature of the school; it is an essential
element of pedagogical practices and serves as an educational tool. It was built in a
highly visible location, which draws interest from locals and tourists, and it is an
appealing feature for passers-by, media, researchers, potential parents, and students.
Moreover, due to its unique biotecture features, it is regarded as a “living” building
by members of the educational community because it requires regular usage and
maintenance in order to ensure its correct functioning. The building and its unique
characteristics are natural pedagogical gateways to discuss sustainability issues such
as food, water, pollution, energy, flora, consumption, and upcycling. Moreover, a
fundamental concept in CCE is a cross-curricular approach (Perkins et al. 2018),
which students appreciate at School No. 294:
We address the topic of the environment everyday only by walking into the school. We
somehow talked about it in every subject. (..) sometimes we would have specific talks about
climate change (..) but the topics of the environment and climate change are always present.
(Interviewee 12 – student)
Even though the building has been identified as a key element to the school’s
pedagogical approach, it is how educators and students interact with the building
what makes this school unique:
You could remove the building today and they (Headteacher and Motivated teacher) would
still be able to teach as they do. The building provides a set of pedagogical tools, but it
doesn’t do anything by itself. Sometimes I’ve heard people saying the building teaches. No,
teachers teach. (Interviewee 05 – educator)
The building is a pedagogical enabler, but it is in fact the educational team who
makes – or not – an interesting and effective use of the building as a pedagogical tool
toward sustainability (Vare 2020). Studies have shown that schools that attempt to be
sustainable have encountered contradictions in terms of their green infrastructure
and school ethos (Vare 2020). This is partly the case of School No. 294, in which the
Headteacher and Motivated Teacher have set a clear school ethos and practice that
prioritize sustainability but have encountered numerous challenges and resistance
from the authorities, other educators, and some parents.
The material barriers identified are infrastructure maintenance, staffing practices,
and high student–teacher ratio. Staffing practices have been a barrier to establishing
a consolidated professional team, which has been detrimental to educational prac-
tices. Both educators and parents have shown concern about tensions within the
educational team, which have been partly caused due to staff turnover. Such insta-
bility has resulted in lack of consistency in how the educational team is formed.
Ultimately, these tensions are due to different pedagogical and worldview visions. In
short, new teachers who have joined the team were not aligned with the school’s
pedagogical approach and have felt pressured to apply a new pedagogical approach
they were not accustomed nor trained to do. Parents have explicitly expressed their
discomfort with the lack of a stable educational team:
We don’t know if our daughter will have the same teacher, that is the lottery game we play
every year. (Interviewee 10 – parent)
This unstable situation has caused tensions and contributed to the overarching
feeling by educators that the school’s potential has not been fully exploited yet:
That is why the school has not achieved its full potential. New teachers slowly start adapting
to the project and when the school year ends, they leave and someone else comes. We’ve had
a different preschool teacher every single year. (Interviewee 04 – educator)
Decisions to remove or incorporate new teachers are made by national educa-

tional authorities annually. Teachers are assigned based on a ranking system that
predominantly takes years of experience into account (ANEP 2015). This limitation
could be partially overcome by including the Headteacher in the selection process of
new teachers. Some of the suggested criteria for new teachers could be the appli-
cants’ interest in sustainability and climate change as well as their previous profes-
sional experience in education projects with similar practices and objectives.
Ball et al. (2011) recognize that the educational team are key actors as both agents
and subjects in policy enactment. This is particularly true in the case of School
No. 294, in which a small team of four professionals interact with students on a daily
basis. Having one or two professionals who do not embrace the school project and
ethos can significantly undermine the school project. In practice, those teachers who
do not actively engage with the project, conduct regular lessons, do not place
sustainability as a cross-curricular priority, and do not make use of the building as
a pedagogical tool. On the other hand, professionals who are committed to sustain-
ability and the school project use innovative theoretical and practical pedagogical
practices such as integrating activities in the vegetable garden with biology, chem-
istry, and geography, and try to make use of the building as a pedagogical tool.
Moreover, they feel that their work is hindered by teachers who do not support the
project since they view educational processes as continuums in which consistency is
fundamental to achieve desired outcomes. These two contradictory approaches
generate tensions between educators and confusion in students.
Apart from hiring practices, teacher retention should be prioritized by national
education authorities. In this unique school project, a qualified and stable educational
team is a fundamental input for its development, as identified in the ToC . Having a
qualified and solid working group is paramount for an innovative project that is
applying new teaching and learning methods. In terms of professional training, there
have been shortcomings too. National education authorities did not provide the
educational team with training when the school opened or thereafter. Instead, the
educational team attended numerous workshops organized by NGO Tagma on
Saturdays during 2016 on an honorary basis.
616 D. Posada
Regarding student–teacher ratio, members of the educational team have shown

concern because even though their student intake has not changed – 80 students
approximately – in 2021 one primary school teacher position was removed from
their team. Thus, there are only three professionals interacting with students daily.
The Headteacher and the primary school teacher are responsible for teaching all
primary school grades, almost 70 children aged 6–12; this 70:2 student–teacher ratio
is a significant barrier to transformative education for sustainability, which requires a
high degree of personalized learning opportunities.
External Contexts
The external contexts that enable transformative education for sustainability are the
support of external actors such as the Vegetable Garden Expert and volunteers from
NGO Tagma, and the fact that the school is part of an international network of
“sustainable schools” (Una Escuela Sustentable 2021).
First and foremost, it is worth noting that all work done by external actors since
2016 is unpaid and voluntary. The support the school has had from skilled pro-
fessionals such as the Vegetable Garden Expert and volunteers from Tagma in terms
of training, assistance, and guidance related to infrastructure functioning, mainte-
nance, vegetable garden, etc., are at the core of the school’s pedagogical practices.
The Vegetable Garden Expert has been point-person for training, maintenance, and
educational activities related to the vegetable garden. Studies have shown that
sustainability-oriented education projects tend to be more successful when they
have access to external experts (UNESCO 2016; Hargis et al. 2021). Their work is
deeply appreciated by members of the community and educational team:
The Vegetable Garden Expert joined the team in 2016 and has been working as a volunteer
since. Along with Tagma, they have been fundamental pillars. Every time we’ve needed
them, they have helped us. I personally have a deep bond with them and admire them.
(Interviewee 02 – educator)
NGO Tagma has recently created a network between the four sustainable schools
it has built in Uruguay, Argentina, Chile, and Colombia. This school network is in its
inception and initial meetings between educational teams are being held. The aim is
to create cross-national educational projects in which students can be part of
international teams studying diverse topics such as bird migration or seasonality in
native plants and vegetables. This international network could become an integral
element of school practices in the future.
In terms of barriers, the overall lack of support by national educational authori-
ties, the standardized curriculum, and national policies regarding school canteens
have been noted. The lack of adequate responses by national education authorities in
terms of maintenance and staffing has already been discussed. Regarding curricu-
lum, the school has to follow the national curriculum since it is a public school
(ANEP-CEIP 2013). Nonetheless, there are no standardized tests in Uruguay, and
therefore, schools –-and teachers – have considerable autonomy when it comes to
educational content and provision.
As for the school canteen, national regulations stipulate that meat and dairy must
be included in the school menu (ANEP-CEIP 2013). Both the meat and dairy
industry have been linked to high GHG emissions, deforestation, and unsustainable
practices of land use (Garnett 2009; IPCC 2019). This is in direct contradiction with
the school’s ethos and approach toward sustainability. Schools must act as they
teach. School practices need to show different aspects of sustainability and encour-
age students to lead sustainable lifestyles on a daily basis (Laininen 2019). However,
it is debatable if this tension should be resolved at the school level or rather at an
institutional and legislative level. Last but not least, the high expectations the school
has caused have been identified as both enablers and barriers to transformative
education for sustainability. On the one hand, it has encouraged some families to
move to the vicinity of the school or to enroll their children despite long commutes.
One interviewed family decided to move near the school after a visit for instance:
As soon as our child saw the school she fell in love. It was late 2016 and there was an art
exhibition (. . .) the school was empty, but you could tell how special it was. Our child told us
‘I want to come here’. (Interviewee 08 – parent)
The fact that the school is well known, called “Escuela Sustentable” (Sustainable
School), and has unique building has attracted external experts, media, researchers,
and families. Nevertheless, meeting high expectations is a challenge that can lead to
a negative effect on how the school project is perceived by members of the
community.
Conclusion
Findings have shown that members of the educational community have responded to
the school’s CCE policies and practices differently; while some have embraced the
school project, others have partially ignored or rejected it. Even though some school
activities seem to be effective in reaching families, there is still resistance from part
of the community and inaction by national education authorities. The findings
presented in this chapter highlight the importance of having community support
before establishing a project of these characteristics. An ideal ToC was designed
based on interviews, document analysis, and literature review, and was briefly
contrasted with the findings. The major challenges in terms of inputs seem to be
the lack of (1) community engagement, (2) support by national education authorities,
and (3) stable and highly trained professional team.
Enablers and barriers to transformative education for sustainability (Laininen
2019) were identified and analyzed through Ball et al. (2011) policy enactment
lens. The key identified enablers are (1) having qualified and committed Headteacher
and professionals, (2) sustainability as a cross-curricular priority, (3) action-oriented
pedagogical approach, (4) access to external experts, and (5) the unique self-
sufficient building. On the other hand, major barriers are (1) lack of community
engagement with the school project, (2) lack of support by educational authorities,
618 D. Posada
(3) unstable educational team, (4) tensions between actors, and (5) standardized
curriculum. Regarding students and parents, it became clear during the interview
process that only a small number of parents are actively engaged with the school
project and activities. Interviewed parents and students are motivated by the school
project and find it innovative. They appreciate the whole-school approach toward
sustainability and try to apply at home what is discussed at school. Some practices
seemed to have reached most school families, e.g., the number of school families
growing vegetable gardens at home increased from 15% to 80% from 2016 to 2019.
Moreover, all interviewed parents shared a certain degree of dissatisfaction toward
the state of affairs regarding climate change, unsustainable lifestyles, and national
educational policies.
The findings in this chapter indicate that there has been a wide range of responses
to the school’s CCE policies and practices between and within actors. The way the
CCE policies and practices have been interpreted by members of the educational
community has been varied. This can be partially attributed to professional experi-
ence and training but especially to the degree of alignment between each individual
and the school project in terms of beliefs and attitudes toward sustainability, climate
change, and the role of education in leading sustainable lifestyles.
From a pedagogical perspective, the school has a clear focus on the action-
oriented dimension over other CCE dimensions such as knowledge, justice-oriented,
and social-oriented (Hargis and McKenzie 2020). This case study exemplifies some
of the complexities of conducting CCE projects in the Global South and highlights
the importance of community support. When dealing with CCE, having a sustainable
building and taking a whole-institution approach in which climate change and
sustainability are cross-curricular priorities (Hargis and McKenzie 2020) might not
be sufficient for a school project to fulfill its goals. Apart from a qualified and stable
team, proactive support from the community and authorities can prove to be key
enablers or barriers for this type of educational project.
Further Research
Regarding this school, further research could focus on outputs and outcomes; how
can the policies and practices adopted in School No. 294 be measured? What has
been the impact of the school project on students, parents, and the community as a
whole? How has the school been inserted in the national educational landscape?
What lessons have been learnt in this process? How can the lessons be applied in
other schools/projects across the country?
From a broader perspective, there are extensive opportunities to further develop
our knowledge in understanding CCE in terms of quality and measurement both
from a qualitative and quantitative perspective. Further research is required in terms
of CCE outcomes, monitoring, and evaluation. There are also considerable research
gaps regarding what CCE can or should encompass in terms of provision, content,
and to what end; what is effective high-quality CCE? What does CCE look like in the
Global North and the Global South? Whose climate is changing and how does that
shape CCE in terms of provision and objectives in each community, country, or

region? How can content, processes, and objectives between CCE projects across the
globe be compared?
Cross-References
Caribbean
▶ Universities’ Role in Promotion of Education for Sustainable Development:
Latin-America Institutions
▶ Well-Being at Work and Sustainability in Public Services: Brazilian University
Case
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SDG6 Progress in Latin America
and the Caribbean: COVID Pandemic
and New Challenges
Fabiola S. Sosa-Rodriguez
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 624
SDG6 and Progress Made Worldwide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 624
Water Problems in Latin America and the Caribbean (LAC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 627
Progress of SDG6 in the Latin America and the Caribbean (LAC) Region . . . . . . . . . . . . . . . . . . . 630
Water Access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 630
Sanitation Services and Eradication of Open Defecation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 632
Sewage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 635
Efficiency in the Use of Water in LAC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 636
Water Stress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 637
Implementation of Integrated Water Resources Management (IWRM) . . . . . . . . . . . . . . . . . . . . 639
Improvement of Ecosystems Associated with Water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 640
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 642
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 643
Abstract
This chapter analyzes the advances in SDG6 for Latin America and the Caribbean
(LAC) region. Using the leading indicators proposed by the United Nations, the
goals of SDG6 are evaluated along with a discussion of the region’s main
problems concerning access to water and sanitation, wastewater treatment, and
the loss of crucial ecosystems for water generation. Those countries that have
made improvements to meet the SDG6 targets are identified, as well as those
countries that are still behind in achieving improvements. Finally, there are
recommendations for improving access to water, sanitation, and strengthening
conservation measures for ecosystems relevant to water security.
F. S. Sosa-Rodriguez (*)
Research Area in Growth and Environment, Metropolitan Autonomous University, Azcapotzalco,
Mexico
e-mail: fssr@azc.uam.mx

https://doi.org/10.1007/978-3-031-16017-2_47
624 F. S. Sosa-Rodriguez
Keywords
SDG6 · Water · Sanitation · IWRM · Latin America and the Caribbean · Open
defecation · Progress · Indicators
Introduction
Access to water and sanitation is crucial for economic and social development. Clean
water and adequate sanitation are crucial for maintaining a population’s quality of
life and for strengthening their capacities to adapt and achieve sustainable develop-
ment. Furthermore, it is a human right to receive water in the volume and quality
necessary to ensure the health of the population. Ultimately, this requires that all
humans must receive between 50 and 100 liters/person/day, and this volume must be
affordable, meaning that the cost of water must not exceed 3% of one’s income
(UNICEF&WHO 2020). In addition, water must be accessible with reliable sources
located less than 1000 m from people’s homes ensuring that carrying water will not
exceed 30 min (UN-Water 2021; UNICEF&WHO 2020).
The identified goals for water security are not yet a reality. Unfortunately, more
than 2.2 billion people still lack access to drinking water services, and more than 4.2
billion lack safely managed sanitation services (UN-Water 2021; UNICEF&WHO).
Unsanitary conditions and poor water quality promote the proliferation of diarrheal
diseases, which have led to the deaths of 300,000 children under the age of 5 years
worldwide annually (UNICEF&WHO 2020). More than 80% of the wastewater
generated worldwide is disposed of without treatment for its reuse (UNICEF&WHO
2020; UNESCO 2017). This has resulted in the deaths of nearly 1.5 million children
globally per year due to infectious diseases and a lack of hygiene (UNESCO and
WWAP 2020).
The United Nations and 193 countries have defined some objectives and targets
for sustainable water management within the 2030 Agenda for Sustainable Devel-
opment (SDG). The 2030 Agenda is comprised of 17 objectives sought to be
achieved in 15 years from its approval in 2015. Of these objectives, SDG6 focuses
on universal water availability and sanitation (UN 2020). Specifically, SDG6 sets a
goal of achieving universal access to clean and affordable water for drinking,
hygiene, and sanitation. Due to water’s relationship in many dimensions of human
life, this goal also contributes to eradicating poverty and improving people’s health
(WHO 2012).
SDG6 and Progress Made Worldwide
SDG6 focuses on universal access to clean water and sanitation including six targets
to be achieved by 2030. These targets are improving access to water and sanitation,
increasing wastewater treatment, reducing conflicts in transboundary basins,
improving Integrated Water Resources Management (IWRM), and promoting a
SDG6 Progress in Latin America and the Caribbean: COVID Pandemic and. . . 625
more efficient consumption of water (UN 2020). The following section describes
each target and the global progress achieved thus far for meeting SDG6.
Target 1: Universal and equitable access to drinking water at an affordable
price for all people
Progress on this goal is determined by measuring growth in the numbers of
people that have managed to gain safe and permanent access to drinking water
within the home (UN 2020). Between 2016 and 2020, the population with access to
safe drinking water has increased from 71% to 74% (UN-Water 2021). Although this
increase indicates some progress has been made, 2 billion people continue to face
health risks due to their lack of access to clean water. In addition to risk from
diarrheal diseases and other sanitation-related illnesses, the lack of clean water has
made it challenging for many people to comply with hygiene protocols to prevent
COVID-19 infections. The reality is that three out of ten people worldwide remain
unable to wash their hands frequently within their homes (UNESCO, WWAP 2020;
UN-Water 2021).
Target 2: Improving access to adequate and equitable sanitation and hygiene
services for all people and ending open defecation
The world’s population, particularly women, girls, and people in vulnerable
situations, must have the means to safely dispose of their excreta on site. Progress
is measured by determining the proportion of the population that has gained access
to sanitation services for safe disposal of their excreta and to facilities for washing
their hands with soap and water (UN 2020). Globally, minor improvements have
been made toward this goal. Between 2016 and 2020, the population with safely
managed sanitation services increased from 47% to 54% (UN-Water 2021). Cur-
rently, 3.6 billion people continue to be negatively affected by the lack of sanitation
services, and 494 million people practice open defecation (UN-Water 2021). While
the population with facilities to wash their hands with soap and water increased from
67% to 71% between 2016 and 2020, 2.3 billion people still do not have basic
handwashing facilities at home (UNESCO and WWAP 2020; UN-Water 2021).
Although sanitation and hygiene services have improved moderately worldwide,
much more investment is required to treat wastewater and fecal sludge. Investments
in sanitation have already proven profitable since every dollar spent generates
benefits equal to $5.5 USD due to reduced incidences of deaths and illnesses caused
by gastrointestinal diseases (WHO 2012).
Target 3: Promote water quality by reducing pollution, eliminating wastewa-
ter discharges, minimizing chemical emissions of hazardous materials, reducing
by half the percentage of untreated wastewater, and increasing recycling and
reuse
The indicator used to measure advances in this target is the proportion of safely
treated wastewater (UN 2020). There have been no significant advances in waste-
water treatment since more than 80% of wastewater and 44% of domestic wastewa-
ter generated worldwide is disposed of without treatment (UN Water 2018). This
practice has polluted rivers and lakes globally, negatively affecting marine-coastal
ecosystems and water and food security. Unfortunately, more than 3 billion people
do not know if the water they receive comes from uncontaminated sources
(UN-Water 2021); this is a pending task.
Target 4: Increase water efficiency in all sectors for more sustainable water
extraction
Indicators used to measure progress in this area include observing sustainable
changes in the efficiency of water use and alleviation of water stress (UN 2020).
Improving water use efficiency demands utilizing less water to obtain the same
production, and this requires decoupling economic growth from the required volume
of water. It is estimated that, worldwide, the efficiency in water use went from 17.28
to 19.01 USD/m3 between 2015 and 2018, an increase of 10% (FAO 2022;
UN-Water 2021).
Some countries are more water efficient than others. Those countries whose
economy depends primarily on agriculture usually have less efficient water use
(i.e., US$0.2/m3). In contrast, service-based economies have relatively high levels
of efficiency in water use (i.e., US$1096 /m3) (UN-Water 2021). More than 2/3 of
the countries worldwide have moderate levels of water use efficiency that vary
between 5 USD/m3 and 100 USD/m3; however, 2.3 billion people face water stress
(FAO 2022; UN-Water 2021). It is expected that the numbers of people who live in
countries with water stress will increase, and due to the impacts of climate change on
water availability, water scarcity can increase conflicts over this vital resource access
(UN-Water 2021).
Target 5: Implementing Integrated Water Resources Management (IWRM)
at all levels and through transboundary cooperation
The indicator used to assess advances in this target is the degree of implementa-
tion of this model (from 0% to 100%) and the number of countries with operational
arrangements for cross-border cooperation (UN 2020). IWRM is a process that
promotes coordinated management and development of water, land, and other
related resources for social well-being without compromising vital ecosystem sus-
tainability (GWP 2007). Thus far, actions to advance IWRM implementation world-
wide have been minimal, and 107 countries have not registered any progress in
applying this model for water management. On the other hand, 52 countries have
attained moderate progress with 22 countries attaining significant advances (UNEP
2021b). Regarding the development of operational arrangements to manage trans-
boundary waters, only 24 of 153 countries have thus far established functional
arrangements for cross-border cooperation (UNEP 2021b). Due to the growing
demand for water by different users, coordinated actions between actors are urgent.
Target 6: Protect and restore water-related ecosystems, including forests,
mountains, wetlands, rivers, aquifers, and lakes
This target promotes two sub-targets. The first is expanding international coop-
eration and supporting capacity building to improve water supply and sanitation
programs such as rainwater harvesting, desalination, wastewater treatment,
recycling, and reuse technologies. The second target is to support and strengthen
the participation of local communities in water and sanitation management. Among
the indicators used to measure progress on this target is the change in the extension
of vital ecosystems for water provision, assistance received to improve water and
sanitation services, and the promotion of the community’s participation in water

decision-making (UN 2020).
Worldwide, human activities have caused significant changes in freshwater
ecosystems and hydrological regimes. Unfortunately, one-fifth of the world’s river
basins have been drastically transformed, causing coastal and inland wetlands loss,
and more than 80% of these ecosystems have disappeared (UNEP 2021a). Currently,
wetlands cover an area of 12 million km2, but their extension has decreased by more
than 4.2% in coastal mangroves since 1996, leading to severe repercussions and
challenges for moderating extreme events and mitigating climate change (UNEP
2021a). Likewise, 25% of the 2300 large lakes in the world are polluted, negatively
affecting 21 million people and the health of local ecosystems (UNEP 2021a; WHO
2017a).
Water Problems in Latin America and the Caribbean (LAC)
Conservation of the LAC water ecosystems is crucial to guarantee the availability of

sufficient water for meeting social and economic activity requirements. For example,
the WHO (2017b) estimated that LAC suffers productivity losses amounting to 0.7%
of regional GDP in return for choosing not to invest in improved water and sanitation
services (ECLAC 2020a). While there are various problems leading to water scarcity
and mismanagement in LAC, there have also been significant advances in the region
that are in compliance with the SDG6 goals. Achieving SDG6 goals is challenging
as LAC is made up of 48 countries whose population amounts to 652.3 million
people, of which 38.32% face severe conditions of poverty (ECLAC 2020a).
Consequently, about 48.2% of the region’s population is vulnerable and must
struggle to attain access to safe water and sanitation. The countries that face the
worst poverty conditions in the region are Haiti, Bolivia, Honduras, Nicaragua,
Mexico, and Ecuador (ECLAC 2020a).
The LAC region contributes 8% of the global GDP and has abundant water
resources, with 31% of total global water sources. The annual per capita water
availability in the region is 3100 m3, although there are marked differences between
countries and their population in terms of water supplied (IDB 2020). Countries with
the highest water availability include Mexico, Brazil, and Argentina, while those
with the least water availability are in the Caribbean (WHO&UNICEF 2017). Most
countries in the region are experiencing significant reductions in the availability and
quality of water due to climatic parameter variations and the growing demand for
water due to economic and demographic increases (WHO&UNICEF 2017). Addi-
tionally, LAC is expected to be one of the regions most affected by climate change
since droughts, floods, and tropical storms are expected to increase. Unfortunately, in
most countries, the water supply approach has promoted an intensive consumption
of this resource, particularly by the agriculture and hydropower sectors (IPCC 2018).
The COVID-19 pandemic revealed a high level of vulnerability in the region as
nearly 65 million people do not have safe water access and do not have adequate
sanitation (WHO&UNICEF 2017). Likewise, only 25% of the population has access
to an improved water source free of external contamination, although this figure is

close to the world average of 26% of the total population (WHO&UNICEF 2017).
Nevertheless, 96.8% of the population in the LAC region has access to water
services, a figure higher than the world average, which amounts to 89.6% (IDB
2020). In contrast, in developing countries, this figure is 64.6% (IDB 2020). The
poorest populations of LAC live in informal settlements, such as Favelas, that lack
water service. The consequence is that populations living in these informal settle-
ments must pay 10–20 times more to guarantee water access than those who receive
water services through a direct connection to public infrastructure. People without
water and sanitation services are generally living in peri-urban areas, whose cover-
age levels are significantly lower than in rural areas (WWAP 2019).
In LAC, 69% of the population (490 million people) lack improved sanitation
services and use community latrines, while 19 million people practice open defeca-
tion (73.7% reside in rural areas and 26.3% in urban areas) (WHO&UNICEF 2017).
Eight countries in the region have universal sewage coverage, and their excreta is
treated and safely disposed of (ECLAC 2020b). Thus, just 33.8% of the wastewater
generated in the region receives prior treatment before its disposal. This figure is
higher than the world average however, which amounts to only 20% of the total
wastewater generated (IDB 2020).
Both LAC and the world are far from reaching the target of treating 100% of the
wastewater produced; not treating wastewater favors the contamination of water
bodies, with relevant environmental impacts due to the lack of adequate infrastruc-
ture (ECLAC 2020b). Additionally, there are significant differences in access to
sanitation facilities between rural and urban areas. For instance, in Uruguay, 96% of
the population has access to such facilities, while in Bolivia, only 46% has improved
sanitation (ECLAC 2020b).
Climate change is expected to increase the vulnerability of LAC sanitation
systems due to increased frequency of flooding caused by torrential storms and
rising sea levels. Likewise, this phenomenon is reducing water availability, and the
current infrastructure is no longer sufficient to meet water and sanitation require-
ments. Therefore, the impacts of climate change make it essential to increase
investment in water security and sanitation infrastructure (Development Institute
2017). It is estimated that annual investments of 0.3% of the region’s GDP could
allow for relevant infrastructure improvements required to meet SDG6 targets
(ECLAC 2020a).
The United Nations has adopted various indicators to measure SDG progress,
while the Inter-American Development Bank (IDB) and the Economic Commission
for Latin America and the Caribbean (ECLAC) have proposed complementary
indicators to assess advances in the 2030 Agenda. These indicators are detailed in
Table 1 and measure progress toward SDG6 targets at the country level and evaluate
differences between urban and rural areas. Also, these indicators monitor other
relevant variables. For example, they analyze extraction and water quality in surface
and groundwater; progress in transboundary cooperation for aquifers, river basins,
and lakes; and mangroves and wetlands lost. These complementary indicators for
Table 1 Indicators to measure progress in SDG6 targets globally and in LAC

Indicators
Targets World LACa
6.1 The proportion of the population using safely managed drinking water services
6.2 The proportion of the population using safely managed sanitation services, including
handwashing facilities with soap and water
The proportion of the population practicing
open defecation disaggregated into urban
and rural areas
6.3 The proportion of wastewater adequately treated
Total wastewater generated (millions of
m3/year)
Total treated wastewater (millions of m3/
year)
The proportion of wastewater treated by
activity and location
The proportion of good quality water bodies
The proportion of good quality surface and
groundwater
6.4 Efficient use of water resources
Water stress level: freshwater withdrawal in proportion to available freshwater
resources
6.5 Degree of implementation of the Integrated Water Resources Management (IWRM)
model (0–100)
The proportion of countries with IWRM
implementation
The proportion of the area of transboundary basins that is subject to operational
arrangements for water cooperation
The proportion of transboundary aquifers,
rivers, and lake basins subject to
operational arrangements for cooperation
6.6 Changes over time in water-related Number of rivers at the national level
ecosystem extension (millions of m3/year)
The extent of artificial and inland wetlands
(km2)
Mangrove extension baseline (km2)
Increase in mangrove area (km2)
Loss of mangrove area (km2)
Permanent and seasonal water area of lakes
and rivers (km2)
Permanent and seasonal changes in the
water area of lakes and rivers (%)
Minimum and maximum area of reservoir
(km2)
Water quality turbidity in lakes (%)
Trophic status of lake water quality (%)
6.a The volume of official development assistance for water and sanitation as part of
government coordination
(continued)
Table 1 (continued)
Indicators
Targets World LACa
6.b The proportion of local administrative Countries with users or communities that
units that have established operational participate in water resources planning in
policies and procedures for urban and rural areas
communities participation in water and The proportion of countries with policies
sanitation management and procedures for the participation of
communities or users to manage and
organize water resources
Source: Elaborated by the author based on IDB (2020), ECLAC (2020a)
a
For LAC, this proportion is broken down into urban and rural areas
monitoring SDG6 targets have a more comprehensive vision. Progress in meeting

SDG6 targets for LAC is analyzed below.
Progress of SDG6 in the Latin America and the Caribbean (LAC)

Region
The countries with the most remarkable progress toward meeting SDG6 targets are
Chile and Uruguay; these countries have considerably improved water supply and
sanitation access. In contrast, the Caribbean shows critical lags, such as Haiti. Other
countries with obstacles to guaranteeing access to water and sanitation services are
Bolivia, Guatemala, Nicaragua, Peru, and the Dominican Republic. The rest of the
countries have not made considerable progress, highlighting pending tasks to
enforce the human right to water and sanitation.
Water Access
The population with direct water access from water supply utilities in LAC increased
to 92.2% by 2020 and only 0.8% of the total population in the region still uses
surface water to meet its requirements (UN 2021). Since Target 1 promotes achiev-
ing universal and equitable access to drinking water at an affordable price for all,
LAC shows moderate progress from 2000 to 2020, increasing from 72% to 75% the
proportion of the population with access to safely managed drinking water,
representing an average increase of 3% (UN 2021). LAC has managed to exceed
the progress made globally, with an increase of 10% between 2010 and 2020. Puerto
Rico (with 100%), Chile (99%), Martinique (99%), US Virgin Islands (98%),
Guadeloupe (98), and French Guiana (91%) have achieved the most significant
progress in universal access to water services (UN 2021) (Fig. 1).
Access to safely managed water is unequal between urban and rural areas. From
2000 to 2020, the worldwide rural population with water access increased from 42%
Fig. 1 Safely managed drinking water supply in LAC. (Source: Elaborated by the author based on
UN (2021))
to 60%; in LAC, this figure increased from 41% to 53%, placing the region below the
world average (UN 2021; ECLAC 2020a; IDB 2020). This situation provides
evidence that the region’s efforts have lower ambition than other regions in the
world. Brazil stands out since this country improved water and sanitation access
from 47% to 72% in the same period, and for Paraguay, this increase went from 27%
to 51%. In contrast, countries with poor water and sanitation services coverage are
Honduras with an increase from 16% to 19% and Peru from 14% to 22% (UN 2021;
ECLAC 2020a; IDB 2020) (Table 2).
In urban areas, there is greater coverage of water services, and the world average
rose from 85% to 86% between 2000 and 2020 (UN 2021; ECLAC 2020a; IDB
2020). In LAC, coverage in urban areas between 2000 and 2020 remained at 82%,
which is below the world average. Chile (99%), Uruguay (95%), and Brazil (88%)
are the countries with the highest coverage of this service in 2020, while Peru is the
country with the lowest coverage, with only 59% of the total (UN 2021; ECLAC
2020a; IDB 2020) (Table 2). Urban areas have greater access to safely managed
drinking water than rural areas. The most significant progress is recorded in rural
areas, however, whose access to this service increased between 2000 and 2020 from
41% to 53% (UN 2021; ECLAC 2020a; IDB 2020). Greater attention is required to
improve access to drinking water in rural areas due to the health risks caused by the
absence of this service.
Table 2 Improvements in safely managed water services in LAC

Improvements safely managed water service in rural areas
Countries with the most significant progress Countries with the least progress
Country % Country %
Puerto Rico 100% Honduras 19%
Martinique 99% Peru 22%
Chile 99% Nicaragua 39%
Costa Rica 81% Colombia 40%
Brazil 72% Suriname 41%
Improvements in safely managed water service in urban areas
Country % Country %
Puerto Rico 100% Peru 59%
Martinique 99% Suriname 63%
Chile 99% Guatemala 65%
Uruguay 95% Nicaragua 67%
Brazil 88%
Source: Elaborated by the author based on UN (2021), ECLAC (2020a) and IDB (2020)
Sanitation Services and Eradication of Open Defecation
Progress in LAC has been incipient for ensuring access to equitable sanitation for all
and for ending open defecation. Progress in improved sanitation and eradication of
open defecation for the LAC region are discussed below.
Improved Sanitation
As of 2020, the population with access to safely managed sanitation services in the
LAC region amounted to 34%, and this figure is well below the worldwide average
of 54% (ECLAC 2020a; IDB 2020). Although washing hands with soap and water is
essential to combat infections and contagious diseases, according to UNICEF
(2020), millions globally do not have adequate facilities to carry out this practice.
In LAC, six countries are above the world average, such as Cuba (92%), Mexico
(90%), Belize (90%), Ecuador (87%), Costa Rica (86%), and Paraguay (80%)
(ECLAC 2020a). In contrast, those that register minor progress in the region are
the Dominican Republic (47%), Bolivia (27%), and Haiti (22%) (ECLAC 2020a).
The numbers of people in LAC who use latrines fell from 10.2% to 9.3%, and the
numbers who use unsafe septic tanks fell from 17.3% to 16.9% in the same period.
Therefore, on average, the region has shown moderate progress, although some
countries have made notable efforts to improve this indicator (Fig. 2).
Between 2000 and 2020, Chile (79%), Paraguay (60%), and Mexico (57%) have
made the most significant progress in improvements to sanitation and hygiene
infrastructure. During the same period, those countries that have experienced the
greatest delays in improvements to sanitation and hygiene infrastructure were
Colombia (18%), Venezuela (23%), Suriname (25%), and Costa Rica (30%)
(WHO/UNICEF 2017; ECLAC 2020a; IDB 2020) (Table 3).
Fig. 2 Access to basic facilities for handwashing in LAC. (Source: Elaborated by the author based
on WHO/UNICEF (2017), ECLAC (2020a), and IDB (2020))
Table 3 Improvements in sanitation and hygiene in LAC

Improvements in safely managed sanitation service
Country % Country %
Chile 79% Colombia 18%
Paraguay 60% Venezuela 23%
Mexico 57% Suriname 25%
Costa Rica 30%
Improvements in safely managed sanitation service in rural areas
Countries with the greatest progress Countries with the least progress
Country % Country %
Peru 81% Colombia 17%
Chile 62% El Salvador 17%
Suriname 21%
Costa Rica 29%
Improvements in safely managed sanitation service in urban areas
Country % Country %
Paraguay 71% Suriname 34%
Honduras 71% Costa Rica 37%
Ecuador 60%
Source: Elaborated by the author based on UN (2021), ECLAC (2020a) and IDB (2020)
There are marked differences in improved sanitation services between rural and
urban areas. For example, improved sanitation services for rural areas within the
LAC region showed a notable increase from 43% to 54% of the total rural popula-
tion; this figure is higher than the world average of 44% (ECLAC 2020a; IDB 2020).
Among the countries with the greatest progress in improving sanitation in rural areas
are Paraguay (71%), Honduras (71%), and Ecuador (60%), while those that pre-
sented the least advances are Suriname (34%) and Costa Rica (37%) (ECLAC
2020a; IDB 2020). At the same time, improvements to sanitation services for
urban areas within the LAC region presented a significant increase from 19% to
40%. Although this increase is impressive, urban sanitation services within the LAC
region remain below the world average of 62% (UN 2021). Peru (81%) and Chile
(62%) stand out among the countries with the most remarkable advances. In
comparison, the countries with the greatest lags in improving safely managed
sanitation are Colombia (17%), El Salvador (17%), Suriname (21%), and Costa
Rica (29%) (ECLAC 2020a; IDB 2020) (Table 3).
Eradication of Open Defecation

Eradicating open defecation implies to avoid excreta disposal in open and public
places (i.e., parks, rivers, streets, or land) due to the lack of access to toilets or
improved sanitation. Open defecation in LAC decreased from 10% to 2% between
2000 and 2020; this figure is below the world average, which fell from 21% to 6%
(ECLAC 2020a) (Fig. 3).
Fig. 3 Open defecation in LAC. (Source: Elaborated by the author based on UN (2021))
Table 4 Percentage of the Country/region All areas Urban zone Rural zone
population that practices
World 6% 1% 13%
open defecation in 2020
LAC 2% 0% 6%
Bolivia 10% 0% 33%
Haiti 18% 8% 31%
Source: Elaborated by the author based on UN (2021)
In LAC, 6% of the population practices open defecation in rural areas, far fewer
than the 13% of the reported global population. In contrast, open defecation is
carried out in urban areas by a much smaller proportion of the population, with
data indicating that only 1% engage in open defecation globally with no incidence of
urban open defecation in LAC (UN 2021). As well, Puerto Rico, Trinidad and
Tobago, French Guiana, Guadeloupe, Malvinas Islands, Guadeloupe, US Virgin
Islands, Cayman Islands, Saint Martin, and Martinique have all reported eradication
of open defecation in both urban and rural areas. However, Haiti and Bolivia have
made little progress, and open defecation remains a frequent practice carried out in
rural areas (ECLAC 2020a). Data suggest that 18% of the Haitian population and
10% of the Bolivian population continue to practice open defecation (ECLAC
2020a) (Table 4). Open defecation must be eradicated as it can contaminate water
sources and spread diseases such as cholera, diarrhea, and dysentery, affecting
human dignity (Kashiwase 2019).
Sewage
Wastewater is a valuable resource, and once treated, it provides clean water and can
generate energy and nutrients. Additionally, wastewater treatment improves public
health and quality of life by preventing contamination and the occurrence of
infectious diseases (World Bank 2020). Despite these benefits, it has not yet been
possible to treat all wastewater in the LAC region. Currently, just 40.8% of LAC
wastewater is treated, which is significantly lower than the world average, which
amounts to 55.5% of the total volume of wastewater produced (ECLAC 2020a). To
improve wastewater treatment management, governments must provide deep and
significant investments in the sector, as well as promote green and blue infrastruc-
tures that will offer fewer costs while contributing to improving resilience (Fig. 4).
The countries in LAC with the most significant progress in treating wastewater
are Chile (with 90.5% of the wastewater generated), French Guiana (70.2%), and
Mexico (60.1%), with the rest of the LAC countries reporting a volume treated
below 30% of the total (ECLAC 2020a). The country with the least progress in
wastewater treatment in the region is El Salvador with just 13%, followed by
Colombia (21.3%) and Costa Rica (23.3%) (ECLAC 2020a) (Fig. 4).
Within the LAC region, Brazil generates the greatest volume of wastewater
(40,686 million m3/year), 38.51% of which is produced by industrial activity
(ECLAC 2020a). Just 9% of wastewater produced by Brazil’s industrial sources is
Fig. 4 Wastewater treatment in LAC. (Source: Elaborated by the author based on ECLAC (2020a))
treated. The LAC country that generates the second largest volume of wastewater is
Mexico, with an approximate volume of 13,456 million m3/year (ECLAC 2020a).
Like Brazil, the Mexican industrial sector is responsible for producing the most
significant volume of wastewater (49.56% of the total). Unlike Brazil, however,
Mexico’s industrial sector treats 33% of the wastewater it produces. The LAC
country that generates the lowest volume of wastewater, which amounts to 84 million
m3/year, is Ecuador (UN 2021).
Efficiency in the Use of Water in LAC
SDG6 Target 4 promotes the efficient use of water so that we may reduce water
extraction and ensure that sufficient water is reserved for human needs. There has
been a low global advancement toward the target as water use efficiency has
increased from 17.28 to 19.01 USD/m3 between 2015 and 2018 (World Bank
2020). Regions with agriculture as the principal economic activity have lower
effective levels of 1 USD/m3. However, for industrialized regions, this indicator
can reach 1096 USD/m3 (World Bank 2020). The differences in water use efficiency
highlight enormous gaps in improving water use between countries and economic
sectors (World Bank 2020). For LAC, a reduction in water use efficiency is recorded
from 12.20 to 11.89 USD/m3. However, there are significant differences between the
region’s countries due to their economic structures, levels of development, and
population size (World Bank 2020).
The countries that register a greater efficiency in the use of water are Antigua and
Barbuda (118 USD/m3), Trinidad and Tobago (58 USD/m3), Barbados (52 USD/m3),
Fig. 5 Efficient use of water resources in LAC. (Source: Elaborated by the author based on UN
(2021))
and Panama (48 USD/m3) (World Bank 2020). Those that show the least progress in
terms of efficient water use are Guyana and Chile (2 USD/m3), Haiti (5 USD/m3),
Nicaragua and Suriname (7 USD/m3), and Venezuela and the Dominican Republic
(7 USD/m3) (World Bank 2020) (Fig. 5). As mentioned, these water-use efficiency
differences are explained by their economic structure since those countries with the
highest use efficiency are focused on the service sector, contributing to more than
half of their GDP. In contrast, the agricultural sector represents less than 3% of its
GDP (World Bank 2020).
The impacts of climate change, growth in population, and increased industrial
development have led to lower water availability. Therefore, it is essential to
improve water use efficiency in all productive sectors by fostering the implementa-
tion of technological innovations. Figure 5 compares LAC countries in terms of their
water use efficiency.
Water Stress
SDG6 Target 4 is additionally focused on reducing water stress and improving

people’s access to water sources. Water stress occurs when water demand exceeds
current availability or when uses for water are restricted due to low quality. When
water demand is less than 10% of availability, water stress is low; when
water demand is between 10 and 20% of availability, it corresponds to medium
Fig. 6 Water stress in LAC. (Source: Elaborated by the author based on UN (2021))
water stress; when water demand is between 20% and 40%, there is medium to high
water stress; when water demand is between 40% and 80%, water stress is high; and
if water demand is higher than 80% of availability, water stress is extremely high
(UN 2020).
In 2018, global water stress was 18%, classified as safe. However, this value hides
significant regional differences. For LAC, there are countries such as Barbados
(88%), Saint Kitts and Nevis (51%), and the Dominican Republic (50%) whose
water stress levels are severe and very severe (UN 2021). Despite this, the average
water stress in the region is 7%, which corresponds to a “low” rating. Panama,
Bolivia, Belize, Paraguay, and Colombia have water stress of 1%; Nicaragua, Brazil,
and Guyana of 3%; Suriname and Costa Rica of 4%; and Honduras of 5% (ECLAC
2020a) (Fig. 6).
Since water availability in the LAC region has declined, implementing adaptation
strategies is essential to identify alternative water sources and promote more efficient
water use. The reduction in availability due to climatic parameters and water cycle
changes, water demand increase, and land use modifications has increased water
stress. In LAC, annual per capita availability is 21,874 m3/inhabitant/year, almost
four times higher than worldwide water availability, which amounts to 5732 m3/
inhabitant/year (ECLAC 2020a).
In general, water is scarce in the Caribbean. Barbados (279 m3/inhabitant/year),
Antigua and Barbuda (545 m3/inhabitant/year), and Haiti (1185 m3/inhabitant/year)
stand out for their reduced availability and higher level of water stress (ECLAC
2020a). Grenada, the Bahamas, the Dominican Republic, and Cuba are in a similar
Fig. 7 Availability of water per capita in LAC. (Source: Elaborated by the author based on UN
(2021))
situation, with deficient availability levels below the world average, although they
face fewer water demands. Therefore, most of the islands in the Caribbean deal with
significantly reduced water availability caused by their environmental conditions.
LAC countries that have experienced an essential reduction in their per capita
water availability are Guatemala, Honduras, Ecuador, and Belize, which have
experienced a 70% decrease in water availability between 1962 and 2020 due to
population increases and ecosystem losses (ECLAC 2020a). This figure is signifi-
cantly higher than that recorded for the entire LAC region, which is 63% (ECLAC
2020a). The situation in Central America highlights the lack of government actions
to guarantee water security and conserve water sources in the region. Still, this
problem is present across the LAC region and worldwide, where there has been a
57% reduction in water availability for the same period (ECLAC 2020a) (Fig. 7).
Without adequate measures to mitigate the impacts of climate change on water
availability, the socioeconomic problems present in Central America could erupt in
additional regions throughout the world.
Implementation of Integrated Water Resources Management (IWRM)
SDG6 Target 5 refers to the implementation of Integrated Water Resources Man-

agement (IWRM) at all levels, including transboundary cooperation. IWRM is a
process that promotes a coordinated development and management of water, land,
and related resources to maximize economic and social well-being without

compromising vital ecosystem sustainability (GWP 2007). Advances in LAC for
IWRM implementation have been incipient. They are below the world average as the
region registered progress from 35% to 37% between 2017 and 2020, while the
IWRM application worldwide reached 57% by 2002 (ECLAC 2020a).
LAC has made little progress toward SDG6 Target 5. Unfortunately, 36.67% of
LAC countries have registered low levels of IWRM implementation, and 46.67% of
LAC countries have achieved a medium-low level of IWRM implementation
(ECLAC 2020a; UN 2021). It is believed that the lack of IWRM implementation
in the LAC is due to the limited participation of interest groups and the
non-acceptance of this water management model within individual jurisdictions
(ECLAC 2020a; UN 2021). Still, 3.33% of LAC countries have achieved a high
degree of advancement and gained the relevant participation of interested parties
(ECLAC 2020a; UN 2021).
Cuba and Brazil have the highest IWRM implementation scores and exceed the
average global achievement in this target with a percentage of 82% compared to the
world figure of 63% (ECLAC 2020a; UN 2021). Colombia, Bolivia, Costa Rica, and
Jamaica also achieved progress between 50% and 57%; Dominica, Barbados,
Mexico, Peru, and Saint Lucia between 40% and 47%; and Ecuador of 38%; all
these countries are above the average implementation of IWRM in LAC (ECLAC
2020a; UN 2021) (Fig. 8).
Application of the IWRM model facilitates the coordinated management of
transboundary basins and aquifers by promoting operational agreements between
two or more countries to improve the administration of shared water bodies. Ecuador
stands out in this regard since 100% of its transboundary basins have coordinated
management. For Chile and Brazil, this figure reaches 87 and 62%, respectively
(ECLAC 2020a; UN 2021). Additionally, these countries are above the world (58%)
and the LAC region (43%) average. In the opposite case, Venezuela, Costa Rica, and
Panama are the furthest behind in promoting cooperation for transboundary basin
management. For cross-border cooperation for aquifer management, a few countries
in LAC have made progress: 100% of Ecuador’s border aquifers have operating
agreements, above the world average with 42% of border aquifers managed. Another
country with some advances is Mexico since 22% of its northern and southern border
aquifers have a coordinated administration (ECLAC 2020a; UN 2021) (Table 5).
Improvement of Ecosystems Associated with Water
SDG6 Target 6 focuses on recovering and conserving ecosystems that provide

valuable hydrological resources; mangroves and wetlands stand out among these
ecosystems. The entire LAC has lost over 3000 km2 of mangroves, and Mexico and
Brazil have recorded the most significant losses of 1302 km2 and 535 km2, respec-
tively (UN 2021). Factors that explain this problem include population growth, land-
use changes, increased tourist areas in fragile ecosystems, and climate change. The
loss of these ecosystems has reduced their benefits, such as water supply and
Fig. 8 Degree of implementation of Integrated Water Resources Management (IWRM). (Source:

Elaborated by the author based on UN (2021))
Table 5 Coordinated management of basins and aquifers in LAC

Basins with transboundary operational Aquifers with transboundary operational
agreements agreements
Country % Country %
Greatest progress Least progress
Ecuador 100% Ecuador 100%
Chile 87% Mexico 22%
Brazil 62% El Salvador 1%
Argentina 60%
Paraguay 51%
Greatest progress Least progress
Venezuela 4% The rest of the LAC region 0%
Guyana 6%
Costa Rica 9%
Panama 9%
Source: Elaborated by the author based on UN (2021)
purification, mitigating extreme events, flood prevention, and carbon sequestration

(UN 2021).
Mexico and Brazil have the highest number of mangroves within their territories.
For instance, in Brazil, mangroves make up 28.6% of the total land area, while
mangroves in Mexico make up 25.4% of the total land area (UN 2021). Brazilian and
Mexican mangroves total 707 thousand kms2 and comprise 12.26% of the total
mangroves that exist worldwide. In the case of wetlands, the countries that concen-
trate the highest proportion of these ecosystems are Brazil (with 30% of land area),
Argentina (17.2%), and Venezuela (11.4%) (UN 2021). There is no information on
wetland ecosystem loss in the region, which does not allow for measuring the
progress of Target 6. Measurement of wetlands loss in the LAC region remains a
pending task to be carried out.
Conclusions
The LAC region has made moderate progress in meeting the SDG6 targets and is
below the progress recorded globally. This situation reinforces how much remains to
be done in the region to improve safe water and sanitation access, increase waste-
water treatment, promote more efficient water use, IWRM implementation, and
water-related ecosystem conservation. There are marked differences between the
progress made by the countries in the LAC region. Registering significant efforts to
improve water and sanitation access are Chile and Uruguay. In contrast, Haiti,
Colombia, and El Salvador show the most significant lags.
In many LAC countries, the decentralization of water supply and sanitation
services has made it difficult for local governments to improve their practices due
to insufficient financial resources to build the infrastructure required to meet water
and sanitation demands. Unfortunately, users in a vulnerable situation usually pay up
to 20 times more to guarantee their water access than those connected to the network.
This situation highlights the need to increase water sector infrastructure by using
green and blue infrastructures, which are less expensive and provide greater ecosys-
tem services. On the other hand, if vital water-related ecosystems continue to be
degraded by 2050, it is expected that 45% of world GDP and that of the LAC region
will be at risk, given the expected impacts on the economic sectors, especially
agriculture and industry.
Given the importance of achieving the targets of SDG6 to fight against poverty
and improve the people’s quality of life, the world and LAC must implement
inclusive policies aimed at ecosystem conservation, which have proven to be very
profitable and with a high return on investment, particularly for the most vulnerable.
For every dollar invested in improving water and sanitation access, the benefits to the
population are multiplied more than five times.
As water demand increases, so will the conflicts over guaranteeing its access.
Fortunately, the region’s governments have recognized the relevance of compliance
with the SDG as a crucial factor for protecting people’s health and combating
poverty. This recognition must be translated into concrete investments that provide
improved water and sanitation to the 166 million people who lack these services in
the coming years. Likewise, actions to improve safe sanitation services are urgent
because more than 443 million people still do not have access to adequate sanitation.
Wastewater treatment remains low in many LAC countries, which increases the
levels of pollution in water resources. Climate change is expected to be an additional
stressor for meeting SDG6 as the impacts of climate change reduce water availability
and quality, as well as increase droughts, floods, and tropical storm occurrences.
An additional challenge to be addressed by the LAC region is related to gover-
nance. It is essential to promote greater public participation and involvement in
water management decision-making that will result in better coordination for cross-
border agreements related to basins and aquifers. To achieve these goals, it is
necessary to strengthen the institutions in charge of water management using public
engagement and by guaranteeing human rights to universal water access.
Cross-References
▶ Foreign Direct Investment and Environment in Latin America: Sustainable Devel-

opment Goals
▶ Policy Dialogue on SDG Implementation in an Archipelagic Nation
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Protecting Our Oceans with Citizen Science:
El Astillero, Nicaragua
Carol Maione, Gabriela Fernandez, Domenico Vito, Luca Marsaglia,

Manuel Cortez, and Christan Buurstee
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 646
Managing Plastic Pollution on Coastal Sites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 648
Tackling Marine Litter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 648
Monitoring Beach Pollution: Examples from El Astillero, Nicaragua . . . . . . . . . . . . . . . . . . . . . . . . . 651
C. Maione (*)
Department of Management, Economics and Industrial Engineering, Politecnico di Milano, Milan,
Italy
Metabolism of Cities Living Lab (MOC-LLAB), Center for Human Dynamics in the Mobile Age,
San Diego State University, San Diego, CA, USA
e-mail: carol.maione@polimi.it
G. Fernandez
Metabolism of Cities Living Lab (MOC-LLAB), Department of Geography, Center for Human
Dynamics in the Mobile Age, San Diego State University, San Diego, CA, USA
e-mail: gfernandez2@sdsu.edu
D. Vito
Hubzine Italia, Milan, Italy
L. Marsaglia · M. Cortez
Casa Congo, El Astillero, Nicaragua
e-mail: luca@casacongo.org; manuel@casacongo.org
C. Buurstee
Politecnico di Milano, Milan, Italy
e-mail: christan.buurstee@polimi.it; christan.buurstee@hu.nl

https://doi.org/10.1007/978-3-031-16017-2_75
646 C. Maione et al.
The Issue of Marine Litter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 651

Beach Survey Protocol . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 652
Achieving the SDGs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 653
Contributions of Marine Litter Management to the SDGs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 653
Localizing the SDGs in Nicaragua . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 657
The Role of Citizen Science in Implementing the SDGs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 658
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 659
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 659
Abstract
Plastic debris is among the most documented beach litter in the Caribbean seas
with negative consequences on local marine ecosystems. However, the magni-
tude of the problem and its root causes are open streams for research. This chapter
aims to advance knowledge around the most common measures to tackle marine
litter, as well as their contributions towards achieving SDG 14 (Life below water)
and other ocean-related goals. Using the coastal city of El Astillero in Nicaragua
as a main case study, this chapter addresses the issues related to plastic pollution
and their main drivers, supplementing the present paucity of data on beach and
marine litter in this region. It provides implications and recommendations for the
use of citizen science and participatory approaches to monitor the state of marine
pollution, collect information on the distribution of plastic debris, and localize
interventions to prevent plastic waste from entering the ocean. These results
provide guidance for local stakeholders and policy-makers with regard to sur-
veilling the management of plastic waste and pollution in coastal areas. More-
over, this study suggests future research directions to engage local communities
for a cleaner environment.
Keywords
Plastic pollution · Monitoring · Citizen science · Beach cleanup · SDG 14 ·
Nicaragua
Introduction
Marine litter is one of the most alarming environmental crises of the twenty-first
century (Bettencourt et al. 2021). Marine litter is defined as “any persistent,
manufactured, or processed solid material discarded, disposed of or abandoned in
the marine and coastal environment” (UNEP 2009). Plastic debris constitutes the
most documented beach litter globally, with tremendous consequences for the health
and subsistence of marine life (Derraik 2002). The magnitude of plastic pollution is
striking, and future projections estimate that plastic will outweigh fish by 2050
(WEF et al. 2016).
Protecting Our Oceans with Citizen Science: El Astillero, Nicaragua 647
Several sources may contribute to ocean plastic pollution. However, the state of
knowledge around sources of beach and coastal litter needs further exploration due
to the difficulties in assessing provenience, pathways, and entry points of plastic
debris (Veiga et al. 2016). There is a clear need to improve existing methods for
assessing and monitoring marine litter distribution patterns, their impacts on the
marine environment, and root causes of marine pollution. To this end, this study
provides an overview of the most common measures to tackle marine pollution in
coastal regions while providing tangible implications and solutions to identify and
remove plastic locally and globally.
Among the numerous sources of marine pollution, coastal tourism is arguably
considered a major generator of plastic waste. Tourism facilities, such as hotels and
tourist attractions, have developed along the coast turning pristine areas into tourist
hotspots (McIlgorm et al. 2011). Consequently, beach littering has emerged with
concerns about the management of coastal and marine resources and health and
survival of marine ecosystems. In addition, tourism has introduced types of plastic
waste that are not typically associated with household waste (Jang et al. 2014).
Plastic waste in this group can be derived from food services, including food
packaging and tableware; hospitality, including single-use beauty care products
and other consumer goods; sports; and recreational activities (Mohammed 2002;
Do Sul et al. 2011; Jang et al. 2014; Staehr et al. 2018). Finally, marine littering can
be associated with sea-based plastic waste from coastal tourism, such as cruise lines,
ferries, and boats, as well as from commercial shipping (UNEP 2016a).
Furthermore, coastal tourism can be negatively affected by marine plastic pollu-
tion (Newman et al. 2015). Documented effects of plastic pollution on tourism sites
range from ingestion by marine organisms (Cózar et al. 2014) to degradation of reef
areas (Lamb et al. 2018) and reduction of mariculture (Wang et al. 2019). Marine
plastic pollution can also become a threat for human health by entering the food
chain via fish-based diets (UNEP 2014a; Thompson et al. 2009; Geyer et al. 2017).
In addition to environmental damages, marine litter can impoverish local economies
via reduction of investments in the tourism sector (McIlgorm et al. 2011), via loss of
tourism revenues due to deterioration of ecotourism attractions (Jang et al. 2014),
and via decline of marine-dependent activities (Mohammed 2002; Staehr et al.
2018).
This chapter explores a number of measures to tackle plastic pollution in coastal
areas and, in particular, the role of citizen science and awareness campaigns to
reduce marine litter. The aim of this chapter is to provide a replicable and general-
izable framework to collect information on beach debris and engage local commu-
nities in cleanup projects. This chapter is organized as follows: The first section
presents the most common measures to manage marine pollution. Following, a case
study on the use of citizen science to tackle marine litter is presented, using El
Astillero, Nicaragua, as the main area of investigation. Finally, the chapter recom-
mends future research directions to integrate existing approaches in coastal areas to
manage marine litter using citizen science approaches.
Managing Plastic Pollution on Coastal Sites
Tackling Marine Litter
Measures to Tackle Marine Litter

The implementation of measures and instruments to combat marine litter is of utmost
importance (Bettencourt et al. 2021). The marine litter management framework
includes four categories of measures: preventive, mitigating, removing, and
behavior-changing (Chen 2015). Preventive measures focus on source reduction
strategies, to avoid the production and subsequent mismanagement of plastic waste,
and waste management actions, such as waste containment, reuse, and recycling
(Chen 2015). These measures have long-term impacts as they address the issue of
marine litter at its core by narrowing production and consumption of new plastics
(e.g., reduced demand, phaseout of single-use plastics, ecodesign), retaining the
materials longer in the system (e.g., material’s life extension, reuse, recycling)
(Bocken et al. 2016; EC 2018), and reducing the ecological impacts (release of
greenhouse gas emissions and toxic leakages) associated with landfilling and incin-
eration practices (Hopewell et al. 2009; Thompson et al. 2009).
Mitigating actions pertain to plastic waste disposal and dumping regulations and
measures to contain debris discharge into the environment (Chen 2015). Mitigating
measures focus on litter reduction during production, collection, and disposal of
plastic waste and target short- and medium-term impacts (Bettencourt et al. 2021).
Examples of such measures include minimization of inadequate disposal methods
(e.g., open and illegal dumping, unsecured dumpsites), reduced dumping into
waterways and direct littering into oceans, and improved waste collection (UNGC
2020).
Removing actions aim to remove plastic litter that is already present in the coastal
and marine environment (Chen 2015). Among this group, beach cleanups are the
most common actions and have demonstrated remarkable success in containing
plastic inputs into the sea (Ocean Conservancy 2019; Rangel-Buitrago et al.
2020). When plastic debris originates from sea-based sources (e.g., fishing, coastal
tourism, maritime transport), initiatives have employed the removal of litter during
diving expeditions (e.g., diveagainstdebris.org) or fishing practice (e.g., fishingfor
litter.org). These measures have short- and medium-term impacts as plastic continues
to accumulate in the environment if no preventive actions are taken (Bettencourt
et al. 2021). Another type of removing measures is litter monitoring. Monitoring
often involves the recording of debris information and subsequent removal of the
debris (Chen 2015). In addition, monitoring can supplement the current lack of
information on plastic pollution sources and pathways (Geyer et al. 2017) while
providing long-term implications for pollution management and monitoring their
effectiveness over time (Barnardo and Ribbink 2020).
Finally, behavior-changing measures aim to influence consumption and littering
practices and engage consumers in pollution reduction (Chen 2015). Behavioral
change is difficult to achieve but can accelerate and support the development of
preventive, mitigating, and removing measures, resulting in long-term action to
combat plastic pollution (Chen 2015). Examples of behavior-changing initiatives are

educational and information campaigns to raise awareness of the mismanagement of
plastic waste. Education, particularly, is fundamental to enable a large-scale under-
standing of the negative impacts of plastic pollution on the world’s oceans and
encourage pro-environmental choices, thus contributing to the reduction of marine
pollution (Bettencourt et al. 2021).
Monitoring Marine Litter with Citizen Science

Growing levels of beach pollution have drawn substantial societal awareness, and
citizens around the world are taking action to fight marine pollution (Syberg et al.
2020). Large-scale cleanup campaigns such as “International Coastal Cleanup” and
“World Cleanup Day” have demonstrated great success in involving the general
public, shedding light on the growing role of citizen science in marine litter moni-
toring (Ocean Conservancy 2019; Syberg et al. 2020). At the same time, govern-
mental and nongovernmental agencies increasingly utilize citizen science projects to
pick up beach litter, collect data on plastic pollution and related environmental
impacts, and eventually inform policy-making on marine management (Fraisl
et al. 2020).
Several problems exist with present citizen science methods, including uncer-
tainties and knowledge gaps in the volumes and composition of marine litter and its
distribution in coastal and aquatic environment of different nature (e.g., mangrove
forests, reef areas, coastal vegetation, and inland waters) (GESAMP 2019; Syberg
et al. 2020). A first attempt to bridge these gaps is the nation-wide citizen science
project “Mass Experiment” (Syberg et al. 2020). What distinguished this project
from previous examples was the assessment of a variety of nature types with high
human activities (e.g., places where people tend to gather, parks, areas with social
activities), associated with greater risk of becoming entry points for beach litter.
Generally, data collection encompasses time-consuming and strenuous tasks for a
single scientist or a small group of scientists (Fraisl et al. 2020). Hence, volunteers
could help professional scientists collect useful information to create larger and
consistent datasets of plastic pollution (e.g., amounts, sources, pathways, and
drivers), where different users (e.g., individuals, volunteers, organizations) can
aggregate their litter records and sampling information (Zettler et al. 2017; Nelms
et al. 2022). As a consequence of this mutual exchange of information and synergic
interaction, scientists can broaden their understanding of the most pressing issues
and priority needs for local communities, additional gaps to address in their research,
and relevant indicators.
Furthermore, citizen science bears a great potential for assessing marine pollution
and its consequences to local environments while raising public awareness and
building capacity. Citizen science projects can in fact supplement existing monitor-
ing approaches via collection and real-time sharing of geo-referenced information on
litter quantities (Nelms et al. 2022). An example is constituted by participatory
sensing methodologies (Goldman et al. 2009). The term participatory sensing refers
to an umbrella of heterogeneous techniques employing mobile and remote devices to
create a diffuse sensing network, with the aim of engaging users in data collection
and analysis in an interactive, participatory way (Burke et al. 2006). Such techniques
are nowadays increasingly more accessible thanks to the rising capacity of mobile
devices to capture, classify, elaborate, and transmit data, including images and
locations interactively or autonomously (Yi et al. 2021). The result is the creation
of a diffuse network of sensor nodes and aware data collection instruments that in a
way organize the local knowledge of the context fostering the implementation of
sustainable solutions to community problems (Vito 2018). In conclusion, human
computation and participatory sensing can be triggered by “concerned citizens,”
representing a way to open the informative stream between institutions and civic
engagement.
Marine Litter Regulatory Framework

Plastic pollution in the planet’s seas has long been recognized as a challenge to
sustainable ocean governance (Haward 2018). Since the problem was recognized,
several directives and initiatives to combat this threat have been put in place. Sea-
based marine pollution from oil, chemicals, nuclear waste, and urban outflows was
first prohibited in the 1950s, during the first UN Conference on the Law of the Sea
(Haward 2018). Following growing concerns among the scientific community,
marine pollution received global attention in the 1970s, urging for international
action to reduce marine litter and microplastics (Boyle 1985). Marine pollution from
ships was addressed during the Convention on the Prevention of Marine Pollution by
Dumping of Wastes and Other Matter 1972 (IMO 1972), and subsequent amend-
ments (IMO 2006), adopted by the International Maritime Organization. This was
followed by the International Convention for the Prevention of Pollution from Ships
1973/1978, also known as MARPOL, which banned marine pollution by ships from
operational or accidental causes (IMO 1973).
Nonetheless, land-based plastic pollution, which roughly accounts for 80% of all
marine litter (Jambeck et al. 2015), remained unregulated for decades. It was not
until 2014 that world leaders jointly committed to the 2030 Agenda for Sustainable
Development’s goal of “prevent[ing] and significantly reduc[ing] marine pollution
of all kinds, in particular from land-based activities, including marine debris”
making the issue of plastic pollution a top global priority (SDG 14: Life below
water) (UN 2015). After 2014, the marine plastic pollution concerns have harnessed
the attention of the UN Environmental Assembly (UNEA) in several resolutions
(e.g., Resolution 1/6 on Marine plastic debris and microplastics and Resolution 2/11,
3/7, and 4/6 on Marine plastic litter and microplastics) (UNEP 2014b, 2016b, 2017,
2019). Thus, in 2020, the UN Global Compact (UNGC) launched ten “Sustainable
Ocean Principles” to protect and restore ocean health via urgent actions such as the
retention of land-based and sea-based anthropogenic pollution, with one specific
goal on ending plastic waste entering the ocean (UNGC 2020). However, despite
these global commitments to mitigating marine litter and plastic pollution, a number
of challenges to their implementation remain. In addition, international agreements
to prevent and mitigate plastics waste entering the ocean are not easily agreed upon
and are often criticized (Haward 2018).
In addition, these global actions were further bolstered by the enforcement of

local-based environmental policies in an effort to reduce land-based plastic pollu-
tion. Exemplar is the case of 34 African countries that imposed bans on the
manufacture, retail, distribution, and import of plastic shopping bags (Greenpeace
2020). In 2004, Rwanda set a precedent becoming the first country in the world to go
plastic bag-free. Following this example, many other countries ruled out partial or
total bans on plastic shopping bags, which are considered a primary source of plastic
pollution on African beaches (Xanthos and Walker 2017). Despite these early
attempts to reduce marine litter, plastic shopping bags remained a dominant litter
type in countries where the bans were not upheld by penalties and legal actions for
the transgressors (e.g., O’Brien 2018; Staehr et al. 2018; Maione 2019). Conse-
quently, some countries further extended their plastic shopping bag bans to limit
tourism-related plastic imports. For example, in 2019, Tanzania mandated all trav-
elers to “avoid carrying plastic carrier bags or packaging plastic carrier bags or items
in plastic carrier bags in the suitcase or hand luggage” with the aim to reduce marine
litter on tourism beaches (Government Communication Unit 2019).
Plastic pollution has also been regulated through the implementation of bans on
other single-use plastic items. By 2020, over 115 countries adopted national bans or
taxes on single-use items, and another 22 declared their intention to enforce single-
use plastic phaseout measures (WWF et al. 2020). An example is the European
Union’s “Directive on single-use plastics” that entered into force on July 2, 2019, to
phase out (where sustainable alternatives are available) or limit the use of ten items
containing plastic materials: cotton bud sticks; cutlery, plates, straws, and stirrers;
balloons and sticks for balloons; food containers; cups for beverages; cigarette butts;
plastic bags; packets and wrappers; wet wipes; and sanitary items (EC 2019).
Regulations also increasingly address restrictions on microplastics from land-based
sources, such as microbeads contained in cosmetics and personal care products
(EC 2018; Kentin and Kaarto 2018). The following section provides an example
case study of how citizen science can be a useful approach to localize the UN
Sustainable Development Goals (SDGs) while reporting, monitoring, and evaluating
beach marine litter.
Monitoring Beach Pollution: Examples from El Astillero,

Nicaragua
The Issue of Marine Litter
El Astillero is a small coastal village situated in the Rivas municipality, on the

Western Pacific coast of Nicaragua, with an economy based on fishing, agriculture,
and tourism activities. The village is located in proximity of the protected area
Chacocente Wildlife Refuge, which is one of the largest fragments of tropical dry
forest and is home to numerous wildlife species including primates. The protected
area of Chacocente also includes a 7.5-km-long beach that is nesting ground for three
species of sea turtles leatherback turtle (D. coriacea), hawksbill turtle (E. imbricata),
and olive ridley turtle (L. olivacea). The characteristics listed in the previous section
make this area a biodiversity hotspot and at the same time a place where natural
resources such as fish stocks play a fundamental role in the livelihoods of the local
communities. It is not surprising then that plastic pollution constitutes an alarming
threat to these pristine ecosystems, with negative repercussions on local economies.
The coastal village of El Astillero in Nicaragua offers a rich case for studying
beach pollution. In fact, it presents many of the challenges linked to the management
of plastic waste and pollution in developing coastal regions. Like other coastal areas
in the Caribbean, El Astillero too is bounded by limited space for collecting, sorting,
and managing municipal waste. This is coupled with the absence of a regular
provision of waste collection services that causes great amounts of waste to be lost
or dispersed in the local environment. In particular, the volumes of plastic waste
generated in El Astillero can vary greatly across different seasons; for example,
during the rainy season, waterways can carry variable amounts of waste generated by
upstream communities, and winds disperse lighter plastic materials. This bears
implications for the management of different streams of plastic waste flows.
Another common challenge pertains to the lack of awareness and communication
on the negative impacts of mismanaged plastic waste on the marine environment that
often results in uncontrolled dumping and direct littering into the ocean and water-
ways (Rangel-Buitrago et al. 2019, 2020). During winters, rivers are often filled with
solid waste (pesticides, hazardous waste, containers, plastics, among others) dumped
by local agricultural farmers, citizens, and businesses. This has put tremendous
pressure along the coastal region of El Astillero as water currents push waste out
to the shores.
Finally, the growing consumption of plastics and single-use plastics on tourism
beaches results in increased marine pollution if plastic waste is not managed
properly. Over the past decades, the expansion of tourism and subsequent increased
waste generation contributed heavily to marine plastic pollution, confirming the
trends observed in other studies in the Caribbean (e.g., Rangel-Buitrago et al.
2017; Garcés-Ordóñez et al. 2020). These studies have found that tourism-related
plastic consumption is mainly characterized by packaging items.
Beach Survey Protocol
In order to achieve sustainable oceans, it is important to understand the root causes

and drivers of marine pollution and its sources and pathways, as well as preventive
measures, to avoid plastic waste from entering the ocean. To this end, localized
monitoring is especially recommended to assess and quantify marine litter on
tourism beaches. It presents several advantages as it allows to capture spatiotemporal
variability of beach and coastal plastic pollution over time (e.g., measurements can
be repeated over several consecutive days and across time). Second, macro-debris
survey can be carried out by means of visual inspection (e.g., litter count and litter
ID) and using some relatively basic, cost-effective tools (e.g., logbook, pencils,
measuring tape, litter bags, and buckets), which can make litter assessment more
Fig. 1 Children and volunteers collecting and analyzing beach litter in El Astillero, Nicaragua,
during a beach cleanup. (Courtesy of the authors)
accessible (Lippiatt et al. 2013). Finally, survey results can supplement the present
paucity of data on sources and amounts of marine plastic pollution (Millette et al.
2019).
Several protocols for surveying beach and marine litter exist (e.g., NOWPAP
2007; JRC 2013; Lippiatt et al. 2013). In general, macro-debris surveys attempt to
answer questions such as: (i) Where are the areas where litter is most prevalent?
(ii) How much litter occurs in the selected study sites? (iii) What is the litter
composition (wet, recyclable, nonrecyclable)? (iv) What are the principal types of
material (e.g., plastic, paper, metal, etc.)? (v) What are the principal litter items?
(vi) Does the amount of litter vary across different transects? (vii) What are possible
variables that affect the input of litter at sea? (Barnardo and Ribbink 2020).
In addition to quantitative data on the status of plastic pollution, understanding
social perception, attitudes, and behaviors is a critical step in attempts to engage
society in this environmental concern and move towards more sustainable purchas-
ing, consumption, and disposal behaviors (Fig. 1).
Achieving the SDGs
Contributions of Marine Litter Management to the SDGs
Engaging citizens in litter monitoring and removal presents several advantages

necessary for the achievement of SDG 14 (Life below water) while positively
contributing to numerous goals.
Figure 2 indicates that all management actions have the greatest potential to
achieve SDG 14 and particularly target 14.1 on marine debris prevention and
reduction, target 4.2 on sustainable management of marine resources, and target
14.c on conservation and sustainable use of oceans (Löhr et al. 2017; UNEP and
Fig. 2 Contributions of selected marine litter management actions towards the achievement of the
SDGs. (Image by the Authors; SDG icons credits: United Nations* 2022, https://www.un.org/
sustainabledevelopment/). *The content of this publication has not been approved by the United
Nations and does not reflect the views of the United Nations or its officials or Member States
GRID-Arendal 2016; UNGC 2020; UN 2015). In addition, litter monitoring can

contribute to target 14.a by increasing scientific knowledge and developing research
capacity and technology to improve the health of oceans in developing countries
(UN 2015). The specific contributions to the achievement of SDG 14 in Nicaragua
are further discussed in section “Localizing the SDGs in Nicaragua” (Table 1).
Marine litter management is inextricably linked to the achievement of SDG
12 (Responsible consumption and production), in that it contributes to target 12.4
on environmentally sound waste management and target 12.5 on waste reduction
(Löhr et al. 2017; UNEP and GRID-Arendal 2016; UNGC 2020; UN 2015).
Accordingly, it contributes to SDG 11 (Sustainable cities and communities) target
11.6 that focuses on reducing the adverse environmental impacts of cities via waste
management (Löhr et al. 2017; UNEP and GRID-Arendal 2016; UN 2015). At the
same time, managing marine litter creates the conditions to further SDG 6 (Clean
water and sanitation) target 6.3 on improving water quality via pollution reduction
(Löhr et al. 2017; UNEP and GRID-Arendal 2016; UN 2015).
Importantly, implementing education and awareness campaigns on marine litter
and related impacts can significantly contribute towards SDG 4 (Quality education)
and, specifically, target 4.7 on acquisition of knowledge and skills to promote
sustainable development for all (UN 2015). Marine litter education for sustainable
development is gaining prominence for its transformative view of learning through
active participation and engagement of learners that augments their commitments to
sustainable practices (Bettencourt et al. 2021; Tilbury 2011). In addition to contrib-
uting towards the achievement of the Agenda 2030, marine litter education notably
brings progress on the fronts of the UN Decade of Ocean Science for Sustainable
Development and the Sustainable Ocean Principles on retention of land-based and
sea-based anthropogenic pollution (4.1: End plastic waste entering the ocean)
(UNGC 2020).
Table 1 Recommendations for Nicaragua and Caribbean coastal areas based on SDG 14 targets.
(Adapted from Target icons credits: The Global Goals 2022. Redistributed under the license CC
BY-SA 3.0, https://creativecommons.org/licenses/by-sa/3.0/)
Targets Objectives Description Citizen science activities
SDG 14.1 Reducing Prevent and substantially • Organize river, lake,
marine litter reduce marine littering and seaside, and beach
and pollution land-based and sea-based cleanups
pollution by 2025 • Engage both local and
tourist communities of all
ages in cleanups
• Partner with local NGOs
and/or K-12 schools to
develop cleanups
SDG 14.2 Managing and Sustainable management, • Run educational
protecting protection, and restoration campaigns in multiple
marine of marine ecosystems languages on the effects of
ecosystems towards healthy oceans by specific species and
2020 ecosystems on seas and
oceans
• Collaborate with other
bright-minded individuals
around the world who are
interested in the same
topics and take action
towards ocean restoration
SDG 14.4 Promoting Stop overfishing, illegal • Support local and certified
local-based and unregulated fishing, fisheries
and and all forms of fish • Educate K-12 students on
sustainable harvesting resulting in the pros and cons of buying
fishing destructive practices by and not buying locally
2020 while promoting through seminars,
science-based marine webinars, VR games, board
management games, and round table
discussions
SDG 14.5 Monitoring Protect coastal and marine • Stay informed, monitor,
and protecting areas by implementing sea and forecast marine
coastal and laws and science-driven management
marine areas marine management by • Follow local news and
2020 stay in touch on the dangers
of fishing exploitation and
ocean pollution
• Classify waste using
transects along coastal
areas using geo-coordinate
monitoring systems and
colored trash bags
SDG 14.6 Ending illegal End illegal and unreported • Identify industries along
and fishing via elimination of the coastal regions that are
unsustainable fisheries subsidies, and major contributors of ocean
fishing prevent the introduction of pollution and marine litter
(continued)
Table 1 (continued)
economic measures that • Interview cleanup
foster overcapacity and volunteers using a QR
overfishing code/survey (online/
offline) to report their
experience and thoughts of
where and why the waste
originated in specific
industries/sectors
SDG 14.7 Implementing Implement blue economies • Reduce land-based waste
blue economic based on the sustainable at risk of entering the ocean
models management of coastal and • Phase out single-use
marine resources (fisheries, plastic near or on beaches
mariculture, tourism) in • Enforce adequate disposal
small islands by 2030 measures to facilitate
plastic waste management
• Develop a SWOT
analysis to identify an
area’s strengths,
weaknesses, opportunities,
and threats along coastal
tourist areas
• Develop a stakeholder
analysis to identify the
major players that are
contributing to the marine
pollution problem or
advocating towards
healthier coastal regions
SDG 14.8 Protecting the Protect and improve ocean • Provide healthy
ocean through health through scientific consumption behavior
scientific research, knowledge, and examples to citizens, and
knowledge technology transfer communicate with relevant
stakeholders on the
positives and negatives
• Advocate towards
reducing the consumption
of single-use plastics
SDG 14.9 Promoting Improve market • Highlight success stories
local-based opportunities for local- of small-scale fishers by
marine based and small-scale supporting the use of
resources fisheries awareness, education, and
research
• Run awareness
campaigns or exhibitions
on the effects of marine
litter on marine resources
SDG 14.a Adopting Adopt national and • Participate in community
international international sea laws gatherings regarding
sea law oriented towards a marine litter pollution
(continued)
Table 1 (continued)
sustainable use of marine • Find out how you can
resources, within the spread the word on ways to
framework of the UN enforce international sea
Convention on the Law of law
the Sea • Develop art projects such
as public art, participate in
clubs, climathons/
hackathons, activities,
conferences, K-12 school
volunteer beach cleanup
events that promote
healthier oceans while
using social media and
interviews/videos/
brochures storytelling to
create awareness in
multiple languages to leave
no one behind
While some effects are direct and straightforward, others are indirect or hidden.
Figure 2 shows that marine litter management strategies present indirect impacts on
SDG 2, SDG 3, SDG 5, SDG 7, SDG 8, SDG 9, SDG 13, SDG 15, and SDG 17. For
example, litter management enables preservation of the local environment via
prevention and mitigation of plastic inputs in the natural systems, as well as
reduction of landfilling operations, illegal dumping, and related leakages, with
indirect effects on SDG 15 (Life on land) (UN 2015). Another indirect benefit of
litter management pertains to the reduction of emissions from uncontrolled dumping,
illegal burning, and dispersion of plastic waste in the environment, overall contrib-
uting to SDG 13 (Climate action).
Localizing the SDGs in Nicaragua
SDG 14 calls upon states to prevent and significantly reduce marine pollution of all
kinds, in particular from land-based activities, including marine debris, by 2025
(UN 2015). The case study of El Astillero provided an example of how citizen
science through beach cleanup activities, educational lectures on waste, monitoring,
and classification of materials is a step forward to achieving the SDGs towards
tackling marine litter and microplastics. Thus, despite worldwide attention devoted
to the ocean waste crisis, these practices and actions can be considered a small
fracture and step forward towards achieving litter-free society oceans. The oceans
must be protected by eliminating pollution and overfishing and immediately starting
to responsibly manage and protect all marine life around the world. Table 1 provides
recommendations for Nicaragua and Caribbean coastal areas based on SDG
14 targets to create action to conserve and sustainably use the oceans while consid-
ering citizen science activities in Nicaragua. Encouraging stewardship and volun-
teerism to pick up marine litter along coastlines is a major strategy of citizen science.
A number of stages need to be taken into account when developing a beach cleanup.
A number of suggestions need to be considered when developing a beach cleanup
such as identifying a cleanup site, choosing a site coordinator, visiting the site in
advance, gathering supplies, planning how to handle the recyclables, lining up event
partners, planning for handling hazardous waste, getting volunteers to help, tracking
trash using transects, and being covid safe by providing sanitizing tools, rules, and
masks.
The Role of Citizen Science in Implementing the SDGs
Based on previous studies, a number of strategic recommendations can be drawn

pertaining to the application of citizen science approaches towards tackling marine
pollution. First, citizen science participatory approaches challenge the traditional
“top-down” implementation of the SDGs (Allen et al. 2017) and highlight that, to
fulfill the 2030 Agenda for Sustainable Development, it is essential to translate the
SDGs into national and local policy initiatives. In particular, the application of
participatory approaches can increase transparency and accountability in decision-
making, enabling collective action and democratic participation (Vito 2018).
Second, citizen science could significantly contribute to the current paucity of data
on SDG environmental indicators (currently 68% of the 93 environmental SDG
indicators lack data) (Campbell et al. 2019). This lack of information can be due to
the fact that traditional data sources can be accessible only at high costs, and can be
affected by infrequent data collection cycles, lack of spatial variations across a country,
openness, and accuracy among others (Fritz et al. 2019). For this reason, not only
could citizen science contribute to data collection, but it could also support the official
SDG monitoring and reporting and enhance timely decisions (Fraisl et al. 2020).
Third, the SDG implementation could benefit from the data and knowledge that
citizen scientists produce on diverse topics and in various locations over a short
period of time, which otherwise would not be available due to the time and resource
constraints (Saner et al. 2020). The UN Secretary General’s Independent Expert
Advisory Group on the Data Revolution for Sustainable Development and the Inter-
agency and Expert Group on SDG Indicators (IAEG-SDGs) argued in favor of this
approach that multiple sources of data generated by citizens and volunteers, both
actively contributed through citizen science and passively through social media,
location-aware mobile phone data, and low-cost sensors and wearables, are now
officially recognized among the list of official SDG sources (Fraisl et al. 2020).
Finally, citizen science could benefit local communities by raising awareness of
local-based environmental and societal issues. In the case of El Astillero, the
involvement of the community in beach litter activities gave local youths a unique
opportunity to meet marine litter experts and scientists and learn about the issue of
marine litter and its impacts on local marine ecosystems.
Conclusion
Plastic debris is among the most common beach and marine litter in the Caribbean
(Rangel-Buitrago et al. 2019; Bosker et al. 2018). Plastic materials have become so
popular that plastic wastes have been found in the most remote atolls in the
Caribbean Sea (Rangel-Buitrago et al. 2019; Portz et al. 2020). However, the state
of knowledge around sources and root causes of plastic pollution remain an open
question, due to patchy data and quantitative assessments of beach and marine litter
inputs. To date, there are no comprehensive data on plastic consumption and
management of plastic waste in the Caribbean. To supplement to this paucity of
data, this chapter reviews the most common measures to tackle marine litter and
offers a replicable and generalizable framework for monitoring and reporting on
beach and marine litter, using El Astillero, Nicaragua, as the main case study. This
framework can support the work of waste workers and policy-makers on several
fronts: (i) it enables the collection of data on the types of waste materials and
pollution; (ii) provides information on potential sources and pathways of plastic
pollution, including the total contributions of different sectors, accumulations, and
transport of plastics; (iiI) helps detect material losses and discharges into the ocean;
and (iv) advances knowledge of the impacts of plastics on the marine environment
and local communities.
Acknowledgments The toolkit presented in this chapter stems from a research collaboration
between the Metabolism of Cities Living Lab, Center for Human Dynamics in the Mobile Age,
San Diego State University (humandynamics.sdsu.edu/Metabolism_of_Cities_Living_Lab) and
Casa Congo (casacongo.org), a Nicaraguan NPO that provides community-based conservation
programs in the area of Chacocente Wildlife Refuge and surrounding ecosystems.
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Perceptions of Sustainability in Chilean
Higher Education Communities
Claudia Mac-lean, Isabella Villanueva, Sergio Celis, Rodolfo Sapiains,

and Paula Araneda
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 666
Sustainability Definitions and Interpretations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 669
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 671
Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 671
Participants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 671
Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 673
Analysis Technique . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 673
Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 673
Sustainability Meanings Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 673
Sustainability Aspects Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 675
Word Cloud . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 675
Conceptual Model of Sustainability Views in Chilean Universities . . . . . . . . . . . . . . . . . . . . . . . . 677
Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 679
C. Mac-lean (*)
Gaia Antarctic Research Center, University of Magallanes, Punta Arenas, Chile
e-mail: claudia.maclean@umag.cl
I. Villanueva
NGO CEUS Chile, Santiago, Chile
e-mail: ivillanueva@ceuschile.cl
S. Celis
School of Engineering and Sciences, FCFM, Universidad de Chile, Santiago, Chile
e-mail: scelis@uchile.cl
R. Sapiains
Gaia Antarctic Research Center, University of Magallanes, Punta Arenas, Chile
Facultad de Ciencias Sociales, Universidad de Chile, Santiago, Chile
e-mail: rodolfo.sapiains@umag.cl
P. Araneda
IDIEM, Universidad de Chile, Santiago, Chile
e-mail: paula.araneda@idiem.cl

https://doi.org/10.1007/978-3-031-16017-2_79
666 C. Mac-lean et al.
Analysis of Chilean Discourses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 679

Three-Layer Framework for Sustainability Enhancement at Universities Based
on Stakeholder Perceptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 681
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 685
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 687
Abstract
Higher education institutions have increasingly adopted sustainability concepts in
their teaching, research, campus operations, and outreach realms. Global agendas
such as the Talloires Declaration and the United Nations Sustainable Develop-
ment Goals (SDGs) have influenced universities’ sustainability objectives and
pushed for institutional transformations. Even more, education for sustainable
development can be regarded as a key element in the achievement of the SDG
4 of Quality Education. However, sustainability remains a concept that intrinsi-
cally comes along with a variety of discourses and interpretations. In light of this
pluralism and given the fact that it is a subjective and context-specific conceptu-
alization, the purpose of this chapter is to understand the Chilean higher education
perception of sustainability. Examining sustainability viewpoints at universities
provides valuable feedback to higher education stakeholders for better decision-
making, which facilitates the organizations’ transformational processes toward
sustainable development. This study uses a survey design with two open-ended
questions, administered to students, professors, and non-academic staff at Chilean
universities. The main findings indicate that there is an alignment between the
participants’ main ideas expressed with those of the academic and/or traditional
sustainability definitions and that there seems to be an approach toward the
sustainability meaning where the environmental dimension prevails. The results
also suggest that there might be a potentially inclusive collective discourse about
what sustainability means for the higher education community in Chile. Based on
these analyses, a three-layer framework for sustainability enhancement at univer-
sities is proposed. Thus, a Latin American perception of the matter of sustain-
ability and higher education is explored, which also allows to grasp the
conceptual context in which the SDGs might (or not) succeed at universities.
Keywords
Sustainability · Perception · University · Sustainable development ·
Interpretation · Higher education
Introduction
Implementing sustainable development demands collaboration between multiple

stakeholders in every single sector in society. Education, as one of the key influential
change instruments, is deemed to be paramount to achieve this goal (Wright and
Horst 2013). To highlight the essential role of the educational sector in this matter,
the United Nations Decade of Education for Sustainable Development was declared
Perceptions of Sustainability in Chilean Higher Education Communities 667
and developed from the year 2005 to 2014 (UNESCO 2021a). In this context, higher
education institutions (HEIs) play a critical role in promoting sustainability through
different paths. Numerous universities have signed international sustainability state-
ments, including the Talloires Declaration in 1990 (Zutshi and Creed 2018), in an
attempt to push the agenda forward.
The evolution of universities is viewed as a key element within societal change if
meaningful advancement is expected to occur. A green or sustainable HEI embraces
sustainability in all scopes of its tasks; this is in investigation, education, operations,
outreach, university framework, among others (Fissi et al. 2021). The advancement
of universities varies significantly among institutions. In this regard, Mac-lean et al.
(2021) argue that several models of the change process toward sustainable develop-
ment at HEIs have been established. These tend to categorize from different
approaches the sustainability progress of universities from earlier and preliminary
phases to stages of maturity and institutional transformation.
Regarding the concept of sustainability, the most quoted definition originated in
the Brundtland Commission in 1987 (Roostaie et al. 2019). Sustainable development
was described as “development that meets the needs of the present without
compromising the ability of future generations to meet their own needs” (UNESCO
2021b). Additionally, abundant literature argues that there are three or four sustain-
ability dimensions: society, economy, environment, and culture (Giddings et al.
2002; Waas et al. 2011, as cited in Wright and Horst 2013).
However, sustainability is a concept that intrinsically implies a variety of defini-
tions, discourses, and interpretations, given its subjective and context-specific
nature. White (2013) states: “Simply put, sustainability, and its predecessor term,
sustainable development, mean different things to different people” (p. 213). A great
collection of interpretations arises given the multiplicity of actors involved, such as
status quo, radical agendas, eco centered, economics centered, or a predict and
control approach (Hugé et al. 2018). Likewise, within the sustainability scope, it is
possible to move from climate change or extreme poverty eradication to the adoption
of the United Nations 2030 Agenda. Hopwood et al. (2005) mapped different
approaches to sustainable development. The resulting list is wide and includes
notions such as natural resource management, green consumers, ecological modern-
izers, green economists, mainstream environmental groups, environmental justice,
anti-capitalist movement, ecofeminist, ecosocialist, deep ecology, and eco-fascist.
Several implications have been identified regarding personal and a common
institutional understanding of the sustainability conceptualization at the university
level. First, lack of knowledge, awareness, and/or understanding of the notion is
perceived as an obstacle for HEIs to further commit to sustainability activities
(Wright 2010). Leal Filho (2000) finds that two of the main items recognized by
university authorities that pose a barrier to sustainability relate to the concept being
too abstract and broad. Owens and Legere (2015) state that “creating and
implementing effective policies to combat environmental problems – whether on
the smaller scale of an HEI or the large scale of a nation – can be difficult when the
public fails to understand key underlying concepts” (p. 382).
Secondly, sharing an understanding of sustainability at the community level is a
key issue in the institutions’ transformational processes toward its incorporation.
Niedlich et al. (2020) propose a tool for evaluating sustainability governance at

universities. Stakeholders across domains are expected to have a common compre-
hension of sustainability within the highest levels of their assessment scale. Wright
and Horst (2013) affirm that if HEIs are acknowledged as key organizations con-
tributing to sustainable development, it is vital that the actors within the university
share an interpretation of the notion.
Thus, the implications of examining sustainability perceptions at universities
provide valuable feedback to HEIs’ decision-makers for better managing the sus-
tainable transformation. These are the reasons:
a) It allows to evaluate whether the individuals are aware and informed regarding
the concept, and determine whether the community’s views respond to a predom-
inantly shared or conflicting understanding of sustainability.
b) It permits to grasp whether the existing perceptions could be obstacles or
facilitators for the sustainability transformational process at the HEI and of its
members contributing to sustainable development in a wider societal scope.
c) It allows to identify strategic, tactical, and operational opportunities for action
arising from the communities’ discourse.
Consequently, this study explores the Chilean higher education perception of the
meaning of sustainability and its main aspects. Several grassroots movements and
significant progress have occurred in sustainability incorporation at HEIs in Chile.
Relevant milestones have been (1) the voluntary participation in the Talloires
Declaration by three universities (ULSF 2021); (2) the involvement of certain
HEIs in international rankings; (3) the commitment of 15 HEIs toward carbon
neutrality through the Race to Zero campaign (Education Race to Zero 2021);
(4) the development of a national sustainability reporting and evaluation tool (Red
Campus Sustentable 2021a); and (5) the implementation of a Cleaner Production
Agreement for universities (Agencia de Sustentabilidad y Cambio Climático 2017).
Nevertheless, there is not yet a well-defined public policy targeted to support the
campuses nor significant practice or research regarding sustainability perceptions of
universities’ communities. Therefore, this study provides an insight into the most
salient sustainability conceptualizations that are in use by those leaders who are
mobilizing awareness and actions at Chilean HEIs.
The case of Chile is relevant in a broader scope mainly due to three reasons. First,
it provides a southern hemisphere view of a country where environmental issues are
gaining prominence as they are being a frequent subject on the public agenda
(Ministry of Environment 2018). Second, the Chilean higher education sector has
been considered to be in a key successful position along with six other countries, the
so-called TACTICS (World Economic Forum 2016). Accordingly, the pathways
undertaken at universities in Chile might influence other nations’ developments.
Finally, Chile meets the great majority of the nine susceptibility conditions set by the
United Nations Framework Convention on Climate Change (Ministry of Environ-
ment 2017). Thus, the sustainability-related measures adopted at all scales, from
educational institutions to national schemes, are becoming even more important.
Sustainability Definitions and Interpretations
After the Brundtland report, the sustainability conceptualization has acquired an

increasing number of definitions, causing in many cases lack of cohesion or general
confusion regarding its meaning (Marshall and Toffel 2005; Becker 2012; White
2013, as cited in Owens and Legere 2015). Johnston et al. (2007) indicate that
around 300 definitions of sustainable development and sustainability existed in the
environmental management field and its related disciplines by then. Bettencourt and
Kaur (2011) collected scholarly publications in the sustainability science field and
examined the structure of over 20,000 articles. Then a word cloud was generated to
show the most frequently occurring words in publication titles, where some of the
main results were environmental, development, management, systems, water, case,
soil, ecological, health, energy, study, production, assessment, change, policy, new,
analysis, and production.
White (2013) identified commonalities from more than 100 previously published
sustainability definitions to create a tag cloud of the recurrent components. These are
the 24 most frequent words and concepts found:
1. Environment
2. Social
3. Economic
4. Life
5. System
6. Nature
7. Resources
8. Human
9. Development
10. Needs
11. Future generations
12. Community
13. Produce
14. Time
15. Earth
16. Generation
17. Ecological
18. World
19. Process
20. Meet
21. Means
22. People
23. Growth
24. Equity
After reviewing sustainability definitions and principles, Ruggerio (2021) con-

cludes that a conceptual model or definition of sustainability needs to fulfill these
conditions: (1) comprise the complexity of socioecological systems by covering

political, ecological, economic, and social features; (b) consider intra- and
intergenerational justice; and (3) recognize the feedback of the socioecological
systems and their settings.
Weisser (2017) found that sustainable development definitions at the tertiary level
divulge comparable flexibility and fluidity as those found in the public speech in the
United States. Studies show that the sustainability concept can be overused or vague
(Gibson 1991; Robinson 2004; Waas et al. 2011; Wright and Horst 2013). Other
researchers claim that a rigid sustainability definition could limit its application,
given that the term draws on several fields, is subjective and contextual, and
consequently adjustable to situations and disciplines (Waas et al. 2011, as cited in
Christie et al. 2015).
Waas et al. (2011) point out that despite the multiple conceptualizations, there is
substantial consensus on shared principles among sustainability academics. These
authors also propose that sustainability should be considered a constant exploration
for balance in a changing background; it is not an end point but a destiny-oriented
journey. This dynamism is reflected in the Chilean Sustainable Campus Network
(SCN) definition of the term. It initiates by describing sustainability as a “collective
construct” (Red Campus Sustentable 2021b).
Even though in modern-day society sustainability currently is an acquainted
concept, its interpretation can be considered to a certain extent abstract (Lozano
2008). The significance and perception of sustainable development vary among
different nations and cultures (Khalil et al. 2013). Features that influence a person’s
approach to sustainability are knowledge, background, experience with social and
environmental issues, values, and the general context (Filho 2010).
Recent studies have developed research regarding sustainability awareness and
definitions in the higher education sector. These incorporate different actors and
methodologies (e.g., Weisser 2017; Malik et al. 2019; Rouhiainen and Vuorisalo
2019; Aminpour et al. 2020). Nevertheless, the works by Wright (2010), Owens and
Legere (2015), and Aleixo et al. (2016) are considered particularly relevant due to
their focus on qualitative methods through open-ended questions. This allows
participants to deliver their personal interpretation of the sustainability conceptual-
ization without the researchers providing previous categories or labels that might
bias their responses. Typically, these studies include asking the following or a similar
enquiry to the target group: “When you hear the term sustainable development, what
does this mean to you?” or “How would you define sustainability?”
Wright (2010) presents the results of a study developed with 17 university
presidents at Canadian universities. One query corresponded to: When you hear
the term sustainable development, what does this mean to you? Twenty-one
responses were analyzed, and, in general, they pointed to the classic Brundtland
definition. Likewise, they all mention concepts such as the integration of the
environment, social concerns, and the economy in decision-making. Also, Owens
and Legere (2015) conducted an online survey on environmental behaviors and
knowledge at the University of Hartford in the United States. Two of the questions
were: Do you feel you have a clear understanding of sustainability? (yes/no) and
How would you define sustainability? (open-ended question). Responses were
obtained from students, non-academic staff, and professors. For the first query,
57% answered yes and 43% responded no. Among the most frequently mentioned
words within the responses were the idea of conserving what we have, including
sustain, maintain, continue, last, and endure.
Aleixo et al. (2016) developed semistructured interviews with one of each
stakeholder per university of four HEIs in Portugal. One of the questions was:
When you hear the term sustainable development, what does this mean to you?
Among the predominant results in terms of frequency were (a) conservation of
natural resources for future generations; (b) environmental, economic, and social
components; (c) environmental component; and (d) environmental and economic
components. Also, most of the interviewees agreed with the Brundtland definition of
sustainability.
Thus, these Western universities case studies show that discourses mainly refer to
the Brundtland definition, to the three pillars of sustainability (society, economy, and
environment), and to the notions of conservation, sustain/maintain, and future
generations.
Methodology
Materials
A short questionnaire including two open-ended questions was used to investigate

the sustainability perception of Chilean universities’ community members. Given its
exploratory approach, it follows similar methods to those utilized by Wright (2010),
Owens and Legere (2015), and Aleixo et al. (2016). Thus, the two questions were
defined as follows:
• Q1: What does sustainability mean to you?

• Q2: Which aspects of sustainability do you consider to be the most important?
This strategy has been adopted to avoid providing the participants with previous
sustainability categories or labels for them to select or prioritize. This way a
preconceived notion is not induced in their responses. Also, the second question
was added to receive more in-depth data.
Participants
The study used a nonprobabilistic sampling with voluntary subjects. The final
sample (n ¼ 118) was obtained through an online survey sent by email to a database
of professors, students, and non-academic staff of the Chilean SCN, CEUS Chile,
and the University of Magallanes (UMAG). This database was provided by the first
and second authors of this study. These stakeholder groups were invited to collab-
orate voluntarily and anonymously in this research by responding to the online
questionnaire. The Chilean SCN is formed by 27 HEIs. Its vision is to promote the
integration of sustainability principles and tools in the academic community to shape
a fair, culturally diverse, and environmentally friendly society (Red Campus
Sustentable 2021c). CEUS was launched in 2015 as an annual student congress. In
2018, it became an NGO, as a network of students and recently graduated students.
CEUS’s mission is to impact and guide the training of future professionals through
complementing the current culture with a sustainable and transdisciplinary approach;
it has more than 50 affiliates (CEUS Chile NGO 2021). Finally, the UMAG is a
public university situated in Patagonia established in 1961; it has six faculties:
economic sciences, education and social sciences, engineering, science, health,
and Institute of Patagonia (UMAG 2021). UMAG has around 4400 students and
215 professors.
The respondents’ distribution according to their participation in the entities
contemplated in this study is shown in Fig. 1. UMAG, along with the Chilean
SCN members, adds up to 81% of the sample. The geographic distribution of the
participants and their universities corresponds to 2 universities and 5 responses in the
north zone of Chile (4.2%), 13 universities and 42 responses in the central zone
(35.6%), 5 universities and 65 responses in the south zone (55.1%), and 6 responses
with unspecified university (5.1%). Overall, a significantly larger contribution of the
southern area is observed due to more effective communication methods utilized
with community members. Regarding stakeholder distribution, students were
represented with a participation of 39.8%, professors with 33.1%, and the contribu-
tion of non-academic staff was 27.1%.
Fig. 1 Respondents’ distribution according to their institutional affiliation

Procedure
The questionnaire was administered through the Google Forms platform, between
November 20, 2018, and January 18, 2019. It did not indicate a minimum nor a
maximum of words expected to be delivered in the responses. An estimated amount
of time to respond to the survey was 15 min. The participants were aware that they
could withdraw from the study at any time.
Analysis Technique
When the data-gathering process was finished, content analysis (Bardin 2013;
Krippendorff 2013) was used on all open responses. An open-coding procedure
was conducted adopting both deductive and inductive techniques (Drisko and
Maschi 2016). The codes were organized into categories and those categories into
groups. The resulting codes were systematized in a codebook (Saldaña 2009), and
the analysis was conducted using ATLAS.ti 8.
The coding was developed by three of the authors to provide reliability to the
procedure. To allocate a certain element into one or more codes or categories, the
three authors had to reach a consensus. This procedure was developed during four
working meetings, which were held between dates May 7, 2019, and June 21, 2019.
Consequently, 14 codes were generated for the first question of sustainability
meanings and equally 14 codes were determined for the main aspects.
Then, a relational analysis (Strauss and Corbin 2002) was conducted to identify
the relationships between the codes, particularly to illustrate how the different views
on sustainability might interact. This process requires a deeper review of the contents
associated with each code to establish potential links between them and finally
design an integrative, complex, and coherent representation of the categories and
their relationships through a conceptual model. Additionally, based on the online
platform Wordle, a word cloud was elaborated to show the relative frequency of most
mentioned words that appeared in the sustainability meanings responses.
Results
In this section, the results coming from the analyses of the sustainability meanings
and aspect answers are exposed, which are examined under the lens of the entire
sample and characterized by stakeholders. Also, a word cloud and a conceptual
model are presented.
Sustainability Meanings Results
Meanings associated with sustainability were organized into 14 categories. Table 1

shows the generated codes, their frequency and percentage of mentions over the
Table 1 Most mentioned meanings of sustainability

Meaning code Frequency % Emblematic quote
Maintainable 35 30 “Sustainability is the ability to keep up over time by
over time renewing the resources needed to maintain itself” (p. 79)
Limit 25 21 “A lifestyle applicable also to businesses, where the
environmental premise is to reduce the impacts on the environment”
impacts (p. 50)
Future 24 20 “Sustainability tries to guarantee the needs of the
generations present without compromising future generations”
(p. 61)
Triple 22 19 “Sustainability is the balance of the social,
equilibrium environmental, and economic spheres for the
development of any type of activity, seeking to preserve
species diversity” (p. 55)
Values and 22 19 “The need to generate a new ethic of behavior regarding
principles humans, other species, and the environment in general”
system (p. 16)
Productive 21 18 “Sustainability is related to the efficient and optimal use
system of productive factors, that is, generating surpluses with
the least amount of resources possible, which does not
mean to damage the environment, achieving the
development of clean production and a circular
economy” (p. 64)
Planetary 17 14 “Consumption and production adequate to the planet’s
boundaries carrying capacity” (p. 22)
Care for the 15 13 “These are the guidelines that must be considered to
environment protect and conserve the environmental heritage” (p. 42)
Autonomous 15 13 “Self-maintenance capacity without fully occupying or
system exhausting resources for it” (p. 113)
Lifestyle 14 12 “A way of life in sync with the environment” (p. 20)
Responsibility 10 8 “It is a way of being more conscious with the use of
things, being responsible with the surroundings, be it the
environment, the community, among others” (p. 32)
Human well- 9 8 “Make use of natural resources at rates that allow
being generating well-being in the present and future
generations, with a significant and permanent
improvement in the quality of life of people” (p. 74)
Others 8 7 –
entire sample, and emblematic quotes to exemplify the code’s significance. The most
mentioned meanings refer to the notion of sustainability as something maintainable
over time and as something that has to limit the environmental impacts of human
activities. The respondents expressed that sustainability is aligned with the idea that
future generations should have the conditions to satisfy their needs by avoiding the
inadequate use of resources in the present. The view of sustainability as a values and
principles system concerning a mindset and cultural transformation toward a more
respectful relationship with the social and natural environment is likewise widely
mentioned. Complementary, the traditional understanding associated with the triple
equilibrium of social, environmental, and economic dimensions is frequently

declared. The final code that has a percentage of appearance in more than 15% of
respondents reveals that sustainability is also deemed to be a productive system.
When exploring sustainability meanings according to the three stakeholder
groups, results show that professors, non-academic staff, and students share a similar
range of interpretations, although there are substantial differences in terms of their
preferences and priorities (see Table 2).
Students associate sustainability mainly with future generations, and it is widely
understood as a lifestyle that has a focus on the well-being of people and the
environment. There is also a strong emphasis on actively caring for the environment
and limiting environmental impacts. Whereas for professors the most important
sustainability meaning was the perception of something maintainable over time.
This stakeholder widely mentioned the importance of limiting environmental
impacts, of a values-and-principles system, the triple equilibrium, respect for plan-
etary boundaries, and the concept of an autonomous system. It is observed that non-
academic staff share similar views with professors.
Sustainability Aspects Results
Participants were likewise asked about the main aspects of sustainability. Fourteen
categories were identified (see Table 3), with the environment, waste management,
and efficient use of resources being the three prevailing codes. Aspects of society
and well-being, the relationship between the economy and the environment, and
economic growth and production are features that are also widely mentioned. Public
policy issues such as regulation and national or international sustainability agendas
appear in 8% of the respondents’ answers.
When analyzing the findings differentiated by stakeholders, it is noticeable that
although the environment was the leading component in all groups, noteworthy
variances are encountered (see Table 4). For students, waste management is one of
the main elements of sustainability, as well as aspects in close relation with society
and human well-being, and environmental education. Whereas for professors, issues
regarding the relationship between the economy and the environment, public poli-
cies, society and well-being, and rational use of resources are highly placed in terms
of frequency of mentions. As for non-academic staff, notions of efficient and rational
use of resources, waste management, and economic growth and production prevail.
Word Cloud
A word cloud that shows the relative frequency of most recurrent words that
appeared in the sustainability meanings responses is shown in Fig. 2. The 12 pre-
dominant keywords are environment, resources, time, future, generations, use,
social, economic, ability, development, equilibrium, and process.
676
Table 2 Most mentioned meanings according to the different stakeholders

Students Professors Non-academic staff
Meaning Frequency % Meaning Frequency % Meaning Frequency %
Future generations 16 34 Maintainable over time 16 41 Maintainable over time 11 34
Lifestyle 12 26 Limit environmental impacts 9 23 Planetary boundaries 7 22
Care for the environment 10 21 Values and principles 9 23 Limit environmental impacts 6 19
Limit environmental impacts 10 21 Triple equilibrium 9 23 Productive system 6 19
Productive system 10 21 Planetary boundaries 8 21 Values and principles 5 16
Triple equilibrium 9 19 Autonomous system 8 21 Triple equilibrium 4 13
Values and principles 8 17 Future generations 5 13 Autonomous system 3 9
Maintainable over time 8 17 Productive system 5 13 Future generations 3 9
Responsibility 3 9
C. Mac-lean et al.
Table 3 Most mentioned aspects of sustainability

Aspects code Frequency % Emblematic quote
Environment 28 24 “For me, it is taking care of our environment and
always keeping it in good condition” (p. 25)
Waste 17 14 “The 3Rs because of the amount of waste that
management currently exists in the world” (p. 40)
Efficient use of 16 14 “Utilising resources efficiently and improving the
resources quality of life for all” (p. 97)
Society and 15 13 “Intra- and intergenerational equity” (p. 22)
human well-being
Economy and 12 10 “Development with environmental protection” (p. 39)
environment
Economic growth 11 9 “Producers or companies” (p. 42)
and production
Public policy 9 8 “I believe that the 17 SDGs represent well all that I
consider important in sustainability” (p. 17)
Society and 9 8 “Socio-environmental justice” (p. 18)
environment
Rational use of 9 8 “It is the capacity that we have to make a responsible
resources use of resources without consuming or using them
excessively” (p. 104)
Economy and 8 7 “Focus on development at a human scale (emotional,
society cultural, professional, economic, environmental, etc.)”
(p. 97)
The three 8 7 “They are all important, economic, social and
dimensions environmental, there cannot be one without the other
to reach sustainable development” (p. 6)
Renewable 8 7 “Renewable energies” (p. 29)
resources and
energy
Environmental 7 6 “Create spaces for environmental education” (p. 24)
education
Risk reduction 1 1 “Those that decrease uncertainty and risks” (p. 94)
Conceptual Model of Sustainability Views in Chilean Universities
Figure 3 presents a conceptual model of sustainability views in Chilean universities

based on relational analyses aimed at integrating the diversity of sustainability
meanings identified in this study. It shows that these meanings, although wide and
diverse, are consistent with the traditional definitions and elements of sustainability
found in the literature. Therefore, instead of representing conflicting positions, these
views are complementary to each other. The model proposes that sustainability is
deemed to be a system, which must be autonomous, maintainable over time, and
with a productive component. This system should be guided by values and principles
integrating the triple equilibrium between economy, environment, and society, all of
which should influence the productive system and new lifestyles by respecting
planetary boundaries. These values are also associated with a sense of responsibility
678
Table 4 Most mentioned aspects according to the different stakeholders

Students Professors Non-academic staff
Aspect Frequency % Aspect Frequency % Aspect Frequency %
Environment 14 30 Environment 7 18 Environment 7 22
Waste management 9 19 Economy and environment 5 13 Efficient use of resources 7 22
Society and human well- 8 17 Public policies 4 10 Rational use of resources 5 16
being
Efficient use of resources 6 13 Society and human well- 4 10 Waste management 5 16
being
Environmental education 5 11 Rational use of resources 4 10 Economic growth and 5 16
production
Economic growth and 4 9 Waste management 3 8 Economy and environment 4 13
production
Economy and society 4 9 Society and environment 3 8 Society and human well- 3 9
being
The three dimensions 4 9 Efficient use of resources 3 8 Society and environment 3 9
Renewable resources and 3 8
energy
C. Mac-lean et al.
Fig. 2 Word cloud of the sustainability meanings responses in this study. (Elaborated with Wordle)
Fig. 3 Conceptual model of sustainability views in Chilean universities. (Elaborated with

Lucidchart 2022)
with future generations and caring for the environment, which should lead to limiting
negative environmental and social impacts.
These results represent a challenge and an opportunity to promote a more
complex, integrative, and educational view on sustainability at HEIs, avoiding an
unnecessary competition between economic, social, and environmental positions.
Discussion
This section examines the results in terms of their coherence, their alignment with
traditional sustainability definitions and international evidence, and their implica-
tions for society.
Analysis of Chilean Discourses
Key issues regarding the Chilean higher education perception of sustainability arise
from the findings. Traditional sustainability notions such as the Brundtland defini-
tion and the three pillars have a wide-ranging representation within the participants’
viewpoints. When contrasting Bettencourt and Kaur (2011) and White’s (2013)
results in terms of predominant keywords, several similarities are encountered
with the word cloud generated in this study. Also, 9 out of 12 of the most frequently
mentioned words by the survey respondents in this study are found to be the main in
at least one of the previous papers mentioned. Thus, it can be inferred that, even
when a strong focus is found in this study on the ecological aspects of sustainability,
there is an alignment between the participants’ main ideas expressed with those of
the academic and/or traditional sustainability definitions.
In terms of comparison with similar studies on perceptions at Western HEIs, these
refer mainly to the Brundtland definition, the three pillars of sustainability, and to the
notions of conservation, sustain/maintain, and future generations. The most men-
tioned categories of sustainability meanings found in this study include codes of
maintainable over time, triple equilibrium, limit environmental impacts, and future
generations. Thus, similarities are found in the understanding of the concept between
the discourses at universities in Chile with those obtained in international experi-
ences at HEIs with similar methodological approaches. Khalil et al. (2013) indicate
that the significance of sustainable development varies among cultures. Then this
represents an interesting finding that motivates the further examination of possible
shared high-level principles in the understanding of the concept at universities in
certain countries and regions.
The aspects of sustainability that were mostly mentioned have a significant bias
toward the environment. This suggests that the perceptions and knowledge of the
entire community might need to be strengthened in features regarding the economic
and social sustainability dimensions. Once again regarding the aspects codes, well-
being, economic growth, and public policy categories’ number of mentions, suggest
a deep concern regarding human welfare, which must be supported by the economic
and political systems in place.
Results suggest that students’ understanding of sustainability is related to future
projections and to their own experiences and cultural changes, whereas professors
and non-academic staff tend to emphasize formal definitions with a stronger focus on
the technical and economic aspects. This finding is significant for teaching and
learning. There is a place for building a productive common ground, where pro-
fessors and non-academic staff comprehend that sustainability is a lifestyle for the
students and a source of inspiration and legacy for future generations. This under-
standing might benefit the acquisition and creation of the technical knowledge that is
critical for the university change process toward sustainability.
The great majority of the participants seem to be sufficiently informed to provide
a coherent understanding of the concept. Regarding the sustainability meanings,
14% of the mentions include planetary boundaries. Interestingly, this percentage of
the sample has a perception of sustainability that goes beyond the eco-friendly or
limiting the impact lens and visualizes it on a global scale. This is highly influenced
by the methodological approach adopted, as other studies with different methods
expose university members being or considering themselves unknowledgeable of
the conceptualization (e.g., Earl et al. 2003; Owens and Legere 2015).
Previous research shows that the concept of sustainability can be overused or

vague (Gibson 1991; Robinson 2004; Waas et al. 2011; Wright and Horst 2013),
then it is interesting to point out that no criticism or negative associations toward
sustainability were found in any of the responses of this work.
One of the most mentioned aspects of sustainability is the Public Policy category,
in which a participant states, “I believe that the 17 SDGs represent well all that I
consider important in sustainability” (p. 17). The SDGs that are more closely
represented by this study’s final codes include social, environmental, and economic
issues, and are listed next:
a) “Goal 3: Good health and well-being,” through the codes of “Human well-being”
and “Society and human well-being”
b) “Goal 4: Quality education,” through the code of “Environmental education”
c) “Goal 7: Affordable and clean energy,” through the code of “Renewable
resources and energy”
d) “Goal 8: Decent work and economic growth,” through the codes of “Productive
system” and “Economic growth and production”
e) “Goal 9: Industry, innovation, and infrastructure,” through the codes of “Produc-
tive system” and “Economic growth and production”
Finally, the conceptual model represents a hypothesis that integrates the wide but
not mutually exclusive array of meanings found in the analysis of the data. It
suggests that there might be a potentially inclusive discourse about what sustain-
ability means for the university community in Chile, given the substantial align-
ments found in the responses rather than predominant conflicting conceptualizations.
Even more, there is an acceptable fulfillment of the conceptual model built regarding
the conditions stated by Ruggerio (2021), especially in terms of the complexity of
socioecological systems and intergenerational justice.
Three-Layer Framework for Sustainability Enhancement at

Universities Based on Stakeholder Perceptions
A three-layer framework for sustainability enhancement at universities is proposed,

based on the methodological approach and findings of this study, as illustrated in
Fig. 4. The model arises from the study of the community’s understanding of the key
meanings and aspects of the sustainability conceptualization. Its application is
recommended to be at the scale of one HEI at the time to allow its proper
implementation.
When the results of the sustainability meanings and aspects are obtained and
shared with the university community, the information gathered will serve as a
benchmark of the latest sustainability discourses, recurrent perceptions, and interac-
tions of those visions. Thus, providing opportunities for adjustment and improve-
ment in the development of the sustainability-related actions taken at the HEI. In this
way, the first layer of the framework corresponds to the individual sustainability
Fig. 4 Diagram of the three-layer framework for sustainability enhancement at universities based
on stakeholder perceptions
perceptions of the community members, the second one to the collective discourse
resulting from the data analysis, and the third one to the identified opportunities for
action.
The framework’s third layer of possibilities for improvement builds over the work
developed by Casarejos et al. (2017) as they provide a comprehensive list of actions
to move toward sustainable development in universities. These are organized in the
following dimensions: (a) administrative, (b) social and cultural, (c) academic, and
(d) operational. The opportunities derive from looking at the implications of the
availability of information previously gathered in terms of the community sustain-
ability perceptions in each of the actions proposed by Casarejos et al. (2017). Thus,
not all the preliminary strategic actions are included and adapted for the three-layer
framework for sustainability enhancement at universities. They are selected from the
original list only when the sustainability discourses have the potential to strengthen
the initial set of actions. This is, for example, if Casarejos et al. (2017) would
recommend to incorporate sustainable development in the curriculum, then this
activity would be included in the three-layer framework. This is because discourses
can enhance the performance of this activity by modifying it to incorporate sustain-
able development in the curriculum taking into consideration knowledge gaps that
might arise in the discourses.
The proposed opportunities are diverse and include strategic, tactical, and oper-
ative actions. The main possibilities for action of the conceptual framework are
specified in Table 5. These actions, if effective, might influence the future sustain-
ability perceptions at the individual and collective levels within the university. Thus,
the three-layer framework for sustainability enhancement emerging from the
community’s discourses implies a dynamic setting, embracing principles regarding
the evolving nature of sustainability as framed by Waas et al. (2011) and Red
Campus Sustentable (2021b).
To integrate sustainable development, greening the university’s campus operations is
regularly the first step undertaken (Townsend and Barrett 2015). It is acknowledged that
Table 5 Main opportunities for action of the transformational processes toward sustainability at
HEIs identified from the community’s discourses. (Adapted from Casarejos et al. (2017))
Proposed opportunities for action
Dimension adapted from Casarejos et al. (2017) Example
Administrative Adjust institutional strategies, If there is a common view in the
policies, and targets in the direction conceptual model or mostly
of sustainable development, with the conflicting categories, this can shed
community sustainability meanings light on how these policies can be
and aspects as an input for the process conceived. The stakeholders’ views
can inform on the tendencies of the
university visions that might be of
interest to strengthen lacking
components or focus on the
categories that are aligned with the
community perception
Update management systems on the Stakeholders might inform water or
basis of sustainability science and human well-being within their more
challenges, and on the university frequently mentioned categories, and
discourse, according to information this can orientate the design of these
on the aspects that might attract the management programs aiming at
community higher engagement
Incorporate sustainability issues in If for non-academic staff the
the training programs considering environment is a predominant
both the predominant and less category, then this might be a
mentioned meanings and aspects of sustainability dimension that they
sustainability as they may serve to would relate to the most but also
identify motivational issues and indicates that other dimensions could
preliminary knowledge gaps be framed with an engaging focus in
the programs
Engage external and internal If efficient use of resources is a
stakeholders in a transparent way to relevant category for non-academic
reinforce the sustainable staff, then activities related to this
development movement in such a topic are more likely to be effective
way that the community’s when seeking their commitment
perceptions can facilitate the process
Utilize tools and indices to deliver When determining recruitment
pertinent evidence for decision- guidelines, elements lacking in
making using the sustainability professors’ understanding might
meanings and aspects as valuable suggest gaps that the university is not
considerations in the evaluation addressing at the academic level.
process Also, when prioritizing certain
investments to green the campus, it
might be interesting to incorporate
the communities’ perceptions aiming
at a greater acceptance of the projects
Social and Inculcate a holistic view of The sustainability meanings and
cultural sustainable development values in the aspects shed light on the relevance
academic culture, such as respect, given to these principles by the
tolerance, (post-) altruism, and community and allow to evaluate if
diversity, where the sustainability there is an alignment between the
meanings and aspects can provide institutional values and the
guidance community’s ones
(continued)
Table 5 (continued)
Proposed opportunities for action
Dimension adapted from Casarejos et al. (2017) Example
Engage external communities over
outreach initiatives and contribute to
the creation of novel socioeconomic
models, from an enhanced awareness
of the sustainability paradigms the
university is transmitting to society
Raise consciousness and discuss the If students are closer in their views to
threats of unsustainability taking into waste management, that might be a
account stakeholders’ visions starting point for professors to
expand the dialogue
Academic Include competencies, themes, and If sustainable lifestyles is one of the
activities associated with sustainable main categories mentioned by
development in teaching, including students, then including issues related
as an input students’ meanings and to it can be a desirable action. If their
aspects of sustainability to motivate discourses are biased toward certain
them or to identify potential elements leaving others untouched, it
knowledge gaps might be worth addressing those
lacking categories in the courses
Promote sustainability in the If societal aspects of sustainability are
professors’ qualification programs underrepresented in their discourses,
since understanding their perceptions it might be worth exploring if this
can provide valuable feedback for the should be given a key focus in the
design process programs
Continuously update the curriculum, Professors’ sustainability viewpoints
utilizing multi- and transdisciplinary might be reflected in their teaching,
methods and stimulating a so this information could help
knowledge-based culture, in identify the strengths and weaknesses
accordance with the sustainability of the current curriculum
meanings and aspects
Develop and promote multi- and The professors’ visions provide
transdisciplinary sustainability insights on themes of their perception
research at local and international and probably interest, which could
scopes in cooperation with further serve as an input to design incentives
societal organizations using the or promotion in research centers,
sustainability meanings and aspects projects, publications, among others
to fortify the process
Make available resources in The sustainability meanings and
sustainability for student-led action aspects can inform staff about the key
and generate a supportive ideas in students’ mindsets and this
environment for sustainable solutions could allow them to redesign or
taking into account the stakeholders’ adjust their activities if desired
views
Operational Implement practices and policies If professors mention public policy or
targeted at decreasing the renewable energy codes, the projects
environmental impact of the university that contribute to these matters could
and use this physical ambit to raise be more effective to engage them as
awareness and educate. The projects’ the team organizing the initiatives can
design can use the sustainability identify the leading categories in
discourses for greater support stakeholders’ views
in implementing it through all education spheres there is a generality that is currently

struggling (Menon and Suresh 2020); in such a way that the institutional trajectories are
considered varied and context-specific. Thus, the utilization of the three-layer frame-
work for sustainability enhancement at universities sheds light on possible opportunities
for catalyzing the change process but does not provide a roadmap. This framework,
given its theoretical background and adaptability, could be applied in any university,
despite the stage of the sustainable transformation in which the institution might be.
Studies show barriers to change in terms of sustainability in higher education.
These refer to deficient institutional structure, lack of leadership, monetary limita-
tions, and resistance (Allen 2000; Lozano 2006; Verhulst and Lambrechts 2015;
Arroyo 2017, as cited in Mac-lean et al. 2021). When applying the framework, these
obstacles are expected to arise in different degrees for the various activities. This
provides insights, along with the technical difficulty of the action itself, of which
ones might be more likely to succeed.
Also, it has been argued that “sustainability maturation is not a linear process,
and there can be setbacks, pauses and accelerations at any time, especially due to
changing actor constellations and emerging coalitions of the (un-)willing” (Hugé
et al. 2018, p. 4284). It is expected that the degree of commitment of the stakeholders
involved in each opportunity will strongly influence the feasibility of the implemen-
tation of the action(s) identified.
The three-layer framework for sustainability enhancement at universities based on
stakeholder perceptions is presented as people centered, given that it places the com-
munity members’ paradigms as the basis for further sustainable development. It is
noticeable that the opportunities identified mix bottom-up and top-down approaches
as they provide options for each of the stakeholders involved to take action in leading
positions. This is aligned with Ramísio et al.’s (2019) findings in terms that in sustain-
ability strategies at HEIs a key feature is the establishment of a combined top-down and
bottom-up management scheme for the effective organizational culture transformation.
Conclusions
This study aimed at exploring the meanings of sustainability in HEIs of Chile.

Results showed a wide variety of responses covering definitions and diverse aspects
of the issue. Some differences were found between students, professors, and non-
academic staff; however, these were related to prioritization (e.g., what aspect is
more important) as most meanings were mentioned in all groups. It is possible to
state that to different extents the members of Chilean universities who participated in
this study are aware and/or informed about the concept of sustainability and that at
first sight a shared understanding of sustainability prevails over conflicting or
antagonistic views. As such, these perceptions are a good starting point to facilitate
transformational processes toward sustainability within HEIs communities. Also,
this shows which areas or dimensions are more important for different stakeholders
(e.g., the environment or waste management) and potential gaps to address in future
initiatives.
Overall, it is possible to argue that the Chilean higher education sector perception
of the meaning of sustainability is aligned with traditional notions such as the
Brundtland definition and the three pillars and that it does not greatly differ from
similar studies in other Western countries. However, gathering more detailed data
from the participants would be required to identify specific tendencies and
approaches. In any case, this exploratory work may contribute to enriching the
discussion about the understanding of the sustainability conceptualization at the
university level and the relevance of examining these issues. This type of research
might orientate decision-makers within the HEIs in both strategic and operative
matters as to how to better guide their communities in sustainability concerns.
Providing information and opportunities to improve actions in both the short and
long run could possibly accelerate the change processes within the universities
toward sustainable development incorporation.
The findings suggest that there is a reasonable baseline of the perceptions of the
sustainability concept within the sample, which offers fertile ground for providing
further education for sustainable development and the SDGs at universities in Chile
as the existing perceptions are considered to be more of a facilitator than an obstacle
for the sustainability transformational processes at HEIs. However, further in-depth
studies are needed to specify the understanding of whether the university commu-
nities’ sustainability literacy falls within the expected framework of competencies,
learning objectives, and content themes or whether there are relevant knowledge
gaps that need to be addressed.
Regarding the limitations of the study, the sample method and final geographic
distribution of the participants restrain the generalization of the findings. Neverthe-
less, the corresponding results are valuable in the sense that they represent the
viewpoint of either above-average skilled or highly motivated individuals on sus-
tainability issues at Chilean universities. This, given the nature of the organizations
that participated in the study and the survey voluntary scheme, suggests that these
are people who are more willing to push the sustainability agenda forward.
As a qualitative study, these results present the array of contents associated with
the concept that cohabit in Chilean HEIs and not how they are statistically distrib-
uted. Future studies can dig deeper into these results using quantitative methods in a
wider and representative sample at universities in Chile.
Additional future research might include questions regarding the origins of the
personal construction of participants’ sustainability perceptions, the (dis-)similarities
in the viewpoints at universities according to their geographical location, and the
actions that are undertaken by members of the communities according to their
perceptions. Also, the analysis of the application of the three-layer framework for
sustainability enhancement at universities by sharing the findings of this work with
decision-makers nationwide is desirable, to support the acceleration of the transfor-
mational process toward sustainable development in Chilean HEIs.
Acknowledgments The authors thank Nicolás Muñoz for his useful comments and support
provided on the latest version of this manuscript. Also, the authors are grateful for the contribution
of Luis Cárcamo and the Academic Writing Center of the University of Magallanes for providing
language help. This research did not receive any specific grant from funding agencies in the public,
commercial, or not-for-profit sectors.
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2018.03.225
Environmental Science and SDGs: Brazilian
and International Cases
Patricia Bilotta, Amanda Silveira Carbone, Sandra Dalila Corbari,

Wânia Duleba, Joselisa Maria Chaves, Cláudia Kniess,
Isabel Jurema Grimm, and Leonardo Antonio Pregnolato
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 692
A Concise Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 694
Sustainable Development Goals (UN SDGs) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 694
Environmental Science Agency (CAPES) and the SDGs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 696
Brazilian Scientific Production: SDGs and Environmental Sciences . . . . . . . . . . . . . . . . . . . . . . . 697
Demonstrative Cases in Brazil: SDGs and Environmental Sciences . . . . . . . . . . . . . . . . . . . . . . . 698
P. Bilotta (*)
Graduate Program in Local Development – UNISUAM, Curitiba, Brazil
e-mail: pb.bilotta@gmail.com
A. S. Carbone · W. Duleba · L. A. Pregnolato
University of São Paulo – USP, São Paulo, Brazil
e-mail: as.carbone@usp.br; wduleba@usp.br; leopregnolato@usp.br
S. D. Corbari
Federal University of Rio Grande – FURG, Rio Grande, Brazil
e-mail: corbari91@hotmail.com
J. M. Chaves
State University of Feira de Santana – UEFS, Feira de Santana, Brazil
e-mail: joselisa@uefs.br
C. Kniess
Federal University of São Paulo – UNIFESP, São Judas Tadeu University - USJT, University of
Taubaté – UNITAU, São Paulo, Brazil
e-mail: kniesscl@gmail.com
I. J. Grimm
Higher Institute of Education and Economics – ISAE, Curitiba, Brazil
e-mail: isabelgrimm@gmail.com

https://doi.org/10.1007/978-3-031-16017-2_27
692 P. Bilotta et al.
International Scientific Studies: Environmental Science and SDGs . . . . . . . . . . . . . . . . . . . . . . . . . . . 706

Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 710
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 711
Abstract
Master’s and doctoral programs (PPGs, in Portuguese) play an important role in
the SDG implementation process since higher education is crucial for human and
technological development (dissemination of innovation). The field of Environ-
mental Science is capable of finding solutions for the 2030 Agenda since it covers
environmental-economic-social and institutional dimensions from an interdisci-
plinary perspective. CiAmb (the initials of Environmental Sciences, in Portu-
guese) is one of the knowledge areas of the Coordination for the Improvement of
Higher Level Personnel (CAPES), a department of the Brazilian Ministry of
Education. CiAmb encompasses 142 PPGs (in all national territory) that are
evaluated by their impact on the society (knowledge transfer), among other
indicators. The aim of this chapter was to show the contribution of the PPGs-
CiAmb to the implementation of the 2030 Agenda in Brazil and bring the
international emblematic cases of Environmental Sciences in higher education
up for discussion the implementation of the 17 SDGs (Sustainable Development
Goals). Data were collected from the Sucupira platform (CAPES), Scopus, and
Web of Science databases (systematic analysis). As a result, PPGs-CiAmb are
aligned with the guidelines of the 2030 Agenda, incorporating the SDGs in their
teaching, research, and science outreach activity in crucial areas in order to
generate social impact, taking into account the vocational, institutional, and
geographic constitution of the PPGs. However, it appears that a methodology
for measuring social impact and related indicators has not yet been consolidated,
a fact that may result from differences between the teaching and research systems
and the scientific fields, as well as difficulties associated with its own operatio-
nalization. Few works involving international cases were found which related
simultaneously to PPG studies, the 2030 Agenda, and the SDGs. Those that were
studied reported case studies, course reports, and research that was carried out
mainly in the USA, Holland, Spain, Latvia, Cyprus, Finland, and Portugal.
Keywords
2030 Agenda · Higher education · Research and outreach · Graduate program
Introduction
In September 2022, the United Nations (UN) agenda for development goals will be
22 years old. During the period 2000–2015, the commitment (previously known as
Millennium Development Goals, MDGs) focused on reducing poverty in developing
countries, and this focus included 8 goals, 18 targets, and 48 indicators. Later,
Sustainable Development Goals (SDGs) were developed to further strengthen con-
vergence in the global development of a sustainability agenda that covered all UN
Environmental Science and SDGs: Brazilian and International Cases 693
Table 1 Global eco-socioeconomic scenario

Human development index
Indicators Very high High Medium Low
Demography (millions of inhabitants) 1563 2957 2199 921
(20%) (39%) (29%) (12%)
Life expectancy (years) 80 75 69 61
Average schooling (years) 12 8 6 5
Gross national income per capita 44.56 14.255 6.153 2.745
(US$ per year) (66%) (21%) (9%) (4%)
CO2 emission per capita (per year) 10.4 5.1 1.6 0.3
(60%) (29%) (9%) (2%)
Consumption of household materials 17.2 17.7 5.3 3.3
per capita (tons per year) (39%) (41%) (12%) (8%)
Source: Adapted from data of UNDP (2018, 2020)
https://hdr.undp.org/sites/default/files/2018_human_development_statistical_update.pdf, https://
hdr.undp.org/sites/default/files/hdr2020.pdf
member states and included 17 goals, 169 targets, and 230 indicators, which are to be
achieved by the year 2030 (WHO 2022; Ite 2018; Kumar et al. 2016).
The implementation of the SDGs, as well as methods for assessing their impact,
involves overcoming many challenges presented by public and private governance
(of human, financial, and technological resources); however, it is also a great
opportunity to develop territories on the local, regional, and national levels using
more efficient practices and suitable solutions to achieve current social and environ-
mental requirements (Aly et al. 2022; Xie et al. 2021).
One important pillar of the SDGs and development indicator is education (Zguir
et al. 2021). Higher education, and especially master’s and doctoral programs, plays an
important role in the SDG implementation process since graduate education is crucial
for human development promoting innovation and the dissemination of knowledge
(Sampaio et al. 2021). Moreover, the academic and industrial sectors work synergisti-
cally to develop environmentally friendly and profitable processes (Rivas et al. 2020).
Education has a direct impact on the quality of life of a population, as well as on
economic development and environmental health, making it an important pillar of
the SDGs (Rivas et al. 2020). Life expectancy, average schooling, gross national
income, CO2 emissions, and consumption of household goods are a few of the
indicators that describe the strong relationships that exist in the education-
environment-economy nexus (Sampaio et al. 2021). Higher levels of education
among the population result in higher life expectancy, higher gross income, greater
CO2 emission, and a greater consumption pattern (UNDP 2018, 2020). This trend
may be explained by the fact that education boosts and strengthens a nation’s
economy (Table 1).
Master’s and doctoral programs play a prominent role in the knowledge genera-
tion and transfer process, making such programs become key for supporting public
and private decisions in all spheres of human activities. The application of the
scientific research that results from such programs has the potential to solve the
complex social, environmental, and economic demands of contemporary society

(Sampaio et al. 2021).
The Environmental Sciences (CiAmb, in Portuguese) are one sector of the
49 knowledge areas encompassed by the Coordination for the Improvement of
Higher Level Personnel (CAPES) of the Brazilian Ministry of Education. Currently,
CiAmb encompasses 141 PPGs (master and doctoral programs) recognized by
CAPES, one of the PPG evaluation criteria being the socio-environmental impact
of the research generated and science outreach programs led by professors and their
collaborators (Almeida et al. 2019; Nóbrega et al. 2018). A national sampling reveals
that research conducted in the field of CiAmb aligns with the goals and SDG targets
The aim of this chapter was to show the contribution of the PPGs-CiAmb to the
implementation of the 2030 Agenda in Brazil and bring the international emblematic
cases of Environmental Sciences in higher education up for discussion the implemen-
tation of the 17 SDGs. Brazil is an expressive case for study, because it is a developing
country of continental dimension and the PPGs-CiAmb cover all regions. This chapter
intends to point which SDGs are mostly focused by the research and science outreach
and bring the local and regional particularities for its implementation.
For cases in Brazil, a quantitative and qualitative search was carried out using the
Sucupira platform (CAPES database); for international cases, the StArt (State of the
Art through Systematic Review) software was used (Fabbri et al. 2016; Okoli 2015)
in Scopus and Web of Science databases. The inclusion criteria for selecting the
demonstrative cases were as follows: (i) cases related to both PPGs-CiAmb and the
SDGs, (ii) cases describing the type of intervention carried out in society and its
scale (local, regional, or national), (iii) cases that highlight student and professor
performance, and (iv) cases that show relationships with public policy. The exclu-
sion criteria considered were as follows: (i) studies that did not fall within the scope
education, human resources, and PPGs; (ii) data that was not related to at least one of
the SDGs established by the 2030 Agenda for sustainable development; (iii) solu-
tions that only involved technological advances; and (iv) scientific production that
did not specifically mention SDGs or the 2030 Agenda.
A Concise Framework
Sustainable Development Goals (UN SDGs)
The goal of adopting sustainable development as a political and social project for
humanity has inspired and guided efforts to build sustainable societies (Salas-Zapata
et al. 2011). Sustainable Development Goals (SDGs) arose from the Millennium
Development Goals (MDGs), in a global effort to reduce organizational crises.
MDGs consisted of eight major global goals adopted by the member countries of
the United Nations (UN). Together, these member countries sought to make the
world progress rapidly toward the eradication of extreme poverty, hunger, and more
factors that affect the poorest populations in less developed countries. The eight
MDGs cover specific actions to combat hunger and poverty and implement policies
for promoting health, sanitation, education, housing, gender equality, and preserva-
tion of the environment, as well as measures to establish a global partnership for
sustainable development. As a result of the MDGs proposed in 2000 by the UN,
global poverty has decreased, more children are attending primary school, and
access to drinking water has expanded significantly.
The SDGs continue the legacy of the MDGs as expressed in the document “The
Road to Dignity by 2030: Ending Poverty, Transforming All Lives and Protecting
the Planet,” discussed at the World Summit on Sustainable Development held in
2015. The 150 world leaders who attended this event committed to the 17 SDGs:
(1) eradication of poverty; (2) zero hunger and sustainable agriculture; (3) good
health and well-being; (4) quality education; (5) gender equality; (6) drinking water
and sanitation; (7) affordable and clean energy; (8) decent work and economic
growth; (9) industry, innovation, and infrastructure; (10) reduced inequality; (11) sus-
tainable cities and communities; (12) responsible consumption and production;
(13) actions against global climate change; (14) life below water; (15) life on land;
(16) peace, justice, and strong institutions; and (17) partnerships and means of
implementation of the goals (UN 2015).
In this evaluation of sustainability problems, ecological systems are not dissoci-
ated from social systems; on the contrary, sustainable development encompasses
both types of systems, and since they are interrelated, the problems they pose require
integrated solutions (UNSDSN 2017; Sampaio and Philippi Jr 2021). This is evident
in the 2030 Agenda action plan, which includes the 17 Sustainable Development
Goals and their 169 objectives, which are integrated, indivisible, and balanced with
regard to their environmental dimensions (SDGs 6, 7, 12, 13, 14, 15), economic
dimensions (SDGs 8, 9, 11), social dimensions (SDGs 1, 2, 3, 4, 5, 10), and
institutional dimensions (SDGs 16, 17) (UNSDSN 2017). Although the first three
dimensions are self-explanatory and widely discussed in the available literature on
sustainable development, the institutional dimension has been less explored and is
therefore highlighted in this chapter as the best dimension to evaluate with regard to
the decision-making processes, to ensure that public policies are implemented
The scope of the 2030 Agenda is not limited to proposing the SDGs, but also to
addressing the means for their implementation in a way that will allow the objectives
and targets to be achieved. The debate regarding this topic involves systemic issues,
such as financing for development, technology transfer, technical training, and
international trade. The proposed 2030 Agenda has the potential to generate consis-
tent advances in achieving sustainable development. Nevertheless, in order for its
objectives and goals to be fulfilled, a significant amount of work is required from
governments, the private sector, educational institutions, and civil society (Sampaio
et al. 2020).
The core SDGs goal is the search for a better quality of life that is shared in an
equitable and sustainable manner (Costanza et al. 2014). The pillars that support the
SDGs aim to contribute simultaneously toward the essence of Agenda 2030, through
economic, social, and environmental aspects or the triple bottom line (TBL)
(Elkington 2001; Costanza et al. 2014). The SDGs represent a significant advance in
environmental protection, economic growth, social development, protection of peo-
ples, and the promotion of human rights. The goals combine mechanisms for
initiatives and daily practices aimed at promoting the well-being of present gener-
ations without reducing that of future generations, thus promoting intergenerational
justice (Gomes and Ferreira 2018).
Environmental Science Agency (CAPES) and the SDGs
There is a growing concern in the academic community regarding social impact, that
is, the benefits that educational institutions and research may bring to society.
However, evaluating and measuring the social impact of the knowledge generated
by teaching and research institutions and their graduate programs (PPG) is a complex
task. Although several studies and evaluations have been conducted, there seems to
be still no consolidated methodology for measuring social impact and related
indicators. Some of the factors that appear to be generating these obstacles include
differences between teaching and research systems, differences among the scientific
fields in the areas under evaluation, and difficulties associated with the very operatio-
nalization of impact measurement.
It is possible to identify several efforts to achieve the SDGs across all strata of
society. In the case of PPG studies, the document “Contribution of Brazilian Post-
Graduation Studies to Sustainable Development” (CAPES 2012) recognizes
advances in contributions made to sustainable development in Brazil. The document
also highlights that Brazilian PPG studies have contributed to the training of
qualified professionals with a systemic view about who conduct high-level research,
create technologies, rethink management processes, and promote comprehensive
education. This report presents guidelines that may consolidate education focused on
the SDGs, highlighting the fact that the expansion of the National Postgraduate
System (NPGS) should reduce asymmetries among diverse regions of Brazil,
including the economic, health and education, and cultural characteristics of its
various populations and environmental issues (CAPES 2012).
CAPES is a foundational agency subordinated to the Ministry of Education
(MEC) of Brazil. CAPES is responsible for regulating the NPGS (National Post-
graduate System), including the evaluation of postgraduate programs, which are
grouped into 49 areas of knowledge, which are subdivided and aggregated according
to their affinity on 2 levels (CAPES 2021). The first level includes colleges, and the
second coordinates the major areas, corresponding, in total, to three colleges and
nine major knowledge areas.
According to its CAPES classification, CiAmb is part of a greater multi-
disciplinary area that in turn falls within the College of Mathematical, Technological
and Multidisciplinary Sciences in Brazilian universities. According to the most
recent document published by CAPES regarding the areas, CiAmb includes 137 pro-
grams with 175 PPG courses, including masters courses in academic and profes-
sional modalities, as well as the academic doctorate, distributed among different
levels and categories (CAPES 2019).
The focus of CiAmb is interdisciplinary studies (Estoque and Murayama 2017;

Fernandes and Sampaio 2016; Sobral et al. 2014). It requires the convergence of
different types of knowledges that allow reflections on issues from different per-
spectives. Thus, interdisciplinarity emerges from the scientific praxis and is identi-
fied as both an attitude and a method in the production of knowledge (citation). This
area seeks to assimilate interdisciplinary knowledge as required by real problems in
the process of program evaluation.
Another important focus of CiAmb has been devoted to evaluating the “Impact on
Society,” which seeks to assess the impact generated by the training of human talent
and the production of knowledge in the programs of the area, in addition to
incorporating social impact and relevance, internationalization, and innovation
(Corbari et al. 2021).
Environmental Science parameters are expected to allow for the signaling of the
socioeconomic and environmental impacts (known as eco-socioeconomic impacts),
resulting from the activities of the PPGs and the evaluation of their performance,
especially with regard to border areas, interiorization, and social and economic
vulnerability (CAPES 2017). As a starting point, the authors propose the first
systematized version of the evaluation, using an indicator/mapping called Territorial
Highlight (Nóbrega et al. 2018). This self-assessment process makes it possible to
identify PPGs whose activities impact the results, even if they are not located
physically in areas of socio-environmental vulnerability. This indicator was pro-
posed by the authors as a quantitative metric for analyzing social inclusion of the
PPGs. Thus, the programs identify a plausible indicator for an issue that is normally
considered to be a generic evaluation. It would therefore trigger other indicators with
the same quantitative-qualitative approach.
Since 2015, following the advances in the global sustainability agenda, the
Brazilian PPGs have found in 2030 Agenda and its 17 SDGs, as well as all other
sectors of society, an opportunity to expand the contribution of the country to the
search for a more egalitarian, sustainable, and resilient society. Within this agenda,
the authors also face the challenge of improving the PPG evaluation system, with an
emphasis on the area of Environmental Science assessment, thus making it possible
to monitor the progress the programs have made toward achieving the SDGs and
their objectives, as well as encouraging the PPG to adopt the precepts of the 2030
Agenda in an intentional and planned manner.
Finally, research in the area of Environmental Sciences aligns with the SDGs and
their goals and is being conducted with excellence in this territory, having the
potential to generate learning for other PPGs, that is, to recognize and appreciate
the solutions found in each territory.
Brazilian Scientific Production: SDGs and Environmental Sciences
The search was conducted by using the CAPES – Sucupira platform (https://
sucupira.capes.gov.br/sucupira/), considering only theses and dissertations produced
during the period from 2017 to 2019 (the last 4-year CAPES evaluation, excluding
the final year – 2020). The search yielded 166 theses and dissertations that directly
addressed the subjects SDGs and 2030 Agenda, 22 of which were from PPGs in the
field of Environmental Science, which ranked second in the number of studies
dedicated to the subject, behind Public and Business Administration, Accounting
Sciences, and Tourism (27 dissertations/theses) (Table 2).
These results reveal a concern among the student body with regard to the global
agenda and its objectives, goals, and indicators. Only one study was dedicated to the
systematization of indicators for the evaluation of SDGs in higher educational
institutions: a masters thesis entitled “Indicators for the assessment of sustainable
development objectives (SDGs) in higher educational institutions (HEI)” (Griebeler
2019), conducted by a student from the PPG in Civil and Environmental Engineer-
ing, University of Passo Fundo. The author developed a set of indicators to assess the
SDGs in HEIs in Brazil. This is a mixed study based on content analysis.
The sustainable development indicators from the literature were related to the
SDGs with the aid of an analysis software, according to the most frequent words of
the SDG targets and indicators. Griebeler (2019) compiled an initial list that included
432 indicators; after refining the findings, the final analysis consisted of 61 indicators
that were ranked in order of importance according to the opinions of 91 consulted
experts.
Another notable study is the masters thesis by Santos (2019), who carried out this
work in fulfilment of the requirements for the Professional Master’s Graduate
Program in Public Administration, at the Federal University of Campina Grande.
The work is entitled “Planning and Sustainability in Higher Educational Institutions:
a Study in Light of the Sustainable Development Goals (ODS/UN).” The author
analyzed the academic activities involved in the teaching, research, and science
outreach axes of a HEI (the Federal University of Ceará), to verify how an institu-
tion’s strategic planning can contribute to an achievement of the SDGs. One of the
motivating factors of the study was the fact that HEIs “[. . .] lack a methodology of
action that incorporates the dimensions of sustainability” (Santos 2019, p. 6).
Despite their importance, these works do not address the development of meth-
odologies for analyzing the performance, relevance, or impact of HEIs with regard to
the implementation of the 2030 Agenda.
Demonstrative Cases in Brazil: SDGs and Environmental Sciences
Although the social responsibility of universities is a topic that has been covered by
Scheneider et al. (2020), few studies conducted on the national level are correlated
with the goals and indicators of the SDGs. These scientific works examine the
performance of HEIs or PPGs in relation to the SDGs. Only a small portion sought
to outline methodologies for this analysis; examples include Sampaio et al. (2020),
who used a computational algorithm for this purpose, and Gaertner et al. (2021), who
used a robust methodology for analyzing the approaches. The study by Marques
et al. (2020) is also noteworthy; this study was conducted by analyzing several HEI
“products”: research projects, science outreach actions, and an institutional
Table 2 PPG studies in the Environmental Sciences

Reference Article summary Method Search
Paula et al. Evidence-based and Case presentation; Keyword “objetivos de
(2019) community-based health reflection on the desenvolvimento
knowledge; integration contribution of sustentável” or “Agenda
between SDGs 2, 3, and 4; collaborative networks 2030” (Portuguese, in
participatory perspective of the title); period, 2017 to
the conceptual model for 2019; related to higher
translating knowledge into education and 2030
action Agenda or SDG
Menezes University Science Outreach Case presentation
and Minilo Project under development at
(2017) the Federal University of
Paraiba: contributes to the
process of implementing the
SDGs, to the dissemination of
the SDG agenda among civil
society organizations in the
Brazilian Northeast, and to the
training of managers and
agenda multipliers in various
public spaces and institutions
in the region
Tartaruga Describes a strong Theoretical test
et al. (2019) relationship between the
SDGs and the current scenario
of technological changes;
concludes and highlights the
strategic role of HEIs as
special agents for regional
development, through the
promotion of innovations in
the field of environmental
studies (eco-innovations), and
therefore linked to the 2030
Agenda
Mota and Informational content Analysis of library
Rodrigues mediated through the profiles profile posts on
(2019) of the Dr. Clodoaldo Facebook
Beckmann Central Library in
the Online Social Network
Services, more specifically the
institutional profile of the
Library on Facebook, for the
purpose of understanding
social and sustainable
development in the Amazon
Region, focusing on its
relationship with the 2030
Agenda
(continued)
Table 2 (continued)
Albrecht University Science Outreach Analysis of scientific Platforms, Periódicos
and Bastos Program, various definitions articles and documents Capes, and Google
(2020) throughout history, role in Scholar; keywords,
society, and importance in “ODS” þ
teaching, research, and “universidade”
science outreach (Portuguese); and peer
Zwierewicz Training proposals linked to Case presentation, review
et al. (2020) research from the Professional action research, and
Masters Graduate Program in participatory research
Basic Education at the Alto
Vale do Rio do Peixe
University
Menezes Specific dimensions of Theoretical test
(2020) debates on the
implementation of the SDGs,
highlighting the role of
science, technology, and
innovation in the production
of answers and solutions to
the challenges brought about
by the approval of the agenda
Sampaio Contribution to society of the Analysis of theses and Replace “any field” with
et al. (2020) Brazilian PPGs in the field of dissertations using “subject”; keyword,
CiAmb (CAPES) computational “objetivos de
(incorporation of the SDGs in algorithms desenvolvimento
the national network) sustentável”
Bazzoli Qualitative analysis of local Monitoring activities, (Portuguese)
(2021) actions to accelerate the SDGs analysis of academic
– PPGs in Regional production (involving
Development at the Federal these activities)
University of Tocantins
Farias et al. Analysis of sustainability Phenomenological
(2019) concepts in an Administration research from
course taken by students at the interviews with students
Federal University of Paraiba;
ways to incorporate
sustainability into their
training
Serafim and The role of universities Theoretical test Keyword: “ODS” (any
Leite (2021) (science emphasis) in field) þ “universidade”
achieving the SDGs in the (Portuguese, in the title)
post-pandemic context
Dantas and Scientific production Exploratory-descriptive
Silva (2021) regarding SDGs developed in research, VOSViewer
universities (in other software, and
countries), based on data from bibliometric networks
the Web of Science database,
from 2016 to 2020
(continued)
Table 2 (continued)
Martinazzo Interrelationship of university Structured interview Platform, Google
et al. (2020) science outreach projects in and content analysis scholar; keyword,
science and health with SDG “universidade” þ
3, health and well-being; “ODS” þ “Brasil”
principles and actions (Portuguese, in title,
practiced according to the subject, any field),
perception of the project related to higher
coordinators education and 2030
Ramineli How the SDGs are understood Interventional interview agenda
and Araújo and worked in the classroom; with students and
(2021) a study of five undergraduate teachers
courses at the Federal
University of Rio Grande do
Norte (2018 to 2020)
Sousa et al. Academic rankings and their Documentary analysis
(2022) relationship to the SDGs in a
case study at the Federal
University of Tocantins
Gaertner Application of SDG mapping Research on Scopus,
et al. (2021) approaches, using as a Web of Science, Scielo
territorial cut the Metropolitan (2010–2019); index of
Region of Curitiba related activities (RAI),
virtual networks, and
VOSViewer
Marques Academic activities whose Document analysis
et al. (2020) goal was to verify how (curricular components,
strategic planning can research projects, and
contribute to achieving the science outreach
SDGs actions) and content
analysis
Schneider Measurement of the socially Latin American
et al. (2020) responsible performance of University Social
UCS Responsibility Union
(self-diagnosis, through
meetings)
development plan. It was therefore able to analyze the teaching-research-science

outreach triad, as well as the management/administration of the HEI.
In view of the above, quantitative analyses based on metrics may not indicate the
real relevance of institutions for the implementation of the 2030 Agenda, nor their
impact on society. The use of metrics, especially from international rankings, is
questioned by some authors. The study by Sousa et al. (2022, p. 281) points out that
“in most cases, rankings follow their measurement in a predominantly quantitative
perspective. The indicators and their respective weights are not always guided by
some technical justification” (p. 824). They further state that in “[. . .] the absence of
a qualitative and contextualized assessment, smaller universities located in regions
with marked social and technological inequalities will hardly reach satisfactory
indicators” (Sousa et al. 2022, p. 284).
Some studies analyzed scientific dissemination (Sampaio et al. 2020; Dantas and
Silva 2021) and the role played by science, technology, and innovation in the
implementation of the 2030 Agenda (Tartaruga et al. 2019; Menezes 2020; Serafim
and Leite 2021). Although measurement of scientific dissemination through scien-
tific articles and other works is important, it must be kept in mind that “[. . .] not all
research generates applications, and they must be preserved, but when an HEI or a
development institution,” such as the Brazilian CAPES, CNPq (National Council for
Scientific and Technological Development), and FAPESP (São Paulo State Research
Foundation) (Serafim and Leite 2021).
Therefore, use of science outreach programs stands out as a way of putting
University Social Responsibility into practice. Some of the relevant studies include
those by Menezes and Minilo (2017), Albrecht and Bastos (2020), Martinazzo et al.
(2020), Marques et al. (2020), and Bazzoli (2021), who examine scientific dissem-
ination through articles and report science outreach initiatives related to the 2030
Agenda in different Brazilian HEIs. Science outreach represents an important means
of social insertion and is directly related to impact on society. As highlighted by
Martinazzo et al. (2020, p. 53), through science outreach projects, “the higher
educational institution has the opportunity to provide knowledge and practices that
are interrelated with the objectives of sustainable development and meet local
requirements, especially in vulnerable communities.”
Finally, some studies focus on the management/administration of institutions and
how the 2030 Agenda is incorporated into their institutional policy (Marques et al.
2020; Bazzoli 2021). In this regard, Leal Filho et al. (2018) carried out a study with
35 universities from 6 countries – including Brazil – to determine the extent to which
these institutions have formal sustainable development policies. The authors point
out that 60% of the universities analyzed have a policy that specifically addresses
sustainable development is not necessarily an indicator that the remaining 40% are
not engaged in substantial campaigns that address sustainability.
In the case of the Brazilian universities analyzed, policies related to green
campuses were observed in four HEIs, and the integration of sustainable develop-
ment in the curriculum was observed in all Brazilian institutions from the sample
(occurring in class topics or subjects focused on the topic). The latter case is an
example of an isolated initiative, which occurs without the existence or need for a
specific policy (Leal Filho et al., 2018). It appears that some studies analyze the
SDGs in the context of education, such as Farias et al. (2019) and Ramineli and
Araújo (2021).
Measuring the adherence or performance of HEIs, as well as their actions and
products with regard to the SDGs, is seen to be a complex task. Outlining robust
methodologies is a key strategy for measuring performance, but a University Social
Responsibility is as well. Sampaio et al. (2020) and Kniess et al. (2021) evaluated the
degree of adherence to the SDGs in theses of PPGs evaluated with Grades 7, 6, and
5 (doctoral level) and dissertations from Grade 5 in the network programs (masters
and professional masters). The results reveal a prevalence of the environmental
dimension, followed by the social dimension. Some gaps involving methodology

and data found in the study by Sampaio et al. (2020) prompted them to further refine
their data collection. Algorithms needed improvement, which was provided by
machine learning and the selection and collection of information. This was followed
by measures to improve the computational algorithm and identification of the impact
indicators. At the same time, descriptions of the 17 SDGs were prepared for later
correlation with the products. The descriptions were prepared based on the official
UN documents and submitted for analysis. When nonconformities were found, the
results were verified by comparison with those obtained by human analysis.
However, this first effort to measure adherence of the PPGs to the SDGs demon-
strated the need to improve the methodology (artifact or descriptors), as well as the
metrics related to societal impact. In order to improve the analysis and give greater
robustness to the research, it was essential to carry out an in-depth study to
understand which elements are important for the elaboration of impact indicators
and which should be covered by the tool (the algorithms described before). A
research initiative was initiated involving three PPGs in the field of environmental
science: USP (PROCAM – Environmental Science Graduate Program), Environ-
mental Science Educational Network (PROFCIAMB – National Network Graduate
Program for Environmental Science Teaching), and Development and Environment
National Network (PRODEMA – Regional Graduate Program in Development and
the Environment – doctoral level), who contributed to the reformulation/validation
of the descriptors in collaboration with members of the selected PPGs (explained
before). In the preliminary results of this study, the authors highlight several diffi-
culties: quantification of certain SDGs (such as 16 and 17); the scarcity of research
regarding SDG 5; the easy correlation of SDGs 4, 6, 11, 13, 14, and 15 with research
in the area of Environmental Sciences; and the complex and fundamental nature of
SDGs 1 and 10 (many of whose themes may be capillarized).
Measurement efforts published by Sampaio et al. (2020) and Kniess et al. (2021),
in addition to the research initiative mentioned above, are ongoing within the scope
of two working groups (WG) focusing on the Social Impact of Graduate Studies,
especially programs in the Environmental Science Assessment Area of CAPES. In
2017, the first WG (entitled Destaque Territorial) was created as a result of the
4-year evaluation carried out to assess the quality of Brazilian PPGs, resulting in an
article (Nóbrega et al. 2018) with geospatialized information on the vulnerabilities
and socioeconomic and socio-environmental aspects of the territory of Brazil, where
PPGs in Environmental Sciences are located.
In 2020, a second WG was created (entitled “Impacts of Programs on Society”),
whose efforts were directed toward studying the relationship that theses and disser-
tations have with the SDGs. Among the preliminary results of this initiative are the
publication of the scientific articles mentioned above (Sampaio et al., 2020; Kniess
et al., 2021); the compilation of a book (Sampaio and Philippi Jr. 2021); a technical-
scientific event “1st Academic Meeting regarding the Impact of Environmental
Sciences on the 2030 Agenda,” held in 2021; and the planning of a second Academic
Meeting addressing the formation of thematic clusters involving the Brazilian PPGs
in the area of Environmental Sciences.
Fig. 1 Brazilian regions represented by the 19 PPGs participating in the Academic Meeting
“Global Cities: Impact of Environmental Sciences on the 2030 Agenda”
Despite the difficulty in quantifying the impact of the PPGs on SDG 17, the
reflections that arose from the technical-scientific event “1st Academic Meeting
regarding the Impact of Environmental Sciences on the 2030 Agenda,” which
brought together 19 PPGs in the field of Environmental Sciences from all regions
of Brazil (Fig. 1) to reflect on the role of PPGs in the process of incorporating the
SDGs, showed the potential for integrating separate programs and forming partner-
ships between academic world and society. A more detailed analysis of the 19 PPGs
can be found in Sampaio and Philippi Jr. (2021).
An assessment of the performance in the field of Environmental Sciences of the
PPGs that participated in the event was conducted, which included their social
impact and efforts to achieve the SDGs, based on debates, a workshop, and the
compilation of the book by Sampaio and Philippi Jr. (2021), as well as their
experiences with regard to the 2030 Agenda. The event also offered an opportunity
for reflection on ways in which this impact may be strengthened, especially through
the use of communication and scientific dissemination as a bridge between academia
and the society. Figure 2 shows the distribution of SDGs in PPGs, where the highest
values are observed for SDG 11, SDG 6, and SDG 15.
The relationship among the individual performances of the 19 PPGs in the field of
Environmental Science (Table 3) with regard to the 2030 Agenda based on the
teaching, research, and science outreach axes points to one common and central
feature in their activities: interdisciplinarity (Almeida et al. 2019). This aspect
highlights the ability of CiAmb to contribute toward the achievement of sustainabil-
ity (a goal that is in line with UNESCO) by overcoming disciplinary limits in order to
address complex issues. The other aspects that emerged from the PPG analysis point
Fig. 2 Frequency distribution of SDGs in the studies analyzed
Table 3 Performance of the 19 PPGs in Environmental Sciences (CAPES)

2030 Agenda and Interdisciplinary composition of the teaching staff with regard to
teaching training, performance, and high qualifications
Integration of PPG subjects with the local reality, providing
applicational teaching with results in the territory itself
Capillarity of higher education in different territories, with a
tendency toward internalization, in line with SDG 10 (reduction of
inequalities)
Intertwining between the disciplines offered by the PPG and the
SDGs in the search for critical thinking on sustainability issues
2030 Agenda and Intense scientific production and execution of projects that integrate
research the SDGs
2030 Agenda and Carrying out science outreach projects that impact society,
science outreach promoting events, communicating with the internal and external
community to discuss research results and dialogue between
research groups
Interdisciplinary Dissemination of scientific production using traditional media
initiatives Training students to be promoters of research carried out at the
university by including the topic as a pedagogical goal in the
subjects of the program
out some paths that should be followed to enable universities to enhance their
contribution to the 2030 Agenda.
The authors highlight the performance of several network programs that strongly
adhere to SDG 17 (PROFÁGUA, National Network Professional Master in Water
Resources Management; PROFCIAMB, National Network Graduate Program for
the Teaching of Environmental Science; PRODEMA, Regional Network Graduate
Program in Development and the Environment) since they promote integration
between different institutions and collaboration in the production of knowledge.
Masters and doctoral courses, when carried out in a network, enhance qualified
training and contribute to the popularization of science, especially in vulnerable

regions, whose approximation with academia is very important for the improvement
of living conditions.
Based on the teaching, research, and science outreach activities reported, the
Brazilian PPGs in the field of Environmental Science demonstrated that they are
contributing toward the achievement of the SDGs and impacting society, taking into
account the vocational, institutional, and geographic constitution of the HEIs.
Moreover, the exercise of each PPG in surveying, analyzing, and reflecting on its
social impact and dialogue with the SDGs, which was conducted based on the
demands that arose during the academic meeting, certainly stimulated reflection on
academic practices and may potentially lead PPGs to find new ways of contributing
to the 2030 Agenda, whether in teaching, research, or science outreach activities.
The systematic review of Brazilian scientific production on the relationship
between universities and the SDGs shows that it is possible to expand knowledge
concerning methodologies in order to measure the social impact of universities,
taking into account management/administration and the teaching-research-science
outreach triad, which are linked to the impact on society in the HEIs. On the other
hand, the initiatives of the WG mentioned above, which emphasized the analysis of
the 19 PPGs presented in this section and the research initiatives under development,
point to advances in this field.
International Scientific Studies: Environmental Science and SDGs
The authors conducted an exploratory review of the literature according to the

systematic literature review (SLR) technique (Okoli 2015), using the software
StArt (State of the Art through Systematic Review), developed by the Software
Engineering Research Laboratory (LaPES) of the Federal University of São Carlos
(UFSCar) (Fabbri et al. 2016). As a first step, the guiding question was as follows:
“How do PPGs direct their work so as to meet the 2030 Agenda for the Sustainable
Development Goals?”
To answer this question, four keywords were used in the Scopus and Web of
Science electronic databases: 2030 Agenda, Environmental Sciences, Sustainable
Development Goals, and Graduate Studies. In order to perform the tasks of selecting
articles and extracting their relevant data, a protocol was developed that allowed for
the three essential steps of the SLR: planning, conducting, and publishing results.
The inclusion/acceptance criteria for articles to be used in the study were as
follows: (1) addresses the relationship between graduate studies and the SDGs,
(2) describes curricular issues, (3) describes or presents forms of practical interven-
tion in society, (4) highlights the performance of the faculty, (5) highlights the
performance of the student body, and (6) presents the (formal) relationships with
public policies. The following were the exclusion criteria: (7) the research falls
outside the scope of education/human resource training; (8) the data/discussion
involves problems that do not deal directly with the 2030 Agenda/SDGs; (9) no
relationships between scholarship and human resource training for the purpose of
promoting sustainability are discussed; (10) the solution described deals strictly with
technological advances; (11) the work deals with educational levels other than
postgraduate studies; and (12) environmental issues are discussed without directly
mentioning the SDGs/2030 Agenda.
In the subsequent step, the criteria applied for the information extraction fields
were as follows: (a) the area of knowledge under which the article may be classified
(subject), (b) the SDGs with which the article is most related (from the list of 17 UN
SDGs), (c) general impressions and observations, and (d) strong points and criti-
cisms of the text. Using the keywords, 55 articles were obtained from the Science
Direct (56%) and Scopus (44%) databases (Fig. 3a). Using the StArt software,
55 articles were analyzed, resulting in the following: 27 accepted (49%), 27 rejected
(9%), and 1 duplicate (2%) (Fig. 3b).
From the 27 articles selected in the previous step, only 14 studies were accepted
after application of the following inclusion criteria: highlights faculty performance
(11%), presents a relationship between PPG studies and curricular issues (8%),
describes curricular issues (8%), describes or presents forms of practical intervention
in society (3%), and presents relationships to public policy (2%). Only 4% discuss
environmental issues without directly mentioning the SDGs, 3% of the articles did
not address issues involving the 2030 Agenda, and 2% dealt with educational levels
other than graduate school.
An examination of the 14 articles selected in the extraction phase reveals that few
works are related to PPG studies, the 2030 Agenda, and the SDGs; those that consist
of case studies, course reports, and research reports and were conducted in the USA,
the Netherlands, Spain, Latvia, Cyprus, Finland, and Portugal, among other coun-
tries (Oerther 2019; Habron 2019; Karimi et al. 2018; Zizka 2019; Vintere 2020;
Kavaz and Oztoprak 2019; White and Devereux 2018; Leite and Dourado 2015;
Devereux and Ulrichs 2015; Miralles-Cardona et al. 2020; Mihelcic et al. 2006).
Some articles are specifically aimed at PPG students in Environmental Engineer-
ing (Oerther 2019; Vintere 2020; Mihelcic et al. 2006). Oerther (2019) reports a
Fig. 3 Results of the exploratory phase using the Scopus and Web of Science databases. (a) Origin
of the raw data. (b) Raw data matrix generated using StArt software
successful experience of a PPG course on environmental modeling in the USA,

which addresses the 5-P’s (People, Planet, Prosperity, Peace, Partnership) as
described by the UN Sustainable Development Goals (SDGs). Students who took
this course were encouraged to reflect on this theme and propose alternative models
for dealing with environmental issues involving water quality, air pollution, and
sanitation in cities such as Chicago or Beijing or in regions such as the Athabasca
watershed in Canada. A positive observation at the conclusion of this chapter was
that the interaction that students who participated in this study had with the Diplo-
macy Laboratory of the US State Department provided material for long-term pro-
jects, thus demonstrating the importance of interaction among institutions in various
countries for global environmental studies.
Another study involving the implementation of the UN SDGs in engineering
courses is that of Vintere (2020), who assessed knowledge regarding the mitigation
of the effects of CO2 among 194 engineering students and emerging professionals
from Riga Technical University and the Latvia University of Life Sciences and
Technologies. The results of Vintere (2020) point to sustainable environmental
behavior and show that more than half of the respondents (52%) said they had
never heard about SDGs, while 43% believe in their ecological intelligence.
Mihelcic et al. (2006) report details and arguments for the establishment of a
Graduate Engineering (Environmental and Civil) course that would allow PPG
students to earn Master of Science degrees while serving as engineers in the US
Peace Corps. The driving forces of this educational initiative are the UN Millennium
Development Goals, the direct link that exists between sustainable development and
public health and the protection of ecosystems and natural resources, and the need
for engineering educators to better integrate social and economic issues with envi-
ronmental science. Mihelcic et al. (2006) point out that international masters stu-
dents who do not have degrees in civil or environmental engineering seek a link
between their professional training and the problems faced by society. The authors
also report that there is a disconnect between engineering and societal problems,
which is also linked to the gender issue and to the need to fit PPG research into the
context of today’s environmental, social, and economic issues.
A study carried out at Furman University (Greenville, South Carolina, USA) in
connection with the SDGs involves two introductory courses (Environmental Sci-
ence, Sustainability Science), three intermediate courses (Human Systems, Social
Systems, Dynamic Systems Modelling), five electives, and a research thesis. Stu-
dents who participated in this study were encouraged to research the UN SDGs and
work on applied projects at different points during their degree, with a view to
strengthening their knowledge of the sustainability science curriculum (Habron
2019).
An important tool for studying the SDGs in PPG studies is geotechnologies
(Karimi et al. 2018), especially those that address food and water challenges
(SDGs 2 and 6). Remote Sensing is the basis of a PPG educational course in the
Netherlands for water management in agriculture, designed to serve water profes-
sionals around the world (begun in 2016 with 44 PPG students from 25 countries
who study this geotechnology in proposals to provide solutions to real-world
problems, from land use change to management of water resources applied to

agriculture).
Another important study points out the need to develop a framework for higher
educational institutions aligned with the SDGs (Zizka 2019), aimed at improving
literacy regarding sustainability in Environmental Education courses. This experi-
ment was conducted in the Hospitality Management course in Switzerland, where a
diagnostic test was conducted among students in order to evaluate their knowledge
of the 2030 Agenda; best practices related to the SDGs in Australia, New Zealand,
and the Pacific were also studied. This study demonstrated that higher educational
institutions that wish to better prepare students to be leaders in environmental issues
must find effective ways to teach sustainability principles and concepts in a manner
that resonates and generates engagement and practices that will begin in the under-
graduate and PPG degrees of the students and continue throughout their professional
lives.
The study by Kavaz and Oztoprak (2019) evaluated the level of awareness of the
principles of a sustainable campus among undergraduate and PPG science and
technology students at the International University of Cyprus. The authors examined
whether the personal characteristics of some students (gender, program, and class)
make a difference in their opinions regarding sustainability components, such as
curriculum and research, campus operations, and community participation. The
results revealed that even though students were concerned about campus sustain-
ability and the corresponding environmental benefits, they seemed to be less aware
of issues involving transportation, energy, and water conservation on campus.
Students mentioned that their curriculum and student projects paid very little atten-
tion to sustainability.
Miralles-Cardona et al. (2020) assessed the beliefs of future teachers regarding
their capability of achieving sustainable gender equality practices after their under-
graduate and PPG studies at the University of Alicante, Spain. The 610 students who
participated in the study were asked to assess their knowledge, skills, and gender
awareness. The results provide a reliable and valid instrument that is particularly
useful for guiding education regarding sustainable development (SD) in gender
equality in instructional settings. The inclusion of sustainable development and
topics such as gender equity in undergraduate and PPG curriculum could be useful
for monitoring sustainability performance over time and assessing contributions to
SDG 5.
An analysis of the articles selected by the systematic literature review revealed
that it is necessary to promote the role of sustainability in several PPG courses
related to Environmental Science and related areas. Students play a unique role in
incorporating the role of sustainability in academic and research courses, including
reflective and experiential practice (White and Devereux 2018). In view of this, Leite
and Dourado (2015) highlighted the importance of universities in the promotion of
Environmental Education and Education for Sustainable Development, through the
reorganization of their curriculum; this includes the creation of new courses that
address these specific topics, such as what has been done at the University of Minho,
Portugal, which already includes this theme in degrees associated with the area of
Education. In this way, students will be able to diagnose socioeconomic and

environmental problems and design educational actions that aim to prevent or reduce
environmental impact. However, this must be carried out with much reflection, due
to the complexity of factors that condition sustainability education (Devereux and
Ulrichs 2015).
Conclusion
The field of Environmental Sciences (CiAmb) of CAPES is part of a large multi-

disciplinary context where knowledge is used to provide solutions to environmental
issues, considering the interaction between anthropic and natural systems. The latter
emerge as eco-socioeconomic challenges. Thus, the research carried out in masters
and doctoral programs (PPGs) plays a key role in the process of generating and
transferring knowledge from academia to the society to support public and private
decision-makers in all spheres of human endeavors.
The authors of this chapter analyzed Brazilian cases involving the SDGs studied
in PPGs in Environmental Sciences to understand the contributions made by envi-
ronmental science to the implementation of the 2030 Agenda. International cases
were investigated, as well to verify similarities and also differences.
The CiAmb PPGs analyzed in this chapter were observed to be in line with the
guidelines of the 2030 Agenda, incorporating the SDGs in their teaching, research,
and science outreach activities in crucial areas in order to generate social impact,
taking into account the vocation, institutional, and geographic constitution of the
PPGs. However, there seems to be no consolidated methodology for measuring
social impact and related indicators, a fact that may be due to the differences between
teaching and research systems, scientific areas, and difficulties associated with its
own operationalization.
One weakness emphasized by the authors that was identified in this process is the
fact that quantitative analysis based on metrics may not indicate the real relevance of
institutions for the implementation of the 2030 Agenda, nor their impact on society.
The works analyzed raised questions about the use of metrics, mainly international
rankings that consider their measurement from a predominantly quantitative per-
spective. At this point, a possible solution appears to be the development of a
qualitative and contextualized methodology that can assess the applicability and
scope of research in generating innovative solutions that meet the demands of
society, whose results contribute to the achievement of the SDGs. Another weakness
highlighted by the authors is the scarcity of works (published in Brazil and else-
where) that deal simultaneously with PPG studies, the 2030 Agenda, and the SDGs.
Regarding the strengths observed, science outreach has been highlighted as a way
of putting into practice University Social Responsibility, according to which
published articles express science outreach initiatives related to 2030 Agenda in
various Brazilian higher education programs (HEIs). Science outreach represents an
important means of social engagement, showing a direct relationship with impact on
society and meeting local demands, primarily in the most vulnerable regions.
Another important point highlighted is related to the formal sustainable development
policies carried out in the HEIs. Although many institutions do not have a specific
approach to sustainable development, it does not necessarily follow that they are not
engaged in substantial actions to address sustainability. In the case of Brazilian
universities, it is evident that sustainable development has been integrated into the
curriculum with no existence or need for a specific policy.
The analysis carried out shows that measuring the implementation or perfor-
mance with regard to the SDGs of HEIs and their actions and products is a complex
task. Therefore, the development of robust methodologies may be seen as a funda-
mental strategy to measure the performance of HEIs and their contribution toward
the achievement of the SDGs. Moreover, the adoption of indicators, along with a
structure to organize and link a sustainable set of development information systems,
may be used as an instrument to demonstrate the prevalence of the environmental,
social, and institutional dimension in the adoption of the 2030 Agenda, thus con-
tributing to the improvement of the PPG evaluation system, with an emphasis on the
field of Environmental Science.
The authors consider that the systematic review of Brazilian scientific cases
involving the relationship between universities and the SDGs contributes to the
expansion of knowledge regarding methodologies for measuring the social impact of
universities, taking into account management/administration and the teaching-
research-science outreach triad, linked to the impact of HEIs on society.
Few of the studies selected from the international cases addressed PPG studies,
the 2030 Agenda, and SDGs simultaneously. Those articles that addressed these
issues presented case studies, course reports, and research carried out mainly in the
USA, Holland, Spain, Latvia, Cyprus, Finland, and Portugal. StArt software was
seen to be an excellent tool for the purpose of systematic literature review.
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v4i2.319
Universities’ Role in Promotion
of Education for Sustainable Development:
Mauricio Andrade De Lima, Elliott Mokski, Felipe Teixeira Dias,

Ana Regina Aguiar Dutra, Luis Armando Martínez, and
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 716
Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 718
Sustainable Development in Education Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 718
The Role of Higher Education Institutions in the Promotion of Sustainable Development:
Perspectives from Latin America . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 720
M. Andrade De Lima
Universidade Alto Vale do Rio do Peixe (UNIARP), Caçador, Brazil
e-mail: mauricio.andrade@uniarp.edu.br
E. Mokski
Harvard College, Cambridge, MA, USA
e-mail: emokski@college.harvard.edu
F. T. Dias
Universidade do Sul de Santa Catarina- Centro de Desenvolvimento Sustentável - GREENS/
Observatório UniFG do Semiárido Nordestino, Guanambi, Bahia, Brazil
e-mail: Felipe.dias2@unisul.br
A. R. A. Dutra
Universidade do Sul de Santa Catarina- Centro de Desenvolvimento Sustentável – GREENS,
Florianópolis, Santa Catarina, Brazil
e-mail: ana.aguiar@animaeducacao.com.br
L. A. Martínez
Vanderbilt University, Nashville, TN, USA
e-mail: luis.a.martinez@vanderbilt.edu
Centre for Sustainable Development/ Research Group on Energy Efficiency and Sustainability
(GREENS), University of Southern Santa Catarina (UNISUL), Tubarão, Brazil
Cambridge Centre for Environment, Energy and Natural Resource Governance, (CEENRG),
University of Cambridge, Cambridge, UK

https://doi.org/10.1007/978-3-031-16017-2_1
716 M. Andrade De Lima et al.
Strategies to Overcome Barriers in the Implementation of ESD Within Latin

American HEIs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 722
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 727
Results and Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 728
Education Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 728
Research Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 728
Outreach Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 729
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 731
Abstract
Considering the global scenario that goes through several challenges to expand
the scope of sustainable development, new mechanisms are invited to be studied
and appreciated, especially with the perspective of promoting sustainable devel-
opment in locations with a late development, such as Latin America. In this
context, one of the essential mechanisms to be studied and debated is the role of
universities in promoting a culture for sustainable development, which has a
crucial role in strengthening debates, studies, research, and results together with
society. Thus, it was from this perspective that this chapter aims to weave
theoretical-methodological considerations on the topic under discussion, aligning
the discussion with the objectives of sustainable development. Therefore, this
chapter, in addition to a refined structure on higher education, also brings a
structure of methods that enable a systematic discussion on the subject, including
examples and different perspectives on the role of universities in promoting
education for sustainable development. And in view of the above, this chapter
signals both the continuity on the topic as a real and necessary perspective, as well
as the relevance and contributions of this chapter.
Keywords
Sustainable education · High education · Education for sustainability · Latin
American Universities · Sustainable development
Introduction
Education will be particularly critical to ensure the successful implementation of

sustainable development, as it enables current and future generations to learn and
improve their practices (United Nations 1992). The term “Education for Sustainable
Development” (ESD) has emerged to designate educational practices to teach
current and future generations about the concepts of sustainable development,
enabling them to become more sustainable citizens, thereby having a positive impact
on their environment. ESD seeks to teach about the three pillars of sustainable
development, namely, economy, society, and environment, giving citizens the tools
to address the issues of our time.
Universities’ Role in Promotion of Education for Sustainable Development:. . . 717
Sustainable education programs have grown progressively as interest in sustain-

able development has increased. The first mention of such programs can be traced
back to the Stockholm Conference in 1972, although engagement only became more
substantial in the wake of the Brundtland Report and the 1992 United Nations
Conference on Environment and Development in Rio de Janeiro (Grindsted 2011).
Increasing attention on ESD resulted in the United Nations Decade of Education for
Sustainable Development, catalyzing engagement for ESD globally from 2005 to
2014 (UNESCO 2014). ESD has thereby shifted to become a central aspect of
sustainable development, in particular in the scope of the Agenda 2030 and Sus-
tainable Development Goals elaborated by the United Nations (United Nations
2015; Berchin et al. 2021).
Initial attention to ESD in its modern sense on the part of Latin American HEIs
can be traced back to the 1990 Talloires Declaration. Several universities in Latin
America, including the Colegio de Mexico, the Universidad Autónoma de Centro
America in Costa Rica, the Fundação Universidade Federal de Mato Grosso, and the
Universidade Estadual de Campinas in Brazil, were original signatories of the
declaration (Association of University Leaders for a Sustainable Future 1990;
Hernandez et al. 2018). However, Sáenz and Benayas (2011) identify three separate
phases for the development of EE and ESD in Latin American HEIs, spanning over
six decades, with engagement beginning far before ESD came to be understood in
the way it is today.
Today, at least 114 universities in Latin America are signatories of the Talloires
Declaration, originating from 11 countries across the continent (Association of
University Leaders for a Sustainable Future 2021). This constitutes over 20% of
the total signatories of the declaration, indicating a consequential desire within Latin
American HEIs to contribute to the implementation of sustainability in their prac-
tices and society. Several countries have an especially large number of signatory
institutions, in particular Brazil, with 52 signatories, Columbia, with 31 signatories,
as well as Mexico, with nine signatories. Latin American HEIs are also engaged in
substantial institutional networks on sustainability to support the implementation of
ESD, similar to what would be expected in Europe or North America.
Education plays an essential role “in the process of awareness and cultural change
of citizens and organizations.” Among the main social institutions that promote
reflections, studies and solutions, the universities stand out, which besides the
promotion of education, seek to promote the role of collaborating with scientific
evolution (Lara 2012). In this way, the supply of higher education has been increas-
ing, above all because of the technological and social advances that the various
cultures demand. It is in line with this position Tauchen and Brandli (2006) empha-
size that sustainable development emanates from the profile of those who have come
from Higher Education Institutions.
From this perspective, it is evident that activities aimed at sustainability are of
relevance for Latin America, to qualify the region in such a way that it can develop
by mitigating its current problems. Through the best use of its resources, such
problems can be faced and education through higher education specifically has a
key role to play in this process. In this sense the theoretical-methodological
construction proposed by this research was done aiming to gradually answer the
question problem: How are Latin American Universities dealing with the issue of
implementing and promoting Education for Sustainable Development?
In this perspective, the contribution of this research is inserted in the fundamental
elements for building the reflections presented herein, that is, the role of Higher
Education Institutions in the promotion of Sustainable Development. Nevertheless,
the Latin-American context is added to these aspects and elements, and the scenario
is favorable for examining the aspects presented here. Given this, the present work
also highlights the leading role of universities, as a crucial factor for success in the
development and implementation of sustainable development/SDG objectives. In
addition, it is also shown how the triad teaching-research-extension is inherent to
institutions and function as mechanisms of socio-environmental transformation,
from the current reality to that which is desired.
After the introduction, the chapter goes on to review the literature, first to
highlight the relationship between sustainable development and higher education
institutions. Next, it presents, from the existing literature, the main studies on the
approaches aimed at overcoming the challenges of SDS at a continental level in
Latin America. In item 3, the methodological procedures are presented and then the
results and discussion. Finally, the contributions of the study and the challenges for
future studies are summarized.
Literature Review
This section will present the theoretical contents to support the main objective of this
study, as well as the operationalization of this study.
Sustainable Development in Education Institutions
Discussing the joint concepts of sustainable development and educational institu-

tions requires an understanding correlated with the function of educational institu-
tions, as well as the perspectives inherent in sustainable development. Thus, it is
inferred by Viegas and Cabral (2015, p. 238) that in contemporary times, education
plays an essential role “in the process of awareness and cultural change of citizens
and organizations.” It is in this context that another combination, quality education
and inequality, stands out as an obstacle to education and, consequently, to sustain-
able development. Therefore, considering the historical context of access to educa-
tion, and consequently of quality in education, it is highlighted that this became the
theme of the Sustainable Development Goals.
On Sustainable Development, its notoriety is evident as a result desired by
various social institutions and, above all, in the contemporary academic-scientific
environment. However, Sustainable Development has gained a driving force, that is,
from the Sustainable Development Goals (2020), by which the fourth and tenth
objectives are highlighted as the main drivers within the educational institutions
(Berchin et al. 2021). As a result, higher education in recent decades has gained more
attention in the social context, because it is one of the components of sustainable
development that is necessary for the development of society. In this context,
Mikhailova (2004) stresses that the concept of sustainable development comes
from a concern for improving the quality of life for all present and future genera-
tions, and for this to be one of the pillars would be social development itself, with
education as a key aspect.
Thus, it is verified that the joint term Higher Education and Sustainable Devel-
opment tends to be the new model of education, necessary to shape the new citizens
for the promotion of equality, educational quality, and social development. In this
perspective, the Higher Education Institutions (HEI) “should take the initiative and
indicate possible alternatives, drawing up coherent schemes for the future. Finally,
they must make people more aware of problems and solutions through their pro-
grams” (Kraemer 2004, p.8). It is inferred that, in addition to the promotion of
education, the IES “play a fundamental and strategic role in promoting initiatives
aimed at sustainable development“(Marques et al. 2020, p. 18). Thus, contemporary
pedagogical practices are relevant tools for the development of the role of the
schools (ESS), especially about their role in promoting Sustainable Development.
It is verified by Marques et al. (2020) that the IES show themselves as real pro-
tagonists for the promotion of Sustainable Development, and consequently for the
implementation of the SDGs.
To promote a deep reflection on the subject, “it is worth highlighting that
environmental education is increasingly assuming a transformative function, in
which the co-responsibility of individuals becomes an essential objective to promote
a new type of development - sustainable development“(Jacobi 2003, p. 193). From
this point of view, there is an alignment between education, educational practices,
and higher education institutions, they demonstrate instruments truly capable of
promoting culture for sustainable development, and consequently to subsidize the
implementation of the SDGs, here in particular for the fourth and 10th.
Higher education institutions (HEIs) will play an essential role in the implemen-
tation of sustainability and ESD, due to their impact on educating future generations
and influencing societal policy (Cortese 2003). The initial discussion on ESD was
broad and did not emphasize any specific involvement of HEIs in the process.
Indeed, the first major specific mention of ESD in HEIs only occurred through the
Talloires Declaration in 1990. However, the focus has increasingly shifted in past
years to emphasize the responsibility of HEIs in implementing ESD (Lozano et al.
2013; Hallinger and Chatpinyakoop 2019; Grindsted 2011). Research on ESD in
HEIs has gained steam in recent years and is experiencing rapid growth in academia
(Hallinger and Chatpinyakoop 2019). Despite the increasing attention given to
higher ESD and the numerous conferences addressing the topic, it has been observed
that implementation of actual measures within universities has been slower than
hoped and at times unsuccessful (Kioupi and Voulvoulis 2019).
HEIs are confronted with various structural barriers while putting in place ESD
and sustainability initiatives, including resistance to change and reticence to inter-
disciplinarity, as well as lacking understanding of sustainable development in
academia (Foley 2020). Case studies on regional implementation of ESD can

enlighten potential solutions to the implementation of ESD in HEIs and thereby
facilitate its implementation globally. In that light, studying the situation of ESD in
Latin American HEIs and their strategies to overcome barriers during its implemen-
tation can provide valuable insight into higher education on a global scale.
The Role of Higher Education Institutions in the Promotion

of Sustainable Development: Perspectives from Latin America
With the constant technological and logistical evolution demanded by contemporary

society, developmental tendencies arise to alleviate the social, environmental, and
economic problems of various global sectors (Gazzoni et al. 2018). To propose
short-, medium-, and long-term solutions, the driving force to alleviate the problem
of global sustainability is supported by education, as a force capable of analyzing the
problems and proposing solutions (Tartaruga et al. 2020). As a result, Higher
Education Institutions (HEIs) have become in recent decades the environment
conducive to promoting environmental awareness, and the propagation of culture
for sustainable development (Barbieri and Silva 2011). Adding to the IES, the SDGs
come into play, corroborating the relevance that teaching promotes for the social and
environmental evolution of the planet (Tartaruga et al. 2020).
In this way, the role of the SSI goes beyond proposing traditional teaching as a
tool for promoting citizens prepared for the social context. It became necessary to
direct the focus to other elements indispensable for the evolution of education, such
as research, extension, and technological innovation. This tool emanates as a great
source of potential in the search for viable solutions to the existing recurring socio-
environmental problems, as well as future problems that may arise.
For Ramos et al. (2020), SSI is of fundamental importance, since knowledge as a
pillar for education is the basis of development, while research or research and
innovation are equally essential, making SSI indispensable for promoting sustain-
able development. As a result, the IES make possible joint and innovative solutions
in partnerships signed with other research centers, and other social entities, be they
public or private institutions, that make it possible to overturn or mitigate the
challenges that are posed for the promotion of consumption, production, and sus-
tainable development, and with this, increase the quality of life and maintenance of
the local and global environment (Ramos et al. 2020).
In this context, Tartaruga et al. (2020, p. 120) emphasize that for the implemen-
tation of activities related to Agenda 2030, “eco-innovation and technological
changes require the support of several agents. [...] one agent in particular: higher
education institutions (HEI).” In this perspective, Gazzoni et al. (2018, p. 53)
highlight that by assuming their “organizational characteristic the SES, understand
that socio-environmental sustainability is necessary, since these institutions are
responsible for the citizen, political, cultural and social training of their graduates.”
Moreover, another crucial point for innovation in the processes of modifying the
scenario of the SES is also a strategic pedagogical planning, being also a renewal in
the disciplines necessarily relevant, proposing what is called “Curricular Units -

UCs” (Sacramento 2019, p. 9). Thus, several aspects leverage and increase incen-
tives to promote sustainable development, but there are also several cultures to
overcome and contexts to change.
In this way, the perspectives that cover the joint term Higher Education and
Sustainable Development, as already mentioned, is a challenging exercise, in that the
cultural plurality and divergences between the continents still echo in a latent
manner. In this sense, promoting a link for sustainable development in the ambit
of Higher Education Institutions becomes a constant challenge, above all in Latin
American lands. On the developmental context facing Latin America, there is a late
development, and that marks the continent as an underdeveloped system in several
axes, among which, education (Preciado 2008). In this context, when talking about
the deficits existing in Latin American lands, some points arise as challenges that
have not yet been overcome, even in scenarios of the twenty-first century, such as
“poor coordination between companies, high levels of corruption, shortage of skilled
labor and the limited capacity of governments to act, which reduces the effectiveness
of policy implementation” (Zapata-Cantu and González 2021: 6).
The issue of sustainable education, or higher education prospects for sustainable,
quality education, which is still an accessible and inclusive education, becomes a
common target among the multiple Latin American cultures, which currently pursue
the pair: quality education and reducing inequalities for the future (Quiroga Martínez
2001). To overcome the remaining barriers in the various poles that make up
sustainable development, the SDGs come into play, overcoming an egalitarian
model that can include different cultures in a quality mechanism, and in this context,
Latin America ratifies its position, with the commitment signed between the SDGs
for Sustainable Development (Viegas and Cabral 2015). Nevertheless, Latin Amer-
ica, although still incipient, continues to develop its pedagogical practices with the
perspective of contributing to sustainable development some elements arise in the
context of the SSI as facilitators for promoting education for sustainable develop-
ment, as the globalization of teaching, priming by the breaking of the cultural
barriers still existing intercultures (Sander 2008).
In global aspects, it is verified that among the main contemporary pedagogical
practices that the Higher Education Institutions have been adopting, the importance
of extension practices and the development of research is emphasized, aiming to
strengthen the triad: teaching, research, and extension (Marques et al. 2020). In this
context, quality education goes from the traditional culture of education to practices
that contribute to the professional training of the student, besides also contributing to
social development, here in specific, dealing with sustainable development. Because
of this, for an improvement in the quality of education, Latin American countries
must forecast and promote spending directed toward higher education, considering
the tripod: teaching, research, and extension (Warken et al. 2014).
To this end, countries “must support universities and other tertiary activities and
networks for environmental education and sustainable development and can stimu-
late the reciprocal relations between universities in developed and developing
countries” (Barbieri and Silva 2011: 19). Indeed, the Latin American and Caribbean
countries have committed themselves to implement the 2030 Agenda for Sustainable
Development to move forward toward a better future (CEPAL 2021). However, even
with several existing strategies from both the economic-administrative and the
pedagogical-strategic poles, Latin America has still been slow in the dissemination
and implementation of the SDGs.
They are in line with these reflections, Farinha et al. (2020), p. 20), to highlight
that with studies carried out in countries such as Argentina, Brazil, Colombia, Costa
Rica, Chile, Guatemala, Mexico, Peru, Dominican Republic, and Venezuela that
make up Latin America, studies were carried out with 65 universities that “partici-
pated in the Red de Indicadores de Sostenibilidad en las Universidades - a project to
define indicators for the evaluation of sustainability policies in IES.” Based on these
studies, it was found that there are difficulties in “developing integrated DS pro-
grams and the ways of facing them, a greater focus should be placed on communi-
cation and monitoring progress using specific indicators” (Farinha et al. 2020, p. 20).
Thus, among the aspects desired and highlighted by the SDGs, the role of quality
education can be expressed by the technical-scientific result presented by higher
education, and as such, reveals the role of Higher Education Institutions in breaking
the barriers still existing in the realization of access to sustainable and quality
education (Marques et al. 2020).
In light of the above, it is clear that, although Latin America is developing slowly
and is even considered late by some authors, the barriers to sustainable development
need to be broken, with the emphasis on concrete social improvement. It is in this
context that the Sustainable Development Goals (SDGs) come into play, not with the
coercive intention of achieving all the goals and objectives, but to have a permanent
culture that changes the current context, thinking not only of today but of all the
present and future aspects. In light of the reflections proposed up until now, the
relevant and indispensable role that universities have in the context of education for
sustainable education is evident, transforming the current scenario, into a new
scenario, that for the future. Given this, it is necessary to address strategies to
overcome the barriers in the implementation of SDGs in Latin American SSI, to
develop it for citizens, and societies.
Strategies to Overcome Barriers in the Implementation of ESD Within

Latin American HEIs
Existing literature studying approaches to overcome challenges to ESD on a conti-

nental level in Latin America is sparse, while a limited amount of works attempt to
engage with ESD on a regional or national scale (Frizzo and Moura Carvalho 2018).
Nevertheless, these regional and national level works can be used to enlighten
current trends and approaches on the continent. The literature suggests the existence
of three different approaches, which are then combined to overcome the challenges
of implementing ESD within Latin American HEIs. These approaches may be
described as external, internal, and inter-institutional, as presented in Fig. 1.
Fig. 1 Approaches to overcome barriers in the implementation of ESD identified in the literature
The first approach used extensively may be termed external because it mainly
relies on the regulation of HEIs by actors outside the education sector. In the Latin
American ESD context, this consists of the development of institutionalized gov-
ernmental frameworks to support ESD within educational institutions. This type of
regulatory framework has been implemented in a wide range of Latin American
nations. Brazil, for instance, has developed a complex legal framework that serves to
buttress EE programs, beginning with a National Environmental Policy in 1981 and
followed subsequently by a National Policy for Environmental Education in 1999.
Public curricula policies for EE were elaborated by the Brazilian government, as
in the case of the 2012 National Curriculum Guidelines for Environmental Education
by the National Council of Education (Moura Carvalho and Frizzo 2016). Columbia
and Guatemala have also implemented similar initiatives to support the expansion of
environmental education at various levels within the public education system (Sáenz
and Benayas 2011). The cultural HEI program implemented in Mexico and other
Latin American countries described previously is also publically mandated and deals
with topics of sustainability, demonstrating that government interventions are rou-
tine on the continent. This governmental engagement in ESD expansion supports the
conclusion by the 1985 UNESCO report on universities and environment in Latin
America and the Caribbean that environmental education programs in Latin Amer-
ican HEIs should be tightly intertwined with legal policy (UNESCO,
PNUMA, 1985).
Latin America is particularly fertile for governmental regulation of education
curricula due to two factors. The first is the nature of the HEIs themselves, which in
Latin American countries such as Mexico are primarily public. This makes their
approaches and curricula much easier to mandate from a political perspective than
private education institutions. Indeed, a survey performed by Hernandez et al. (2018)
in major Latin American HEIs suggests that environmental offerings are more
substantial in public universities than in private ones. The second element justifying
governmental inroads into ESD within Latin America is a deeper societal and
cultural commitment to environment, certainly influenced in part by indigenous
practices absent to the same extent in North America and Europe. The existence of
this societal commitment is partially demonstrated by the fact that environmental
education began very early in Latin America, as discussed previously. Having a
commitment to environment on a societal level, as well as routine exposure to
indigenous practices facilitates government intervention to support ESD and EE
within public curricula.
Many of the policy frameworks put in place by governments are focused on
education at the primary and secondary levels, where public curricula are entirely
mandated by governments. However, it may be argued that implementing ESD
content at that level legally binding incentivizes HEIs to pursue similar programs
to provide a coherent platform with public lower education. In this way, govern-
mental regulations on EE (Environmental Education) and ESD – even in primary
and secondary education – lend credibility to the effort of developing ESD initiatives
in general and provide a much-needed impetus within higher education. Therefore, it
seems logical for governments to pursue aggressive regulatory approaches about
ESD as this may ensure self-compliance within HEIs and provoke quick improve-
ment in the extent and quality of higher sustainability education.
External approaches to support the implementation of ESD are combined with
internal strategies in HEIs, consisting of initiatives within the structure of specific
HEIs. These can include curriculum review, administrative changes, or new legal
frameworks like mission statements. The literature suggests that Latin American
HEIs turn to internal review mechanisms on the topics of sustainable management
and administration, curricula, and research, much like universities in North America
and Europe. Many universities in Latin America have developed stand-alone initia-
tives for ESD, making significant progress in the implementation and operationa-
lization of sustainability education in their programs (Hernandez et al. 2018). This
relies on two distinct but intertwined actions: mission statements and operations.
Concerning the former, a survey in prestigious Latin American universities indicates
that many universities commit to sustainable development cited explicitly in their
mission statement or as an institutional program (Hernandez et al. 2018), suggesting
that the commitment to internal reform is wide-reaching within Latin American
HEIs. Meanwhile, all of the universities sampled by Hernandez, Vergas, and Paucar-
Cáceres made explicit mention of environmental concerns, illustrating that sustain-
ability in HEIs may be primarily motivated by concerns over climate change and
other environmental problems like water and air pollution. Citing sustainability
within the mission statement lends credibility to the implementation of ESD.
Increased credibility in ESD initiatives could help dissuade certain opponents within
the academic community, lift structural barriers, and contribute to wholehearted
engagement on the part of faculty and administration of HEIs.
On the operational side, universities have attempted to develop new programs

involving sustainability. They have opted to integrate ESD content directly into their
existing curricula, with especially large engagement in the faculties of engineering
(Hernandez et al. 2018). Furthermore, HEIs have developed separate degree pro-
grams with major focus on sustainable development, ranging from interdisciplinary
undergraduate degrees to master’s and doctorate programs fully or partially focused
on sustainability (Hernandez et al. 2018). Developing new degree programs may
allow for more flexible allocation of resources rather than having to deal with
reworking existing frameworks, thereby facilitating the implementation of ESD.
Furthermore, new programs are specifically designed to address key questions
and topics of sustainable development, preparing students to answer the challenges
with which society will be confronted in coming years. Beyond the curricular
dimension, Latin American HEIs have also implemented sustainability directly
into their practices, for instance through recycling initiatives or wastewater treatment
plants (Hernandez et al. 2018). Such projects can both improve the sustainability of
HEIs and provide relevant examples for ESD courses, solidifying students’ exposure
to topics of sustainability. It may also be supposed that developing concrete opera-
tional initiatives like recycling provides tangible evidence of the existence and
benefits of sustainable practices. Again, this could help to strengthen the credibility
of ESD and sustainable development, thereby lifting certain barriers in the imple-
mentation process.
Finally, external regulatory initiatives and internal reviews within HEIs are also
supported by transnational networks of universities and collaborative conferences.
This approach can be traced back as far as the 1985 Seminar on Universities and the
Environment in Latin America and the Caribbean, held in Bogota, which laid the
groundwork for much of the subsequent development of ESD on the continent
(Sáenz and Benayas 2011). Sophisticated HEI networks on sustainability and ESD
have emerged in Latin America since that point in time, both on a national and
international scale. National networks such as the RCFA in Columbia have generally
proven effective to coordinate approaches within specific countries, although certain
organizations were not as effective as had been hoped. Despite this, national
organizations of HEIs for sustainable development have seen a boom in recent
years in Latin America after suffering through a period of diminished engagement
(Sáenz and Benayas 2011). Meanwhile, transnational and transcontinental networks
have also developed, as exemplified by the Committee of the Association of
Universities of the Montevideo Group (AUGM) and the Alliance of Ibero-American
University Networks for Sustainability and the Environment (ARIUSA). Such
networks of HEIs strengthen the expansion of ESD throughout the continent through
several benefits.
First, networks of HEIs enable collaborative research and knowledge-sharing
between institutions, helping to understand efficient ways to implement ESD
(Berchin et al. 2018). The primary objective of HEI networks like ARIUSA is to
enable communication and cooperation between HEIs (Sáenz 2018). Indeed, it is
widely understood within the academic community that collaboration and research,
and especially interdisciplinary research, are key parts of ESD (Aktas 2015).
Through research collaboration, HEIs can develop and share innovative approaches
to overcome the barriers associated with the implementation of ESD, growing the
common knowledge base and facilitating the transition process to a more sustainable
education system and society. In particular, HEI networks can also enable multi-
stakeholder engagement in research by involving governments and institutions like
UNESCO, as well as private sector actors, to participate in the process. These actors
can provide outside perspectives and potential solutions regarding the implementa-
tion of ESD and sustainable development within HEIs.
Second, the networks enable HEIs to develop declarations together and commit to
certain changes in governance and processes. This is exemplified by numerous past
declarations spurred by HEI networks, including the landmark Talloires Declaration
by the grouping University Leaders for a Sustainable Future. HEI networks and
conferences enable institutions to share ideas for curricula, develop common pro-
cedures, and attempt to coordinate their approaches to sustainable development.
Furthermore, through HEI networks, universities can consider changes in adminis-
tration policy and suggest enforcement mechanisms to ensure compliance with the
measures adopted at conferences. Conferences and declarations supported by inter-
institutional HEI networks provide the credibility and the impetus needed to expand
the resources dedicated to the expansion of ESD programs within HEIs. This
strengthens the overall trend toward implementing sustainability in universities
throughout the continent, thereby furthering the greening process within the institu-
tions themselves. This supports analysis in the literature pointing to the effectiveness
of higher education networks in sustainability transition (Dlouhá et al. 2018).
Combining governmental regulation and internal review processes with inter-
institutional engagement in conferences and international HEI networks ensures a
more robust and self-regulatory approach across countries throughout the continent.
Therefore, existing literature points to the existence of three simultaneous
approaches to overcome challenges during the implementation of ESD in Latin
American HEIs. Firstly, governmental regulation is used to provide a legal frame-
work and incentivize HEI implications in EE and ESD. Secondly, HEIs turn to
internal review processes to implement ESD emphasizing revisions in existing
programs and the creation of new degree programs on sustainability. There is also
an effort to operationalize sustainability, which provides tangible evidence of pro-
gress in the greening process and can reduce resistance from faculty and adminis-
trations. Finally, national and multinational HEI networks come into play to support
research, cooperation, and knowledge-sharing between HEIs. Each of these
approaches helps increase the credibility of ESD and overcome structural barriers
in its implementation.
Engaging with HEI actors in Latin America can help shed further light on
approaches adopted by institutions to overcome barriers in the implementation of
ESD. As such, the paper now turns to a case study of HEIs on the continent to
provide additional, novel knowledge on strategies engaged by institutions to assist in
the development of ESD programs within Latin American higher education.
Methodology
The theoretical-methodological construction of this research emerges as a way of

analyzing the current situation of the sustainability initiatives carried out and the
possible barriers encountered by the Latin American SSI, to understand how such
institutions are dealing with the challenges of implementing and promoting Educa-
tion for Sustainable Development, and therefore, sought to analyze the main strat-
egies used in the context studied under three approaches that can be described as
external, internal, and interinstitutional. Thus, alternatives and/or other more sus-
tainable possibilities are offered to the Latin American community.
Therefore, the present research is based on a qualitative approach, which is
characterized by the condition of describing the complexity of a given problem,
analyzing the interaction of certain variables, understanding, and classifying
dynamic processes experienced by social groups. He also stresses that it can
contribute to the process of change in a given group and make it possible, at a
greater level of depth, to understand the particularities of the behavior of individuals
(Richardson 1999). Its objective is evidenced by its cross-sectional descriptive
aspect since it seeks to describe the behavior of phenomena and to obtain informa-
tion about the characteristics of a given problem or question (Collis and Hussey
2013). Regarding strategies, the present study will employ bibliographic research for
the construction of the theoretical framework and, also, documentary research to
highlight the practices of the IES of Latin America.
For the construction of the literature review, the integrative revision method was
used, which aims to synthesize knowledge from scientific articles of the databases:
Scopus, ScienceDirect, Emerald and Web of Science, and Google Scholar,
representing the most current literature on the subject. The search for scientific
articles in the cited bases answered the following items: (1) relevance to the theme
“Education for Sustainable Development in Latin American SSIs” and (2) Filters
(period: 2015–2021; Document types: scientific articles).
The strategies adopted for the search for the articles were as follows:
• “Education for Sustainable Development” using the Boolean operator (AND).

• “Higher Education Institutions”; “Latin-America”
• “Sustainable Development Goals”; “Higher education”
• “Sustainability initiatives”
• “roles” or barriers or challenges for sustainability”
• “Diffusion of sustainability; “sustainability problems”; “integration of sustain-
ability; “Sustainability management control systems”.
To highlight the already implemented and future practices toward education for
sustainable development, 11 Universities located in Latin America, in different
countries, Unisul partners in an international research project, approved in the call
called Erasmus + Program of the European Union 2019, with duration until 2023,
and has as its main objective to implement systematic environmental practices and
quality processes aligned with the SDGs, seeking to improve the management and
operations of the IES. These practices were obtained from documents, i.e., second-
ary data, and were analyzed in the light of the literature, organized as follows:
teaching, research, and extension activities, since these are the elements that are
part of the essence of the whole University.
Results and Analysis
In this section, we will present the results and discussions about the proposals and
initiatives of the SSI, which are part of the sample of this study, to promote
Education for Sustainable Development, through the categories: teaching, research,
extension, and operation of the campus.
Education Activities
The strategies adopted by the universities, which are part of the sample of this study,
to achieve education for sustainable development in the area of education are still
very limited to free courses, that is, without the obligation of the students to do them.
However, universities in their strategic plans recognize the need to offer content
about sustainable development and ODS integrated into curricula at different levels
of education (undergraduate, specialist, master’s, and doctoral degrees), enabling all
students to know the theories and experience practices aligned with sustainable
development and SDGs.
Hernandez et al. (2018) point out that although there are some signs of imple-
mentation of the SDGs in the curricula of countries such as Brazil and Colombia,
these practices were not substantial or did not permeate the sustainable development
strategies of higher education. Corrêa and Ashley (2018) corroborate with the
previous authors by emphasizing that content on sustainability and environmental
education should increasingly be inserted in the curricula of higher education,
highlighting the commitment between higher education institutions and society. As
for Kjellgren and Richter (2021), they highlight that universities, besides providing
their students with technical competence, also need to ensure global competencies,
through the curricula, to face the challenges posed by the SDGs.
Research Activities
Universities, before starting to implement actions aimed at education for sustain-

ability, through research, needed to map the already existing research programs and
projects, to know their alignments with the SDGs. After this mapping, it was
possible to identify strengths and weaknesses, thus making it possible to establish
more efficient initiatives, such as:
• Promoting the creation of research groups to study content on SDGs.

• Encouraging existing groups to open up lines of research on SDGs.
• Promoting and strengthening research programs and projects with a focus on
sustainability, based on the SDGs.
• Promoting courses for writing scientific articles to be submitted to high-impact
journals.
Veiga et al. (2018) brought arguments that corroborate the proposals of Latin
American universities by stating that if education for sustainability is the way to
global sustainable development, then it is necessary to expand scientific research on
the subject. Leal Filho et al. (2021) highlight that there is indeed an imminent need to
develop approaches, methods, and tools that subsidize higher education institutions
in the systematic introduction of SDGs in their research and teaching activities as an
intrinsic part of their curricula.
Lozano et al. (2013) and Omazic and Zunk (2021) broaden the discussion by
highlighting that in addition to research and teaching activities, campus extension
and operation activities also bring significant economic, environmental, and social
impacts. Corrêa et al. (2020), demonstrated their concerns when they studied the
undergraduate courses in Design of the Brazilian IES, and concluded that these are in
the initial stages as to the debate of sustainability contents, with weaknesses about
the numbers of laboratories and research groups dedicated to the subject.
Outreach Activities
The universities that are part of the object of study practice their extension activities
on different fronts: (a) provision of services: health services are provided to the
academic community as well as to the local poor communities, through hospitals,
dental clinics, physiotherapy, psychological. Health services are provided by intern-
ship students and their mentoring teachers; legal services follow the same logic as
health services. (b) Programs and projects: Extension programs and projects are
ways of involving students in solving real problems in communities, especially those
linked to the reception of refugees and immigrants. (c) Events: Also in the context of
extension activities, universities promote events about, in the vast majority of cases,
specific subjects of the SDGs, as well as health prevention and environmental
preservation campaigns. (d) Offices and schools: Schools and offices guide NGOs
and small businesses on several fronts: accounting, management, marketing, legal,
and other. (e) Access to infrastructure: A part of the universities studied opens, free
of charge, their parks, cultural and sports spaces, and libraries for the local
communities.
Menon and Suresh (2020) point out that 2005–2014 was the decade to promote
sustainable development education within higher education institutions (IES),
aiming at integrating the contents about sustainability into their campus teaching,
research, extension, and operation activities. For example, Hernández-Diaz et al.
(2021) studied a university in Colombia and completed education for sustainable
development in universities, present in the teaching, research, extension, and oper-

ation of the campus, providing the university community with the skills and capa-
bilities needed to contribute to the solution of the regional, national, and
international problems that sustainability poses. Steiner and Posch (2006) brought
an example from a university in Austria, where education for sustainability was
practiced from a real situation, involving students, teachers, researchers, community,
and local leaders, to search for a solution to an area abandoned by iron mining.
Hernández-Diaz et al. (2021), CNA (2013), AASHE (2017), and Lozano et al.
(2013) bring as important actions in solving real problems about sustainability those
developed by the ISS in the context of extension programs and projects, such as
continuing education courses in sustainability for the academic community; sustain-
ability courses for training external partners; community service provision; internal
and external communication through events; programs to involve graduates; and
consultancies in sustainability for public and private institutions.
Zilahy et al., back in 2009, stressed that the extension activities carried out by the
SSI, in partnership with the communities, brought benefits for all, and that many
were the barriers to the realization of substantial cooperation with local and regional
communities, such as the lack of incentives, inadequate financial resources, the lack
of time of the academic community for these activities, depending on the prioritiza-
tion of others. However, with the UN institution of the decade of Education for
Sustainable Development, it has been possible to catalyze change in many univer-
sities and communities around the world to build a better future.
The SEIs that make up the Latin American region have been committed to environ-
mental education; however, “there is little information in terms of holistically
incorporating the aspects of education for sustainable development” (Hernandez
et al. 2018, p. 2) in its activities in a transversal way and for all students. The
goals outlined by the Sustainable Development Goals in the framework of the ISI,
should be seen from the perspective and design of an indispensable tool to “plan
your journey in a sustained direction, inclusive development, in harmony with the
environment, helping to make Latin America more inclusive, equal and sustainable.”
From the perspective of Zapata-Cantu and González (2021), although Latin America
has a long tradition in science and technology development policies, the region still
finds it difficult to reverse its deficit in this area.
The universities that were part of the sample of the present study, corroborating
with the research Sáenz, Zapata-Cantu, and González and Hernandez, Vargas, and
Paucar-Cáceres, demonstrated strong interests in working education for sustainable
development in the classrooms, that is, in the curricula, in a transversal way and that
all students have possibilities to experiment theories and practice about sustainable
development and the SDGs. However, one still notices a certain difficulty in
changing curricula for the supply of disciplines with the theme of sustainable
development. In the context of scientific research, a significant part of universities
present programs and projects, as well as research groups already aligned with
sustainable development and the SDGs. However, the other party still seeks to
perfect its research initiatives to discuss sustainable development. As far as exten-
sion programs and projects are concerned, there are several initiatives to strengthen
the dialog between universities and communities, companies, local governments,
and other stakeholders, through courses, events, service delivery, and consultancies.
The contributions of the present study are focused on the recent literature review
on the subject “education for sustainable development,” enabling the universities,
which were part of the sample, and so many others around the world to know and
apply the existing initiatives, as well as considering the guidelines shown here for the
implementation and strengthening of new initiatives, as a form of benchmarking.
The limitations of the present study, on the other hand, focus on the lack of
quantitative data, so that could define a few percentages to corroborate the
qualitative data.
Finally, as an agenda for future work, it is suggested to deepen the theory about
the updates of the curricula to enhance the content about sustainable development,
also pointing out theoretical and practical implementation guidelines to universities
regarding education initiatives for sustainable development.
Cross-References
▶ Efforts Towards Ending Child Labor: Case of Brazil

▶ Perceptions of Sustainability in Chilean Higher Education Communities
in Policy Documents
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Innovations in Online Teacher Professional
Development in Latin America
Nascira Ramia, Karla Díaz, María Gabriela Salcedo, Isabel Merino,

Isabela Castellanos, and Lizeth Cueva
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 736
Sustainable Development Goals and Quality of Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 737
Online Professional Development: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 738
Public-Private-Academia Collaborations in Latin America . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 741
Teacher Professional Development in Ecuador . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 742
Description of Project: Innovation Laboratory for Professional Development . . . . . . . . . . . . . . . . 746
Lessons Learned . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 748
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 751
Abstract
Public-private-academia collaborations present ingenious solutions to achieve
Sustainable Development Goals in Latin America. This chapter explores the
potential of these collaborations in supporting the goals – particularly SDG 4 –
and supplying qualified public school teachers in Ecuador. The COVID-19
pandemic highlighted the need to train and equip teachers with innovative tools
and methods for their work. To improve practices and provide knowledge to
teachers, the Ministry of Education in Ecuador established cooperation processes
N. Ramia (*) · K. Díaz · M. G. Salcedo · I. Castellanos

Education, Universidad San Francisco de Quito (USFQ), Quito, Ecuador
e-mail: nramia@usfq.edu.ec; kdiaz@usfq.edu.ec; mgsalcedo@usfq.edu.ec;
icastellanos@alumni.usfq.edu.ec
I. Merino
IDEA, Universidad San Francisco de Quito (USFQ), Quito, Ecuador
e-mail: imerino@usfq.edu.ec
L. Cueva
Formación Continua, Ministerio de Educación Ecuador, Quito, Ecuador
e-mail: lizeth.cueva@educacion.gob.ec

https://doi.org/10.1007/978-3-031-16017-2_101
736 N. Ramia et al.
with higher education institutions and other entities so that public school
teachers’ preparation could be strengthened through virtual platforms.
A Laboratory of Innovative Models of Teacher Professional Development in
the context of the pandemic was established to strengthen online teacher profes-
sional development in Ecuador through the interinstitutional work of the Ministry
of Education, a Chilean NGO, and a private liberal arts university. The first pilot
activity of this collaboration included the implementation of two online profes-
sional development courses for teacher tutors that included both mentoring and
coaching elements. Lessons learned around this collaboration included the impor-
tance of connectivity, promoting teacher participation, allowing teachers to be
part of the design process, ensuring that teachers are technologically savvy,
providing adequate technical support, giving follow-up and timely feedback to
teachers, and encouraging professional learning communities, among others.
These lessons can be applied in broader and future professional development
processes and collaborations in Ecuador and Latin America.
Keywords
Online teacher professional development · Online tutor training courses ·
Information and communications technology · Public-private-academia
collaborations · SDG 4
Introduction
The world faced a pandemic in 2019 caused by COVID-19. This situation forced
governments of various countries to take measures to limit the concentration of
people in closed spaces; as a result, the Ecuadorian government, as many others
around the world, decided to suspend face-to-face classes in all educational institu-
tions and recommended that students migrate to virtual and distance learning
(International Monetary Fund 2021). This change was a challenge for these institu-
tions, as well as a challenge for teachers, because new teaching and learning
methodologies were called for (Parker and Alfaro 2022). In terms of the professional
development of teachers, it required adaptations and innovation urgently, as it was
necessary to modify existing courses to migrate to the virtual environment (Parker
and Alfaro 2022).
Difficult times, such as those experienced by a community during a pandemic,
can be beneficial to education because they force teachers, administrators, and
policymakers to reflect and recognize the need for changes (Zhao and Watterston
2021). The urgent innovations that needed to be implemented in the face of the
coronavirus required collaboration in Ecuador not only from the government and
usual stakeholders to break down barriers, debunk myths, but to implement changes
(SUMMA 2021). In 2014, the Ecuadorian Ministry of Education (n.d.) had already
assessed the overall performance of public teachers and discovered that 68% of them
obtained less than 70 out of 100 points; consequently, with the pandemic, the
Innovations in Online Teacher Professional Development in Latin America 737
Ministry of Education sought support from academia and other private entities to
respond to teachers’ needs (Ministerio de Educación 2020c).
The collaboration of various institutions and sectors is key to respond effectively
and efficiently to new needs (United Nations 2018). And these united efforts prompt
new ways of doing things in order to maintain the advancement of education and the
goals that had been established previously, such as the Sustainable Development
Goals set in the 2030 Incheon Declaration (UNESCO 2015). New ways of doing
professional development for teachers in specific locations are innovations that
deserve to be analyzed in order to inform practices in other similar contexts.
In this chapter, the purpose and characteristics of teacher professional develop-
ment are reviewed. Specifically, the case of Ecuador and its history of teacher
professional development in recent years is detailed. Then, public-private collabo-
rations in Latin America are characterized and, finally, a specific collaboration
project in Ecuador is described along with its lessons learned.
Sustainable Development Goals and Quality of Education
The United Nations Sustainable Development Goals (SDGs) are used worldwide by
public and private sectors to establish policies, strategies, and to allocate resources to
achieve them. The SDG number 4 is related to “ensure inclusive and equitable
quality education and promote lifelong learning opportunities for all” (United
Nations 2022). This SDG is central in determining the quality of education that
students around the globe are receiving. That is why education has been considered
as an essential component in achieving sustainable development and all the countries
in the world have developed various initiatives to achieve SDG 4. According to
Hoang et al. (2020), if SDG 4 is achieved, then many of the other SDGs will be
successfully attained. Each year a progress report is published to determine the status
of each SDG and in 2019 it was noted that the supply of trained teachers was not
advancing as desired (Hoang et al. 2020).
There are various initiatives in Latin America that aim toward the fulfillment of
this SDG. For example, in Costa Rica the Ministry of Education incorporates
elements of the SDGs in their curriculum and in teacher training programs
(UNESCO 2016). In Argentina, the UNESCO Associated Schools Project Network
seeks to preserve cultural heritage by training teachers and promoting collaborative
activities with other countries in the region (UNESCO 2016). Finally, a teacher
training program in the Dominican Republic works with higher education institu-
tions to train teachers in sustainable development and trains thousands of educators
every year (UNESCO 2016).
The Education 2030 Incheon Declaration and Framework for Action provided a
set of strategies that countries use to achieve SDG 4 (UNESCO 2015). One of the
strategies discussed in this declaration mentions the importance of quality teacher
training and professional development that motivates teachers to use learner-
centered pedagogies (UNESCO 2015). In addition to the proposed strategies, SDG
4 has seven targets that help countries monitor its achievement and should be
738 N. Ramia et al.
accomplished by 2030 (UNESCO 2015). There are three means to implement these
targets. In this case, the means of implementation that is relevant for this analysis is
target 4.c that states: “by 2030, substantially increase the supply of qualified
teachers, including through international cooperation for teacher training in devel-
oping countries, especially least developed countries and small-island developing
States” (UNESCO 2015). Teachers are key actors in assuring quality of education so
they must be supported throughout their careers. When teachers are part of a
“professional development continuum” which allows them to continue to learn
throughout their careers they are less likely to quit their profession (UNESCO 2015).
Additionally, it is recommended that teachers be competent in ICT (information
and communications technology) and be well prepared to change and adapt within
their educational context (UNESCO 2015). If teachers are required to receive
training through the use of online learning environments, they will feel more
comfortable and eager to use it in their own classrooms. However, developing
countries face technological, social, and cultural barriers that do not allow teachers
to benefit from the advantages of ICTs (Dele-Ajayi et al. 2021). A study conducted in
Nigeria suggested that teachers were not able to use ICTs due to political and social
factors that affect their professional development (Dele-Ajayi et al. 2021). These
authors recommend the creation of a community of practice for teachers to share
their concerns while learning how to use ICTs (Dele-Ajayi et al. 2021).
Teacher’s professional development programs must be contextualized according
to each location and teacher’s attitudes toward learning, school, and own experience
need to be considered (Clarke et al. 2020). In summary, SDG 4 is vital when
analyzing the quality of education in any context. Next, online professional devel-
opment will be analyzed in terms of how it can contribute to the fulfillment of
SDG 4.
Online Professional Development: Best Practices
Teachers’ training and professional development programs have, as their main

objective, to improve student learning by improving teaching (Gagne et al. 2005;
National Staff Development Council 2001; Darling-Hammond et al. 2017). In this
way, the countries with the highest educational quality are those that provide
abundant and continuous training for teachers (McKinsey and Company 2007). It
is important to mention that there are several factors that influence teacher partici-
pation in these processes. Among the most important are the lack of time due to their
workload, and lack of incentives and costs (Organization for Economic Cooperation
and Development 2019). Due to these obstacles and also to the growing need to
develop technological skills in teaching-learning processes, continuous online train-
ing is an excellent option (Gómez et al. 2020). This modality provides flexibility in
terms of time and content, an innovative pedagogical approach and low-cost access
(Dede et al. 2009). Despite the advantages that this modality offers, some of the
challenges that sometimes arise are the lack of experience and knowledge of teachers
about its operation, lack of access to technology, and scarce administrative and
financial support (National Research Council 2007).
Characteristics of Effective Teacher Professional Development

The Effective Teacher Professional Development Report identified seven key
aspects of effective professional development programs by reviewing 35 studies
that demonstrated “a positive link between teachers’ professional development,
practices, and student achievement” (Darling-Hammond et al. 2017: 4). Each of
these aspects will be described in the following paragraphs.
First, an effective teacher professional development program focuses on the
content that teachers teach. That is, it focuses on academic disciplines or specific
curricular content such as math, science, or literacy. In addition, it seeks to connect
the content with pedagogies that adjust to the needs of the students (Darling-
Hammond et al. 2017). This allows to contextualize and make more significant the
learning that teachers have in this type of program.
The second aspect is active learning. Darling-Hammond et al. (2017) emphasize
that elements of professional development must consider how teachers learn. Trotter
(2006) mentions that adults learn better through experiences, choosing their learning
according to needs and interests, reflecting, and investigating. For this reason,
teachers must have opportunities to analyze, test, evaluate, and reflect on the new
practices and strategies they acquire (Darling-Hammond et al. 2017). Active learn-
ing also allows teachers to engage in the same learning activities and environment
that they will later implement in their classes (Buczynski and Hansen 2010; Heller
et al. 2012).
Another important aspect of well-designed professional development is collabo-
ration. This can be carried out in pairs, groups, as an institution and even with
external people (Darling-Hammond et al. 2017). Collaboration makes it possible to
create “a broader base of understanding and support at the school level” (Darling-
Hammond et al. 2017: 16). In this way, they work collectively with the aim of
improving teaching and teachers have support networks for their learning. It is also
significant to promote discussion spaces where they reflect on their own educational
practices and exchange suggestions (Darling-Hammond et al. 2017).
The use of models or modeling of effective practices is also essential for suc-
cessful professional development. Having guides on how and what to teach helps
teachers have a foundation for their own teaching. Some examples of models are
videos, written cases, demonstration lessons, lesson and unit plans, peer observation,
and pedagogical and curricular material (Darling-Hammond et al. 2017). It is
important to point out that access to these types of resources is not enough, it is
always necessary to have support to know how to use them. In one of the studies
analyzed in the report, better results were observed when teachers had access to
various types of materials, along with the support of experts, had opportunities to
learn actively and collaboratively, and focused on specific content (Kleickmann et al.
2016).
As mentioned, professional development programs need to be accompanied by
trainers and experts. Through them, several of the elements are promoted: modeling
740 N. Ramia et al.
of effective practices, support in group discussions, and collaborative analysis. In

addition, they provide guidance and feedback based on their practices and knowl-
edge (Darling-Hammond et al. 2017). They also play the role of facilitators and
mentors, both in face-to-face workshops and in online monitoring of teachers. The
experts can be specialized professors, institutional authorities, researchers, or uni-
versity professors (Darling-Hammond et al. 2017). The authors indicate that teachers
who receive “accompaniment are more likely to exercise the desired practices and
apply them correctly than teachers trained with more traditional methods” (Darling-
Hammond et al. 2017: 20).
Feedback and reflection are essential for effective professional development.
Both elements help teachers adopt what they have learned more consciously in
their classes (Darling-Hammond et al. 2017). Likewise, a space is created for the
exchange of positive and constructive comments in relation to their real practices.
For example, in lesson plans, demo classes, and video recordings. Feedback and
reflection can also be present in sessions or workshops facilitated by experts and
trainers (Darling-Hammond et al. 2017).
Lastly, Darling-Hammond et al. (2017) highlight that for an effective application
of all the aspects mentioned, time and quality are needed in implementation. They
point out that “meaningful professional learning that results in changes in practice
cannot be achieved in short, one-off workshops” (Darling-Hammond et al.
2017: 21). For this reason, it is necessary for professional development to be a
sustained process over time, so that it is more likely to transform teaching-learning
processes. By being sustained, teachers can continually review their training material
and move it outside of program sessions, into their own classrooms (Darling-
Hammond et al. 2017).
Characteristics of Effective Online Teacher Professional Development

with Accompaniment
After analyzing the key aspects in effective professional development programs,
specific characteristics that these programs should have in an online learning envi-
ronment were sought. To this end, research from several countries was reviewed with
a focus on accompanied online professional development. From this revision, a few
common characteristics that are perceived as necessary for the success of these
programs emerged.
The first characteristic is the presence of facilitators and mentors. Ballesteros-
Ibarra et al. (2019) surveyed primary school teachers about their perception of online
education in massive courses. Many of them indicated dissatisfaction derived from a
lack of immediate support, follow-up, and feedback on their experience. For this
reason, Castañeda et al. (2017) emphasize the importance of facilitators as a key
factor for online teaching. In the implementation of a training program, they
provided continuous pedagogical and technical support.
As a second characteristic, for a mentor or facilitator to be effective is support and
clarity for their role, this support can include things like having a manual indicating
the facilitator’s role, the content of each module, tools of the digital platform to
promote learning, difficulties that could arise, and possible modifications to be made.
If the facilitators have questions, they have an assigned coordinator who could
help them.
A third characteristic is responding to teachers’ needs. Prestridge and Tondeur
(2015) identified that good teacher mentors responded to the cognitive and affective
demands of teachers. In the cognitive aspect, teachers need to feel support in their
processes of analysis and questioning of their pedagogical beliefs and teaching. In
terms of affect, teachers mentioned that one of the roles of the mentors was to
promote the construction of an online community. For this construction, for exam-
ple, in a study by Ostashewski et al. (2011), the instructors moderated and initiated
meaningful discussions among the participants.
Mentoring and coaching have been integrated into professional development
programs, as they increase performance in schools and allow teachers to develop
teaching, communication, and leadership skills (Huling and Resta 2001; Rhodes and
Beneicke 2002). Mentors are typically older, more experienced teachers who pro-
vide support and guidance to new teachers (Burns 2020). They do this by observing
their classes, breaking down their lessons, and providing feedback (Hudson 2013).
Giebelhaus and Bowman (2002) highlighted the importance of prior preparation in
mentoring, so that mentors can improve the quality of their training.
Public-Private-Academia Collaborations in Latin America
Public-private sector partnerships (PPPs) are not a recent phenomenon. Over the
years, the private sector has addressed educational needs in several developing
countries, in response to excess market demand (Asian Development Bank 2017).
This association is used as an effective mechanism to increase educational coverage
and quality (Patrinos et al. 2009). It includes infrastructure financing, up to the
supply of educational goods and services (Verger and Moschetti 2017). Public-
private participation can be classified into the following types:
• Education service delivery initiatives: These are associations in which the private
sector oversees the administration of public schools, or in which the private sector
is contracted to provide services such as teacher training, management, or the
design of education curricula (Asian Development Bank 2017; Barrera-Osorio
et al. 2012).
• Infrastructure PPPs: These are initiatives in which the private sector is responsible
for the construction, infrastructure management, or maintenance of laboratories,
workspaces, and more (Asian Development Bank 2017; Barrera-Osorio et al.
2012).
• Demand-side financing programs: These require private organizations to provide
education to a specific group of students through a subsidy, a contract, or a
voucher (Asian Development Bank 2017; Barrera-Osorio et al. 2012).
• Policy, strategy, and support initiatives: These are the initiatives in which the
private sector is involved for the development of national educational curricula
and programs, or in the development of public policies and government
742 N. Ramia et al.
strategies, or provides educational assessment and advisory services (Asian

Development Bank 2017; Barrera-Osorio et al. 2012).
In Latin America, there is extensive research on the impact of PPPs, especially in

the types “demand-side financing programs,” “education service delivery initia-
tives,” and “infrastructure PPPs,” especially from Chile, Brazil, and Colombia.
These alliances have been presented by the World Bank as “cost-effective political
solutions to the access and quality problems currently faced by many education
systems, especially in low- and middle-income countries” (Verger and Moschetti
2017: 6); however, after extensive research has been conducted, the effectiveness of
these initiatives to improve different aspects of the education system is still scarce
and inconclusive (Verger and Moschetti 2017).
On the other hand, there is almost no research on the participation of the private
sector (private universities, nongovernmental organizations, and civil associations)
in policy, strategy, and support initiatives. This does not necessarily mean that the
public and private sector do not work together, maybe it just has not been widely
documented and investigated. In fact, in Latin America there are some programs in
which the Ministry of Education, academia, and NGOs collaborate to improve the
quality of education. In Peru, the program “MIMATE inicial” started in 2018. This is
a mathematics education program designed and implemented by Instituto Apoyo in
coordination with the Peruvian Ministry of Education and with financing from the
Inter-American Development Bank (IDB) that aims to improve math and reading
skills in Peruvian students (SUMMA n.d.-a). In Chile, the program “Cambiando la
Metáfora: Uso del juego crítico” aims to change the stereotyped beliefs about
poverty in public school teachers in the Araucanía region in order to reverse low
expectations about the abilities of students who live in environments of poverty and
rurality, by using Lego®Serious Play ® methodology. This program was designed
and is implemented by an academic team from the Faculty of Pedagogy of the
Pontifical Catholic University of Villarrica, Chile (SUMMA n.d.-b). Another pro-
gram in which both sectors (public and private) have worked together is the PSU
Educarchile. It is an online preuniversity – free – self-directed course. It has multiple
sponsors, such as Fundación Varsavsky, Fundación Andes, IDB, and Ford Founda-
tion, among others. PSU Educarchile targets all members of the educational com-
munity, with a focus on students in conditions of economic vulnerability. The
platform allows students to establish their own study plan, follow their improve-
ments, and find support materials to reverse their weaknesses (SUMMA n.d.-c). In
Ecuador, there is a historical background of PPPs for teacher professional
development.
Teacher Professional Development in Ecuador
Before the 1990s, teacher training in Latin America was considered only as the initial
training of educators (Terigi 2010). It was not until the early 1990s, together with the
educational reforms on teacher training, that several Latin American countries,
including Ecuador, considered training necessary for practicing teachers (Terigi

2010; Villagómez 2012). However, this training mainly focused on compensating
for deficits identified in initial training, and then focused on professional develop-
ment (Terigi 2010). It is possible that these reforms were proposed based on
comparative international measurements (such as the regional project coordinated
by UNESCO-OREALC called Measurement of the Quality of Education in 1989), in
which Ecuador began to participate.
In Ecuador, this reform meant that private book editorials created and delivered
teacher training for both the public and private sectors. These companies “provided
teacher training in relation to the new curriculum and the use of their texts in
educational processes” (Villagómez 2012: 118). By delegating this training to the
private sector, the Ministry of Education (MinEduc) lost its steering role in this area,
which resulted in: a) the absence of clear state policies in continuing education; b)
the courses offered were not research based and did not consider teachers’ training
needs; and c) there was no accountability system to show whether the training
contributed or not to the improvement of quality education (Ministerio de Educación
2015a).
It was not until 2006 that the government recovered its leading role in continuous
teacher training in the country (Fabara 2013; Narváez and Herrera 2019). For the first
time in decades, the improvement of teacher training was positioned as one of the
priority reforms of education (Narváez and Herrera 2019), and in 2008 training
began with government resources (Ministerio de Educación del Ecuador 2015a)
through the Integral System of Educational Professional Development Program
(Sistema Integral de Desarrollo Profesional Educativo – SíProfe).
SíProfe courses responded to the need to improve the results of the evaluations
and to support professionals to move up the teacher qualification scale. In 2008,
courses on these topics were prioritized and in 2010 courses related to curricular
updating and strengthening were incorporated (Ministerio del Ecuador 2015a;
Fabara 2013).
On March 31, 2011, the Organic Law of Intercultural Education (Ley Orgánica de
Educación Intercultural LOEI) came into effect and the regulation of this law on July
26, 2012. In terms of the professional development of teachers, article 112 defines it
as:
(. . .) a permanent and comprehensive process of psycho-pedagogical and educational

science updating. It promotes continuous teacher training through academic incentives
(. . .) The professional development of educators in the public education system leads to
the improvement of their knowledge, skills and competencies, which will allow promotions
within the categories of the teacher qualification scale and/or promotion from one function to
another. (Ministerio de Educación 2015b)
On March 3, 2014, the training program “Soy Maestro, nunca dejo de aprender”
was inaugurated with the objective of strengthening the professional teaching career
and improving the quality of the education system (Ministerio de Educación 2014).
This program promoted two lines of action: a) quotas for master’s degrees and
744 N. Ramia et al.
specializations for public school teachers and b) professional development teaching

courses (Ministerio de Educación 2014; Narváez and Herrera 2019).
This program continued in operation until 2016, when “Me Capacito” was
inaugurated. Me Capacito is a virtual platform where teaching training processes
are carried out through an LMS (learning management system) tool, reaching public
school teachers massively and at a low cost. Through this tool, continuous training
processes have been strengthened, expanding the training offer. Nonetheless, the
majority of the courses have been self-taught or MOOC style. These types of courses
unfortunately cannot train teachers effectively in all areas needed to reach the
professional profile needed because they lack the close follow-up process of a
mentor or tutor and synchronous meetings.
According to the Ministry of Education (n.d.), the current profile of a public
school educator includes the following characteristics: commitment to the develop-
ment of Ecuador through quality education; knowledge of the rights of children and
teenagers and ensure compliance; being able to make curricular adaptations for
students with special educational needs; having mastery of their teaching area;
continuously considering cross-cutting themes such as social justice, inclusion,
and respect for diversity; and finally having the skill to strengthen the ancestral
languages of Ecuador. Additionally, the teacher must have a humanistic training
focused on the student. For the Ministry, it is important that they can develop
holistic, interdisciplinary, participatory, and inclusive pedagogical processes. Also,
the Intercultural Education Law (Ley de Educación Intercultural) established that in
order to enter the public education career teachers must have a third-level education
degree (corresponding to a four-year university degree) (Ministerio de Educación
2015b).
One of the main strategies used by the Ministry of Education in Ecuador to
achieve educational quality is the reevaluation of the teaching career. The process of
“recategorization and promotion” indicated in the law is one of these mechanisms.
For this reason, the Ministry of Education initiated the recategorization process that
allowed teachers to be promoted to a higher category in an accelerated way only
once in their professional life, which allowed them to improve their salary scale
during their career.
The national teacher qualification scale constitutes a categorization system for
teachers belonging to the public teaching career, according to their functions, titles,
professional development, length of service, and results in the evaluation processes,
implemented by the National Institute of Evaluation, which determines their remu-
neration and category promotions (LOEI Art. 11, Ministerio de Educación 2015b).
This categorization includes different levels that teachers need to fulfill to be
promoted from category J to A. In order to advance from one category to another,
a certain number of teaching years, approved training courses, and evaluation
processes are required.
In 2020, the Ministry of Education aimed to elevate the status of the teaching
profession of Ecuadorian teachers to guarantee an education system that is excellent,
inclusive, and equitable by proposing a new plan for professional development
(Ministerio de Educación 2020b). In this new plan it was considered that the social,
political, cultural, economic, and environmental contexts had to be in dialogue with

societal knowledge, technological innovations, and ancestral knowledge.
According to Ecuadorian law, teachers’ professional development is conceived
like an ongoing process that aims to transform the overall professional profile of a
teacher. According to Vélaz and Vaillant (2009), teachers’ professional development
constitutes a primary aspect in a demanding teaching and learning process which
includes: teachers’ knowledge and methods, and the use of teachers’ soft skills in a
professional context. This perspective invites a deep reflection about how the design,
implementation, and assessment of professional development can build up the
teacher’s development process. In order to discuss what was mentioned previously,
Cueva (2020) posed three challenges taken to improve teachers’ training and
professional development in the education field in Ecuador. The first one is rele-
vance, so that the skills training process answers properly to the changes in the
social, political, and economic field, as well as the teachers’ needs; the second one is
the creation of training itineraries that will be articulated directly within the teachers’
profile; and finally, the teachers’ reflection about their learning and development will
be emphasized.
The Ministry of Education deployed significant efforts in order to establish a
National Development Plan that will allow for the system to be more autonomous,
free, and flexible. Regarding this matter, 5 focus areas and 20 action lines were
defined (Ministerio de Educación 2020a). One of the focus areas of this new national
plan refers to the implementation of a reevaluation plan where teachers and admin-
istrative staff will be trained in specific skills according to their particular context.
Constant changes in the social and economic arena have challenged educational
systems when proposing flexible, adaptable, and contextualized training processes.
The Ministry of Education analyzed the importance of teachers’ professional devel-
opment and concluded that training must allow teachers to face the technological
changes that affect the educational system. This training will be contextualized
according to each location and the Ministry of Education will guarantee that teachers
have the required skills and knowledge to be competent in their field.
In this context, a unique professional development model based on active teacher
participation was defined. It includes a continuous self-evaluation, self-reflection,
and contextualization of training needs so every teacher is responsible for their own
training. Therefore, teachers present their own training plan after conducting a self-
assessment of their teaching performance that allows them to identify their specific
professional development needs. Currently, the National Plan of Permanent Training
is being executed, which is part of the National Development Plan. Its objective is to
strengthen the continuous training programs that public teachers receive through a
systematic process of teachers’ reflection that can ultimately improve the country’s
quality of education (Ministerio de Educación 2020a).
This plan prioritizes the development of five competences: the first one refers to
the disciplinary knowledge or the specific knowledge about a certain subject; the
second and third competences are about the pedagogy and didactic method to teach a
discipline; the fourth competence considers the development of knowledge, abilities,
and skills in the digital field as a means for the implementation of cross-curricular
746 N. Ramia et al.
competencies; and the fifth one refers to socioemotional competences that allow
teachers to generate habits to face different situations that can arise in an educational
environment.
Consequently, the plan promotes a process of decision-making based on a
previous diagnosis of the situation of the teacher performance in relationship with
the five competences, as well as the analysis of the results with the learning levels of
the students, in order to assure that the teacher’s development has a big impact in the
achievement of the educational goals (Cueva and Ramírez 2021).
On the other hand, from its dialogue basis and collective construction the plan
requires the Ministry of Education to work closely with teachers. This closeness
allows the implementation of critical training that contextualizes the territorial reality
of teachers and also allows to solve the necessities felt by teachers in relation to their
training in articulation with academia.
The construction and execution of flexible training routes will be implemented,
these will be contextualized and adapted to the needs of each region, which will be
taken by teachers toward the development of the competencies previously described.
The competencies that are identified as in need of strengthening must work in an
interrelated way so that teachers can build a personal training plan, which contributes
to the improvement of their individual life plan, in order to answer to their particular
needs in an integral way.
Finally, this process presents an evaluation component that allows to assess the
evolution and improvement of teachers’ competences, and a future relationship with
the improvement of the students’ learning, as well as the teachers’ perception of the
different programs offered for their training. In addition, it establishes mechanisms
that promote the reflection of the teachers with regard to the execution of their
training plan.
Description of Project: Innovation Laboratory for Professional

Development
A Teacher Professional Development Laboratory project was proposed in Ecuador

with the collaboration of three institutions: a private liberal arts university in Latin
America, a nongovernmental organization, and the Ministry of Education. The
project started in the last quarter of the year 2019 with conversations and preparation
of the project among the three institutions, and the project came to life in its launch in
April of 2020 with a virtual event that evidenced the signing of the agreement and
the will to cooperate among the three institutions.
The COVID pandemic highlighted the need to train and equip teachers with
innovative tools and practices for their work (Parker and Alfaro 2022). To identify
practices and provide knowledge to teachers, the Ministry of Education established
cooperation processes with higher education institutions and other entities so that the
teaching process can be strengthened through virtual platforms and the development
of subjects such as mathematics, STEM education, reading and writing, and others
that complement students’ competencies.
Teacher training laboratories have been proposed to identify those parameters that
contribute to the successful implementation of training processes. In August 2020,
an NGO that works in education innovation and policymaking in Latin America and
the Caribbean presented a proposal to carry out a pilot research to test, in the context
of the pandemic, different models that aim to improve and facilitate delivery of
teacher professional development courses using digital platforms.
To carry out this project, it was necessary to find a local research partner aligned
with the same principles and objectives. They found a local private university that
has the mission of training, researching, and disseminating knowledge. Its main
purpose is to educate the person under the philosophy of the liberal arts, promoting
the development of knowledge and wisdom.
The implementation of a Laboratory of Innovative Models of Teacher Profes-
sional Development was established to investigate critical parameters for the pro-
fessional development of teachers in current times, not only considering the
favorable conditions that allow greater chances of success in the implementation
of online courses, but also on the teacher’s perceived and actual needs.
The tripartite agreement was signed with the purpose to identify an effective
online model for professional development within the Ecuadorian teaching profes-
sion, as well as the parameters that enhance and strengthen the effectiveness of
online professional development courses in this context.
The general objective of this project was to contribute to the strengthening
of teacher professional development in Ecuador through the interinstitutional work
of the Ministry of Education of Ecuador, an NGO, and a local private university. All
of them focused on researching teacher training professional development that is
executed online.
Regarding the specific objectives, this initiative sought to:
• Implement two teacher professional development courses to identify and test

critical parameters for effective teacher professional development including pre-
viously training teacher tutors
• Record and systematize the lessons learned from the implementation of these
training courses so that they can be applied in broader professional development
processes
• Identify innovative practices of tutors in the exercise of their work to replicate
these practices at the national level
• Prepare a working document that facilitates the incorporation of lessons learned
in future professional development
In this project, the innovation sought was to make a variation of the follow-up
component in the online professional development courses. One type of follow-up
test was the mentoring style follow-up and the other was a coaching style follow-up.
First, teacher tutors were trained and then these teacher tutors taught the courses
replicating the follow-up style.
For the design of the courses, the principles of backward design elaborated by
Wiggins and McTighe (2005) were considered. The objectives were the axes on
748 N. Ramia et al.
which the courses were designed; then, the types of evaluation tools proposed were
geared to generate evidence of the fulfillment of said objectives; and finally, signif-
icant learning activities were created that allowed the teachers enrolled in the courses
to achieve the objectives set at the beginning. The courses also had at least one
reflection question added to each module.
The main objective of this laboratory was to demonstrate that adding an accom-
paniment component to the structure of an online professional development program
can enhance its effectiveness and improve its results. This proposal had the follow-
ing specific objectives: (1) integrate an interaction component in the online courses
between participants to improve the teaching and learning processes and (2) com-
paring the effectiveness between an accompaniment model of educational coaching,
providing more focused support on the psychoemotional aspect, and an educational
mentoring model, providing more methodologically focused support.
The collaboration in this project continues but after the first phase of the project
which involved the training of tutors, some lessons were learned that can be shared
to take into account in future similar projects and collaborations.
Lessons Learned
While implementing this project, some lessons were learned around the
interinstitutional collaboration and the implementation of the project (summarized
on Table 1). These lessons were discussed among the different participants in this
collaboration during various meetings and after the first pilot phase was completed.
The first lesson was connectivity. Projects may take for granted that connectivity
is still not a reality in all Latin America. According to Drees-Gross and Zhang
(2021), less than 50% of the population in Latin America and the Caribbean have
Table 1 Lessons learned

Connectivity Access to a stable Internet connection is key for online teacher
professional development
Participatory process Projects need to include the voice of teachers from the start
Baseline evaluation Technical skills need to be evaluated as a starting point for
participation in online professional development
Monitor and feedback Tutors need constant support about their performance to be able to
for tutors implement immediate changes
Up-to-date data Projects need good data about teachers to plan and develop better
professional development
Teacher attitudes It is important to work on negative teacher attitudes to ensure a
project’s success
Learning communities Interaction and support among teachers are necessary ingredients to
establish a positive learning community for professional development
Teacher agency Adaptations made by teachers of the courses they participate in must
be encouraged. No exact replication should be expected
fixed broadband connectivity and only 9.9% have high-quality fiber at home. While
87% of the population live within range of a 4G signal, actual usage and penetration
remains low (37%). And only 4 out of 10 Latin Americans in rural areas have
connectivity options compared to 71% of the population in urban areas. The teachers
that were part of the study had an Internet connection and could be part of the
process. However, there were many instances where they had to turn their cameras
off or disconnect and connect back to the meeting. They reported that their connec-
tivity was not the best. Teachers also mentioned that the platform Microsoft Teams,
which was used for the professional development courses, made their devices and
connection work slower.
Another lesson was the importance of making any initiative or project participa-
tory. When this does not happen, participants may fear to take an active role or may
have negative attitudes (Karimi 2011). In this project in particular, the participation
of teachers was key. By allowing space for their opinions and impressions, the
different stages of the project were shaped and modified. When online professional
development courses are created, these need to be cocreated with teachers (Ngeze &
Iyer 2022). In this way, it is ensured that they are part of the process and that the
design attends to their needs and preferences. At the end of the courses, many
participants mentioned topics they would have liked to learn and suggested them
for future learning opportunities. Nonetheless, when they had the chance to be
mentors of their own group of teachers, they had the opportunity to add new
resources they considered helpful.
Not all teachers use technology efficiently. There needs to be a baseline evalua-
tion of teachers who want to participate in these courses so that the minimum
technical skills are ensured (SUMMA 2021). Novice teachers in online professional
development programs need dedicated technical support for their success in the
courses. These teachers usually have recurrent simple questions that need immediate
attention for them not to be discouraged in the process (Zweig and Stafford 2016).
That is why it is recommended that teachers are not only trained in the use of
different learning and communication platforms, but that they have a designated
person or team that is continuously available to solve their technological concerns.
During the courses, many participants had issues and questions about the daily
functioning of the platform that was used. Mentors created a chat that worked as a
means of communication and to solve inquiries from teachers. Teachers expressed
satisfaction with the availability of mentors to answer questions they had. Never-
theless, some teachers still had serious issues with the platform and failed to upload
their work on time.
Experts who tutor online professional development courses need to be monitored
and given feedback about their performance (Perry and Booth 2021). They have the
most delicate challenge of dealing with teachers and also need support in making
sure their courses and delivery are effective. When the professional development
courses ended, their videos were analyzed to draw data about mentors’ effectiveness.
However, it would have been more valuable to receive immediate feedback after
each session so they could modify their practice and strategies.
750 N. Ramia et al.
It is recommended that a country’s Ministry of Education have up-to-date

teachers’ data so that their professional development efforts are geared toward
the teachers they intend to hire according to their current placements and perfor-
mance (Villegas-Reimers 2003). In this sense, having updated information
enables project managers to filter individuals more accurately and ensures the
participation of teachers that are more likely to benefit from each particular course.
This project found that it was a challenge to get updated information about the
participants of the course, which is why a few teachers who had changed their
locations or positions were included even if they did not meet the initial criteria for
selection.
Attitudes from teachers (negative, defensive, lack of initiative, lack of empower-
ment, and extrinsic motivation) may sometimes act as a barrier to achieve an
effective professional development course (Erogu and Donmus Kaya 2021). It is
very important to work on the attitudes, feelings, and fears of teachers as a starting
point for all courses by including activities such as icebreakers that enable teachers
to share in a relaxed environment. Icebreakers help to develop rapport, collaboration,
and prepare participants before a class begins (Cornell University 2022). In this
project, at the beginning of each course, mentors opened a space for participants to
get to know each other and share their goals, which allowed teachers to feel
comfortable and safe. Some of the mentors included activities focused on the
emotional well-being of the participants; they asked teachers about their feelings
during the process of the course, thus creating a connection and a support system
between peers.
Teachers work best when they are working in learning communities. However,
teachers often say they have little or no contact with peers (Miller 2020). While
formal opportunities to contact with colleagues do not necessarily lead to teacher
collegiality, they could aid in the establishment of learning communities. A study
found that when professional development addresses the power dynamics that
impede teacher community inside schools, strong and genuine collegiality among
teachers can emerge quickly across grades/subjects (Gore and Rosser 2022).
Throughout the professional development courses in this project, most mentors
created genuine opportunities for the participants to share and learn from others.
The teachers from these groups showed more engagement and were continuously
looking for opportunities to help each other.
Professional development courses cannot be approached as recipes or cookie-
cutter curriculums that expect teachers to implement the courses just as they were
taught without any critical thinking and adaptation to their own needs and experience
(Mata 2020). This approach demeans teachers and does not take into account their
previous experiences and knowledge of what is best or most relevant to their context.
There has to be a conceptualization of teacher agency inherent to any project that
involves teacher professional development because it is a useful construct for
enabling a deeper understanding of teaching as a profession and a conceptual tool
with the potential to facilitate the future development of better educational policy
(Priestley et al. 2015).
This chapter examined the aims and characteristics of teacher professional develop-
ment. In particular, the case of Ecuador is detailed. The chapter then characterized
public-private collaborations in Latin America and finally described a concrete
cooperation project in Ecuador that aimed to innovate online teacher professional
development detailing some lessons learned from this collaboration.
Teachers’ knowledge and practice have consistently been linked to professional
development that focuses on curriculum content, engages teachers in active and
collaborative learning, is sustained over time, and aligns with schools’ and teachers’
priorities (Darling-Hammond et al. 2017).
Online professional development programs, which include a coaching or
mentoring follow-up component, have the potential to benefit teachers who feel
isolated in their profession since they provide an opportunity to develop a one-to-one
connection with teachers who are struggling on a daily basis (Hudson 2013).
Policymakers in Latin America could consider the lessons learned after
implementing this initiative in order to replicate collaborations like this within
their particular contexts. Teachers are eager to innovate and grow, and with adequate
learning communities and support systems in place, SDG 4 can be attained in the
long run (International Monetary Fund 2021). The road toward this goal can only be
traveled through collaboration among different stakeholders and citizens.
There is a need to renew teacher profiles in light of all the current events in the
world. The teaching profession needs to be reconsidered in terms of all the skills
necessary to carry it out with excellence (Ben-Peretz 2001). In this case, teacher
profiles must be updated and with those updates, new needs for professional
development must be delineated.
This collaborative initiative overcame some barriers that should be considered as
recommendations for future projects. First, it is imperative that teachers are key
participants throughout their professional development process since the start of
their careers and not at isolated times when programs like this are created. Also,
adequate access to Internet and technology must be assured for online professional
development programs to be able to endure in the long run. In addition, follow-up
methods like coaching and mentoring are still not widely used because of their high
demand for resources and their benefits need to be analyzed. One of the potential
problems of this type of follow-up programs is that teachers fear that their performance
evaluation is going to be compromised. Finally, it is recommended that adequate
financial resources are allocated so similar initiatives are sustainable over time.
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Paradigm Shift in Food Security at
American Universities and Colleges:
Post-COVID-19
Marie Asma Ben-Othmen, Erin Bachmeier, Stephanie Lingenfelter,

and Jerry H. Kavouras
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 758
Defining Food Security and Food Insecurity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 760
Addressing Hunger and Food Insecurity in the United States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 761
The “Beginning” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 761
Contemporary Efforts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 764
The COVID-19 Pandemic Era . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 765
Prevalence of Food Insecurity Among College Students . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 767
Why Are So Many College Students Facing Food Insecurity? . . . . . . . . . . . . . . . . . . . . . . . . . . . . 767
Why Are So Few Students Enrolled in Food Assistance Programs? . . . . . . . . . . . . . . . . . . . . . . . 768
Why Is it Essential to Address Students’ Food Insecurity? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 768
How Did Campuses Respond to Food Insecurity After the COVID-19 Pandemic? . . . . . . . . . . 769
The US Federal Government Safety Net Response . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 769
Response Through Charitable Food Pantries and Food Bank Services . . . . . . . . . . . . . . . . . . . . 770
Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 772
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 773
Abstract
Food insecurity among students has gained increased attention from
policymakers in the United States. The high prevalence of food insecurity rates
among students, with some studies reporting that more than 50% of students are
food insecure, along with the threats this poses to student health, degree comple-
tion, and success, demands a thorough understanding of this issue.
M. A. Ben-Othmen (*)
INTERACT Research Unit–Innovation, Land Management, Agriculture, Agro-Industries,
Knowledge, and Technology, UniLaSalle-France, Mont-Saint-Aignan, France
e-mail: marie-asma.benothmen@unilasalle.fr
E. Bachmeier · S. Lingenfelter · J. H. Kavouras
Department of Biology, Lewis University, Romeoville, IL, USA
e-mail: erinkbachmeier@lewisu.edu; stephaniellingenfe@lewisu.edu; kavourje@lewisu.edu

https://doi.org/10.1007/978-3-031-16017-2_103
758 M. A. Ben-Othmen et al.
The previous decades and the COVID-19 pandemic demonstrated that more
needs to be done in the United States to understand food insecurity issues and
develop practical, effective solutions to attain the sustainable development goal of
achieving zero hunger (SDG 2). The growing population of low-income students,
high college costs, and insufficient financial aid may explain the high rates of
food insecurity to a certain extent, but declining resources provided by higher
education and nutritional assistance programs must also be considered.
This chapter reviews the causes of food insecurity, its consequences, and how
campuses responded to it during the pandemic. It also examines data from peer-
reviewed and gray literature to understand the role of government policy and local
community actions in limiting food insecurity during the pandemic. Finally, it
suggests some tools (at the state and local levels) that could facilitate a more
robust response to food insecurity among university students in the United States.
Keywords
Food pantries · Food banks · Safety net · Student assistance · Not-for-profit ·
Outreach · Pandemic · Food charity · University · Underserved communities
Introduction
The United States is among the world’s largest food exporters (Regmi 2021) and has
one of the most evolved markets and supply chains to make food available to
consumers (Gibbons et al. 2020; Nesheim et al. 2015). It also has an efficient
agricultural system that generates the highest per capita food production globally
(FAO 2020). In this country, hunger and food insecurity manifestations are discon-
certing and even unbelievable. It is not surprising that, for those who do not experience
or face it, the expression “hunger in America” must sound like an oxymoron. Many
authors point to the fact that addressing and raising awareness about these issues is
problematic because of their “hidden” nature (Rose et al. 1990), along with the
absence of ways to quantify them (Wunderlich et al. 2006). Like in many other
countries, hunger and food insecurity in the United States are further intensified by
income distribution. Indeed, inequality has grown among the American population for
more than 30 years since the income difference between the very rich and everybody
else has increased markedly by every major statistical measure (Manduca 2018).
In the history of the United States, food insecurity goes hand in hand with poverty
as an expression of a household’s limited resources. Cook and Frank (2008) refer to
food insecurity as both a “resource-constrained” and “poverty-related” phenomenon
and among many overwhelming challenges that households could face, such as
housing, employment, and safety insecurity. Moreover, households with the lowest
incomes use a higher proportion of their income to buy food than those with average
incomes (Swann 2017) and are usually limited to jobs paying minimum wage, which
has not kept pace with the rising cost of food despite the availability of low-cost
options in most American supermarkets (Breger Bush 2021). Allen (2021) points to
Paradigm Shift in Food Security at American Universities and Colleges:. . . 759
what is perhaps known as one of the most troubling manifestations of food insecurity
and inequality in the United States, as these rates are rising in regions where wages
are too high for individuals or households to qualify for government assistance.
Given these concerns, it is unsurprising that getting adequate meals can be a daily
challenge for some Americans. Hunger and food insecurity in America are not
primarily caused by food shortages but rather by a combination of social and
political forces which makes it challenging to attain the sustainable development
goal of achieving zero hunger (e.g., SDG 2).
The US Department of Agriculture (USDA) has reported annual data and statis-
tics on American household food insecurity since 1995. Based on survey measures
developed by academic researchers, federal agencies, and the private sector, these
estimates help to identify and understand the key demographic profiles of house-
holds facing food insecurity. In general, the data indicate that the most food-insecure
households are those with children, headed by single parents or women and men
living alone, Black or Hispanic households, and households in major metropolitan
cities and rural areas (Coleman-Jensen et al. 2020).
In recent years, the problem of hunger and food insecurity, according to their
commonly accepted definitions, was extended to include students attending US
colleges and universities. Studies reported an increase in the rates of food insecurity
over the last decade among this population, from 20% to more than 50%
(Freudenberg et al. 2019), which is considerably greater than the 12% rate for the
entire US population (Laska et al. 2021).
Interestingly, food-insecure students attending universities and colleges include
an increasing number from low- and moderate-income families, who face high
college costs, insufficient financial support, and a weak labor market for part-time
workers. Decreasing per capita resources provided by colleges, along with Supple-
mental Nutrition Assistance Program (SNAP) policies, contributed to the dismissal
of many college students from participation in SNAP and intensified students’ food
insecurity (Freudenberg et al. 2019).
The COVID-19 pandemic has revealed significant downsides of food access by
the American population in general and colleges and university students in partic-
ular. The rise in national awareness and discussion of this problem demonstrated that
food insecurity has become less invisible to the public and policymakers. The US
government has provided various forms of protection and support, such as improved
policies, aid, and other forms of assistance. Simultaneously, it has continuously
encouraged charitable responses by nongovernment organizations, including food
banks, food rescue groups, food pantries, soup kitchens, and other nongovernment
communal institutions (Riches 2018). Food charities play a significant role in
alleviating food insecurity that should not be neglected; however, studies point to
the inadequacy and inefficiency of limited government measure in addressing food
insecurity. Berg and Gibson (2022) criticized the decreasing government programs
that support food security, while increasing the reliance on charity and not-for-profit
actions, which ultimately does not resolve the issues at hand.
This chapter examines US data from peer-reviewed and gray literature to under-
stand the crucial role that both government policy and local community actions
(e.g., not-for-profit) had in limiting hunger and food insecurity during the pandemic.
It intends to present what we can learn from these outcomes to end hunger in
America among student populations and ultimately attain the sustainable develop-
ment goal of achieving zero hunger.
Defining Food Security and Food Insecurity
The issue of food access is typically considered a problem faced only by low- and
middle-income nations. However, this does not reflect reality because high-income
countries like the United States have many citizens that struggle with food insecurity,
even if this problem presents itself in different aspects of the nation’s unique cultural,
economic, and social context (Allen 2021).
The US government defines food security as the “access by all people at all times
to enough food for an active, healthy life” (Coleman-Jensen et al. 2021). The term
can be used to describe the status of food availability for both individuals and
households in relation to food quantity and quality. This definition is similar to the
globally adopted definition of food security during the World Food Summit in
1996: “When all people, at all times, have physical and economic access to suffi-
cient, safe and nutritious food that meets their dietary needs and food preferences for
an active and healthy life” (FAO et al. 2021).
On the other hand, food insecurity is defined as the lack of consistent access to
adequate nutritious foods (Nord et al. 2005), coupled with reliance on food pantries
and the Supplemental Nutrition Assistance Program (SNAP), previously known as
“food stamps” (Weinfield et al. 2014). As previously emphasized in this chapter’s
introduction, defining and quantifying the problem of food insecurity in the United
States is challenging, in part, because many Americans are reluctant to disclose their
lack of access to food (Allen 2021).
The USDA classifies the severity of food insecurity in US households into two
categories: low food security and very low food security. In the first group, house-
holds face reduced “quality, variety, or desirability of diet,” but food intake is not
significantly affected. In contrast, those classified as very low food security house-
holds face reduced food intake for one or more household members due to insuffi-
cient financial resources for food. Moreover, most low-income, food-insecure
households spend less on food and purchase fewer calories and lower-quality
foods (Coleman-Jensen et al. 2021; David 2017). Food insecurity is, however, not
a ubiquitous problem in the United States. It rather occurs in episodes or periods of
food disruption instead of constant, long-duration insecurity. Different demo-
graphics may be challenged disproportionately, including but not limited to age,
race/ethnic background, employment, and disability status (Park et al. 2020). None-
theless, despite the relevance of socioeconomic conditions and demographics in
understanding and characterizing food-insecure populations, scholars and practi-
tioners point to the relevance of considering food insecurity as a concept that
encapsulates a broader vision, accounting for individual and community resources
and policies that may ensure its prevention (Gibson 2012). Understanding how food
insecurity presents itself as a result of socioeconomic factors and external pressures,

such as the COVID-19 pandemic, is, therefore, key to formulating resource alloca-
tion and policy adoption recommendations.
Addressing Hunger and Food Insecurity in the United States
The “Beginning”
In the twentieth century, food insecurity became a significant social and public health
problem in the United States, which contradicts the image of a nation of abundance
with highly fertile lands far from want. Mainly, the transition from an agrarian to an
industrial society in the 1920s contributed to widespread food insecurity manifesta-
tions: malnutrition and even starvation among specific categories of American
society marked the beginning of establishing public actions to support food security
in the United States (Eisinger 1998).
The Great Depression (1929–1935) saw the rise of food insecurity that prompted
actions from local communities, charities, and the federal government. This period
was, paradoxically, characterized by the destruction of massive agricultural sur-
pluses from American farms because of the lack of markets and the low prices of
agricultural commodities. At the same time, the most devastating stock market crash
in the history of the United States affected other sectors of the economy, including
the industrial and manufacturing sectors. Consequently, unemployment rates
increased to more than 20%, and tens of thousands of Americans lost all their
money and could not get jobs or buy food, and deaths due to food deficiencies
were reported in several cities. In her book The USA: Hunger in the Land of Plenty,
Janet Poppendieck (1997) highlights the flagrant consequences of the Great Depres-
sion that led to the rise of the “American paradox of want amidst plenty.” While
people were starving, dairy farmers in Wisconsin and Vermont dumped their milk in
ditches. This phenomenon is fundamental in understanding modern American farm
policy as associated with the beginning of hunger problems in the United States.
Impoverished farmers in rural areas and the increasing number of urban poor
influenced the “New Deal” established by Franklin D. Roosevelt’s administration,
along with other programs specifically designed to address the hunger crisis. These
include the Federal Emergency Relief Administration (FERA), which was intended to
provide economic aid, and the Federal Surplus Relief Corporation (FSRC), which
aimed to promote the domestic consumption of surplus food. At the same time,
commodity distribution programs started purchasing surplus agricultural commodities
from farmers and allocating them to states and municipalities where food assistance
was needed. Unfortunately, these commodity distribution programs proved inadequate
in resolving food insecurity. The Food Stamp Program was consequently created in
1939 to align the needs of the poor with rising food surpluses by allowing people to
purchase food stamps at face value and receive additional stamps that could enable
them to buy agricultural commodities (e.g., oranges or milk that the government
deemed surplus). In 1942, the program operated in about half of US counties and
served about four million people per month at its peak (Caswell and Yaktine 2013).
This period also marked a significant milestone as agriculture and agricultural policy
were officially tied to food assistance and hunger relief. The Roosevelt administration
assigned the FSRC and its tasks for commodity and food stamp distribution to the
Department of Agriculture (USDA), which, to date, continues administering 15 domes-
tic food assistance programs (i.e., food stamps and commodity distribution programs).
Although World War II saw the effective elimination of agricultural surpluses and
mass unemployment, by 1943, there was still a need for food assistance programs,
and food security was a national security concern. The Food Stamp Program was
replaced by new programs that targeted large-scale food insecurity and addressed
malnutrition experienced in the previous decade during the Great Depression. By
1946 the federal government started providing food assistance to poor children by
establishing school lunch programs in most public schools with the passage of the
National School Lunch Act. Like food stamps, the school lunch program remains
today one of the largest and most influential public food assistance programs.
The Eisenhower administration (1952–1956), characterized by a period of pros-
perity and an economic boom, led to the hunger problem becoming invisible to most
Americans (Lewin 2011). The federal government abandoned food assistance pro-
grams, except for the National School Lunch Program. Besides, the USDA shifted its
focus to supporting agricultural trade and farm policy to such an extent that when a bill
re-establishing the Food Stamp Program was enacted in 1959, the USDA was not
required to implement it and chose not to do so (Kerr 1988). Finally, it is interesting to
mention that even though most federal food assistance programs in the United States
today may have started with the New Deal, they were further expanded and custom-
ized under the administrations of Presidents Kennedy, Johnson, and Nixon (Brien et al.
2004). In what follows, we share a summary of essential milestones in each admin-
istration toward resolving food insecurity in the United States.
• Establishing Pilot Food Stamp Programs Within the Kennedy Presidency

(1961–1963)
In the first televised presidential debate, in 1960 and before 65 million Americans,
John F. Kennedy mentioned the issue of hunger in America in his opening statement.
He spoke about the “hidden hunger” in the upper Midwest and Appalachia, which he
observed as a senator. President Kennedy strongly emphasized that the government
did little to feed the poor and downtrodden. He, therefore, expanded food assistance
by doubling the commodities allocated for food assistance and creating a lead Food
Stamp Program that allowed its beneficiaries to purchase various foods that are no
longer linked to surplus commodities (Nestle and Guttmacher 1992). During
Kennedy’s presidency, food assistance was managed in a broader context of farm
policy with the expectation that food assistance to the poor would lead to increased
consumption and a higher farm income (Berry 1985):
This vast worldwide food shortage is one of the major obstacles to world peace. . .only
America has too much food in a hungry world. (Kennedy proclamation, 1960)
• Strengthening Safety Net for Low-Income Families with Children During the
Johnson Administration (1963–1969)
President Johnson’s project baptized the “Great Society,” which consisted of a set of
domestic legislative programs to support the poor and the oppressed by emphasizing
eliminating hunger and poverty through the Food Stamp Act of 1964 (Daponte and
Bade 2006). This act was integrated into a broader wheat and cotton price support
bill (Waldfogel 2013), leading to food stamps, food assistance, and farming policies
becoming more prominent during the Johnson administration:
We believe we have the knowledge, the compassion, and the resources to banish hunger and
to do away with malnutrition if we only apply those resources and those energies. . .. We
want no American in this country to go hungry. President Johnson (1964)
In 1967, while visiting the Mississippi Delta, Native American reservations of the
upper Midwest, and rural Appalachia, members of the Senate Subcommittee on
Poverty shed light on the severity of the food insecurity problem in rural regions. In
their report published in 1968, “Hunger, USA,” the Citizens’ Board of Inquiry into
Hunger and Malnutrition in the United States identified 280 of what they termed
“hunger counties” (ERIC 1968). Primarily located in rural America, in these counties,
hunger and malnutrition increase every year among populations of Americans, causing
infant deaths, brain damage, retarded growth, vulnerability to diseases, as well as the
resulting violence and frustration. In the same year, a televised CBS documentary
entitled “Hunger in America” reported widespread poverty and malnutrition in the
south and the southwestern United States. The documentary showed images similar to
those of the civil rights movement and helped raise awareness to build public support
for eliminating hunger (Smith 1973). Other programs that target low-income families
were also created during Johnson’s presidency, such as the Summer Food Service
Program and the Child and Adult Care Food Program, in addition to establishing the
Senate Select Committee on Nutrition and Human Needs:
Hunger is a unique issue in contemporary American politics. . . Hunger is unique as a public

issue not only because it is newly recognized but because it employs a special claim on the
conscience of the American people. It is the cutting edge of the problem of poverty. Senator
George McGovern (Eisinger 1998)
• Federal Food Programs Support During Nixon’s Presidency (1969–1974)
In 1969, President Richard Nixon organized the first-ever White House Conference
on Food and Hunger, which resulted in enacting the Food Stamp Reform Act in 1970
and establishing the Food Stamp Program in its current form. In introducing the
conference, President Nixon declared:
So accustomed are most of us to a full and balanced diet that, until recently, we have thought
of hunger and malnutrition as problems only in far less fortunate countries. [But now] there
can be no doubt that hunger and malnutrition exist in America . . .a situation embarrassing
and intolerable, and [where] the honor of American democracy is at issue. (Eisinger 1998)
Nixon’s administration was also marked by establishing a framework for collab-

oration by the national not-for-profit organization – Food Research Action Center
(FRAC) – government bodies, and food advocates. This framework has led to
volunteerism and private charity becoming the most popular optimistic solutions
to poverty. On the other hand, scholars did not consider charity expansion a good
thing. In her book Sweet Charity?: Emergency Food and the End of Entitlement,
Janet Poppendieck (1999) points to the chasm between the intentions of most people
involved and the results of their efforts. She considers that with charity’s resurgence,
the goal of ending poverty has taken a wrong direction with thousands of well-
meaning volunteers on board.
Finally, it is interesting to mention that establishing the Special Supplemental
Nutrition Program for Women, Infants, and Children (WIC) during the Nixon
administration is still one of the most popular food assistance programs in US
history in the fight against food insecurity. It was estimated that for every federal
dollar spent on this program, the federal government avoids between $1.77 and
$3.13 in Medicaid expenses for newborns and their mothers (Leroy et al. 2021).
Contemporary Efforts
Contemporary efforts to tackle hunger and food insecurity in the United States can
be traced back to 1981. The economic decline over this period urged the government
to revert to the Great Depression’s approach of commodity assistance, so the USDA
was again allowed to distribute stocks from farm support commodities stored for
market removal purposes. This was followed by the establishment in 1983 of the
Emergency Food Assistance Act and the Temporary Emergency Food Assistance
Program (TEFAP) during the Reagan presidency. Simultaneously, pioneering studies
on childhood hunger have shown that four million children under 12 were hungry
and ten million more were at risk of starvation (Fitchen 1987). These figures
fundamentally changed how policymakers approached the hunger problem in the
United States. As a first outcome, the School Breakfast Program was created in 1996
to support and expand National School Lunch Program benefits. The US govern-
ment continued to expand food stamp eligibility and increased their benefit level by
fully funding the WIC program, as the 1992 recession caused many Americans to
seek food assistance. It is estimated that by 1995, more than 19 million Americans
benefited from emergency relief and more than 10% of the US population benefited
from the Food Stamp Program (O’Brien et al. 2004).
In 1996, President Clinton’s administration established the Temporary Assistance
to Needy Families (TANF), which heralded an era of revival in the US economy,
marked by the lowest unemployment rate since World War II, and explained the
diminished poverty and the demand for TANF and food stamps in that period. This
reduction of poverty and food insecurity obscures a different reality. Indeed, while
the number of Americans living in poverty declined by three million between 1997
and 2001, people relying on food stamps dropped by more than eight million,
demonstrating that poverty and food insecurity progressed at different speeds. The
US General Accounting Office explains that the need for food assistance had not
decreased; instead, needy people sought other forms of food assistance, particularly
from private charities, such as soup kitchens, pantries, and shelters (Larin 2018). As
a result, the government reauthorized the Food Stamp Programs as part of the Farm
Bill in 2002, while state program administrators and food policy advocates started
crafting food stamp reforms that improved access to these programs for low-income
families.
In 2008, the Food Stamp Program, which benefited many American households
suffering from financial hardships resulting from the recession and the gradual
economic recovery, was renamed the Supplemental Nutrition Assistance Program
(SNAP). It is estimated that Americans’ average monthly participation in SNAP
increased by 76.8%, and one in seven Americans was enrolled between 2007 and
2011 (Senauer 2012).
The COVID-19 Pandemic Era
In March 2020, the COVID-19 pandemic began to spread across the United States,
resulting in an economic recession that ended years of decreasing food insecurity rates
as the nation had just recovered from the hunger crisis caused by the 2008 recession,
with 10.5% of American households reported as food insecure (Coleman-Jensen et al.
2020). This rate reached its lowest point since it was measured in the 1990s. The
COVID-19 pandemic upended these improvements, according to the USDA 2020
Household Food Security, which reported an increase of food-insecure individuals by
8.6% between 2019 and 2020 (approximately 35 to 38 million people).
The Feeding America network, the distribution arm of the USDA, continuously
issues updated analyses showing that the national food insecurity level has increased
since 2020, along with future projections (Otar 2020). It reports that in 2020,
45 million people and 15 million children may have experienced food insecurity.
Furthermore, studies show that food insecurity doubled overall and tripled among
households with children, irrespective of the federal poverty line consideration as
14.8% of families (households) with children were affected by food insecurity in
2020 (Coleman-Jensen et al. 2020). In addition, food insecurity among income-
eligible households with children that did not receive free or reduced-price school
lunches was higher in 2020 than in 2019 (33% in 2020 versus 21% in 2019)
(Coleman-Jensen et al. 2020). Moreover, studies report that the threat of food
insecurity was more significant in large cities and rural areas than in suburban
areas, with substantially high rates of food insecurity reported in states with sub-
stantial reliance on service sector jobs, such as Nevada (Gundersen et al. 2021),
Many of those whom the food insecurity impacted during the pandemic were
considered food insecure or at risk of food insecurity even before the pandemic
onset. However, studies on the pandemic’s impact on these populations show mixed
results. Siddiqi et al. (2021) stated that the pandemic has disproportionately strained
poor households living in food deserts and already enrolled in SNAP. Molitor and
Doerr (2021) studied the levels of very low food security in households with children
in California before and immediately after the economic downturn from the pan-
demic. Their findings point out that food assistance systems and new federal benefits
available after the pandemic may have contributed to reducing very low food
insecurity.
National estimates of food insecurity mask significant heterogeneity across the
United States in terms of the impact of the pandemic. Texans, for example, have
known some of the country’s worst rates of food insecurity, with more than one in
four households (26.8%) experiencing food insecurity at the onset of the pandemic.
The Feeding America report reinforces these observations, stating that the most
significant racial disparities that existed before the pandemic persisted in its after-
math, with 21% of Black individuals (one in five) having experienced food insecu-
rity compared with 11% of White individuals (one in nine). The food insecurity rates
were considerably higher for single parents and Black and Hispanic households than
the national average. Previous studies by Jernigan et al. (2017) reinforce observation
about the preexistent trend in racial disparities in access to food. The authors
analyzed data from 2000 to 2010 and found that 25% of American Indian and
Alaska Native adults remained consistently food insecure and were twice as likely
to be food insecure than white Americans. Besides, Bowen et al. (2021) demon-
strated how racism, already contributing to racial disparities in income and prosper-
ity, could also be a fundamental cause of food insecurity during the pandemic. For
instance, people of color who are more likely to be subjected to racial discrimination
live in states where harsher regulations are applied and rely on social assistance
programs, including food assistance programs. A growing body of literature docu-
ments that the pandemic significantly affected African American, Hispanic, and
Spanish populations (Abrams et al. 2020; Dubowitz et al. 2021). Dubowitz et al.
(2021) conclusions underscore, however, that disparity among ethnic and racial
groups did not worsen because of the pandemic; somewhat, barriers among them
differed.
Overall, the pandemic intensified negative health consequences for already food-
insecure individuals. Nagata et al. (2021) emphasize that these populations may even
have heightened their exposure to COVID-19 while procuring food. Other psycho-
logical distresses that have proven to be associated with food insecurity, including
stress, anxiety, and depression, have been deepened during the pandemic among
already food-insecure individuals (Higashi et al. 2022). The federal government
responded by enacting a mix of legislative acts in 2000, including the Coronavirus
Aid Relief and Economic Security Act, the Family First Coronavirus Response Act,
and waivers to enhance eligibility for food assistance programs such as child
nutrition programs, WIC, and SNAP. In particular, SNAP has benefited 45% of
food-insecure households, whereas reduced-price school lunches and WIC benefits
have helped 37% and 39% of food-insecure households, respectively (Aussenberg
and Billings 2021). Despite these positive outcomes, studies report that existing
safety nets failed to reach those with emerging needs (Dubowitz et al. 2021; Siddiqi
et al. 2021) and called attention to the necessary articulations to operate between
different assistance programs, including unemployment, SNAP, WIC, and Medicaid
during the pandemic (Higashi et al. 2022).
Prevalence of Food Insecurity Among College Students
College students are the new face of food insecurity in the United States. Over the
last decade, studies on food insecurity among college and university students
highlighted rates ranging from 20% to more than 50%. This is considerably higher
than the 12% general population rate in the United States, as reported by the US
Department of Agriculture (USDA) in 2017 (Freudenberg et al. 2019). Several
official government reports indicate that college students do not receive the neces-
sary support and aid to face food insecurity. According to the US Government
Accountability Office (GAO), at the end of 2018, only 2.26 million college students
were enrolled in the Supplemental Nutrition Assistance Program (SNAP), while
7.3 million had household incomes below the level that allows them to be eligible for
this program (Larin 2018). Goldrick-Rab et al. (2019) conducted what is known to
be one of the nation’s most extensive annual assessments of basic needs security
among college students. The survey’s results, including data from more than 86,600
students from over 100 institutions, indicated that while 45% of respondents were
food insecure in the previous 30 days, only 20% received SNAP. This rate is far
below the participation rate for SNAP-eligible individuals in the general US popu-
lation in 2016, estimated at 85%.The study also reports that 56% of respondents
were housing insecure throughout the previous year and 17% were even homeless
during the last year.
Why Are So Many College Students Facing Food Insecurity?
Several trends explain the rise of food insecurity among student populations, mainly
a growing share of undergraduates who come from low-income families (i.e., at or
below the federal poverty line), minorities, and communities of color (El Zein et al.
2019; Phillips et al. 2018). In 2016, 47% of enrolled students were nonwhite, and
39% were living in poverty (from households with income at or below the federal
poverty line), up from 29% and 21%, respectively, 20 years earlier (Hoxby 2019).
Furthermore, in the past, most college students enrolled full-time as soon as they
completed high school and worked part-time during the academic year or not at all
while depending on their families for financial support. This is no more the case.
Since 2016, approximately half of the undergraduate students have been financially
independent of their parents, and most of this emerging student demographic tends
to be women and students of color (Hoxby 2019).
In her book Paying the Price: College Costs, Financial Aid, and the Betrayal of
the American Dream, Goldrick-Rab (2016) studied American low-income students
making their way through the financial maze of college completion as they amass
massive amounts of debt. The author points to the problem that college is too
expensive for many people, “We, as a society, recognize that a person without a
high school degree can hardly survive in the United States, so we do not attach a
price to public high school (. . .). Yet when it comes to College, we charge even the
very poorest among us as much as $15,000 a year.” In addition, while living
expenses, including rent, books, transportation, and food, are rapidly increasing,
financial aid is hardly enough to cover them. According to the National Center for
Education Statistics, in 1980, the annual cost to attend a 4-year college full-time was
$1023 – including tuition and fees adjusted to inflation for 2019–2020. This cost
increased to $28,775 in 2019–2020 (Goldrick-Rab 2021). Federal subsidies for
low-income students and state funding for higher education have decreased dramat-
ically over the last 13 years and did not keep pace with the increasing number of
low-income students (Soegoto et al. 2018), which has resulted in a considerable
reduction in student services and financial support (Goldrick-Rab 2016),
Why Are So Few Students Enrolled in Food Assistance Programs?
For American students, SNAP is the first and most significant line of defense against
food insecurity and hunger. Many existing studies and official reports point to
drawbacks in terms of a lack of adaptation to the changing trends of students’
demographics. Freudenberg et al. (2019) argue that the program’s rules intentionally
acted as a barrier preventing and even deterring students from using it. In 1980,
students attending classes at least half-time were declared ineligible for food stamps
unless they worked 20 h or more per week, which led to 80% of American students
losing their benefits. Today, although the rules allow full-time students to receive
SNAP, they are written in such an unclear way that leads many to presume students
are non-eligible. They tend to restrict rather than enable food-insecure students to
access food (Fleischhacker et al. 2019; Laska et al. 2021). Consequently, many
eligible students do not receive any food assistance. In sum, as Freudenberg et al.
(2019) put it, the increase in low-income students’ enrollment in universities and
colleges is both a significant policy success and a problem. The federal policy that
followed has, however, failed to address two major issues: an increase in university
costs and a drop in financial assistance provided to students.
Why Is it Essential to Address Students’ Food Insecurity?
The rising concerns about students’ food insecurity are occurring in a context of
politics where access to all sorts of benefits is tightening. Many observers point to the
accentuated skepticism about aiding the impoverished, recent immigrants, and
people of color by discouraging investments that buffer the adverse consequences
of growing income inequality (Chambers and O’Reilly 2022; Tan et al. 2021). In
particular, the Trump administration mainly used the American Social Safety Net to
deter aid seekers, ensuring that unworthy “takers” do not take unearned crumbs from
the mighty “makers” (Maia Szalavitz 2018). Despite this political hostility against
SNAP, public health evidence and peer-reviewed literature are already pointing to
the adverse effects of food insecurity on students’ ability to persist toward graduation
(Broton and Goldrick-Rab 2016). Maroto et al. (2015) study on the relationship
between the prevalence of food insecurity and grade point average highlights that
those food-insecure students were likelier to report a lower GPA (2.0–2.49) versus a
higher GPA (3.5–4.0). Luke Wood et al. (2017) found that food-insecure students
were likely to lose interest in their studies because of their lack of self-confidence in
their academic potential. Besides, Farahbakhsh et al. (2017) have shown that food-
insecure students who receive emergency food aid from university-based food banks
have compromised health, dietary intake, and academic quality. Similarly, food
insecurity among freshman students living in dormitories was found to be associated
with higher odds of mental health problems, unhealthy eating, and alcohol use
behaviors (Bruening et al. 2017). These are major findings that shed light on the
harmful impact that food insecurity can have on students’ emotional well-being and
academic performance that support other research outcomes underscoring a synergic
effect of food security on both health and educational attainment (Oreopoulos 2021).
How Did Campuses Respond to Food Insecurity After the

COVID-19 Pandemic?
In 2019–2020, there were 3982 postsecondary institutions reported by the National

Center for Education Statistics. The pandemic closed campuses, and many support
services critical to students’ success were no longer available. In addition, many
students became unemployed, which exacerbated the situation and made it difficult
for them to meet their basic needs, including getting food for themselves. Women,
low-income students, and racial minorities experienced greater food insecurity, with
changes in living arrangements, being furloughed, and losing part-time work being
the strongest predictors of food insecurity (Owens et al. 2020). High inflation rates
also contributed to the problem. Data published by the Hope Center during the
pandemic categorized 42% and 33% of students at 2-year and 4-year institutions,
respectively, as food insecure, with levels that vary significantly among institutions.
The US Federal Government Safety Net Response
Both the US Department of Agriculture (USDA) and the Health and Human Services
(HHS) responded to this crisis by making significant adaptations to the federal
nutrition safety net to help ensure that students gain access to healthy and safe
food during this national emergency (Fleischhacker et al. 2019). In December 2020,
SNAP eligibility was temporarily extended to college students for federal or state
work programs or with zero expected family contribution until the pandemic is no
longer a public health emergency (Laska et al. 2021). Consequently, six million
college students were eligible for this program. However, as previously stated,
enrollment among college students was already low, explaining why this measure
did not have the anticipated impact. In 2021, both the US House of Representatives
and the US Senate proposed bills H.R.1919 (EATS Act of 2021) and S.1569
(Student Food Security Act of 2021), respectively. New approaches to address
food insecurity among college students include a grant program for colleges and
universities to improve support structures, collecting more data on food and housing
security, and a pilot study on using SNAP in campus dining locations. Unfortunately,
although both bills move the needle forward, neither has been presented for a vote to
date nor solved college campuses’ food insecurity problem.
Although remaining underfunded and underutilized, the US federal food safety
net programs were subject to a transformation toward more inclusive measures for
college students needing assistance during the pandemic. Several barriers persist,
hindering food assistance. Studies emphasize students’ lack of knowledge about
how to apply for these programs, along with the inconsistency of university prac-
tices. Mainly, Esaryk et al. (2022) emphasize the persistent conflict between nuances
of student SNAP eligibility and the limited campus programs, county agencies, or
other community programs to assist students through the application process.
According to the authors, improving the student application process relies on making
it more transparent, easier to understand, and faster to process (Esaryk et al. 2022).
This depends on future research on county-level SNAP processes to identify lever-
age points to improve students’ SNAP enrollment.
Response Through Charitable Food Pantries and Food Bank Services
As previously stated, food security is essential to student success; therefore, many

institutions of higher learning began opening food pantries to address the failure to
meet students’ basic needs and the preexisting lack of federal support before the
pandemic. Interestingly, the growing number of US universities and colleges’ food
pantries began before the pandemic’s onset. Their number increased from 1 food
pantry in 2007 to 450 campus food pantries in early 2017, and more than 800 cam-
puses have signed on as members of the College and University Food Bank Alliance
(CUFBA) since 2012. Today, the number of campus-based pantries throughout the
United States is unknown. However, what is known is that they have become more
prevalent in the last few years in response to the growing recognition of students’
food insecurity. Clearly, food pantries can significantly support students’ food
security and success in higher education. However, it is evident that the percentage
of institutions addressing food insecurity with food pantries is low. As previously
stated, SNAP alone cannot address all the needs of food-insecure students as it is a
multifactorial-driven issue, and many eligible students are not enrolled in the
program (Freudenberg et al. 2019). So, what impact could a food pantry have on a
campus community, and what resources could it deploy to address food insecurity?
To provide answers, the authors asked this question to the food pantry manager of
Aurora University (Libby’s Place) and the CEO of the Gleaners Food Bank of
Indiana, respectively. Both respondents emphasized the vital role of food pantries
at universities located more than a mile away from a grocery store and how
challenging the pandemic was to many students living on campuses. They
commented on the significant role these structures play. Beyond delivering food to
those who need it, food pantries build enduring relationships and support out-of-state
and international students who do not get a chance to go home regularly:
You know it is not just, here’s your groceries, thanks for coming. It is a chance to connect and
build a relationship with them. Aurora University’s food pantry manager
Respondents also outlined that the pandemic resulted in what they termed “new
nontraditional” students with the greatest need. Those are students with families
and/or single parents who need to get groceries for themselves and their families. In
particular, Gleaner’s CEO stated that during the first year of the pandemic, over 40%
of the people in the food line were new to it:
We saw a lot of new faces, new families, and they had to learn their way. Aurora University’s
food pantry manager
Many acknowledge the role of campus food pantries and food banks as a space
for healthy food initiatives (Liu et al. 2021; Simmet et al. 2017). This point of view
was reinforced by both respondents, who support the role of food banks and pantries
in combining food insecurity relief with healthy eating for populations of students.
Initiatives included providing healthy eating options (fruits, vegetables, lean pro-
teins, low-fat dairy products, almond milk, etc.), modifying the food environment by
providing nutrition and health education by nutrition professionals, and organizing
cooking workshops:
We do try to be mindful of fresh vegetables or fresh fruits and healthier options. Aurora
University’s food pantry manager
Gleaner’s CEO reinforces these observations by outlining the attention paid to the
food they sourced by establishing a nutrition policy guiding all their food sourcing.
They also worked with organizations like the Immigrant Welcome Center to help
find culturally appropriate nutritious variety of food:
Food banks moved from the passive model of food banking in which they wait to see what
cans and boxes people choose to donate to food drives, they started funding drives. . .the
donated money increased, so we can buy in bulk, improve the nutritional quality and variety,
do meal planning recipes and even hire dietitians to help guide that. Gleaners Food Bank
CEO
Unfortunately, food pantries are not the sole solution to food insecurity among
student populations and are not necessarily effective in resolving the problem.
Pantries can be inconvenient to students in need, are typically run by student
organizations instead of professional staff, and depend on the local community for
supplies. Gleaners’ CEO emphasized this point by stating that “pre-pandemic
Gleaners counted on volunteers for 40% of the work, but then pandemic restrictions
meant we could not bring in more volunteers. So just our work had gone up 137%,
we lost 40% of the workforce, and it is still not entirely stable now.”
Food banks that are primarily not-for-profit try to run as a mix of a food supply
chain company and a compassionate not-for-profit; they are, however, resource-
constrained, like any other not-for-profit organization:
You have to have an amazingly talented team that gets more work done with fewer resources,
and that makes an amazing commitment to the mission of serving others. . ..but some mix
from volunteers and paid employees would have been beneficial. Gleaners Food Bank CEO
Concluding Remarks
The US government must continue the anti-hunger and food insecurity legislative
momentum enacted in response to the pandemic. History proved that, although
successive economic enhancements and safety net development succeeded in
achieving their significant roles in ending starvation in America, there is an unques-
tionable need for a paradigm shift in food security at American universities and
colleges post-COVID-19 contexts. This chapter is an attempt to demonstrate how
complex this shift could be as it will require new forms of policy support (e.g.,
resolutions, guidelines, rules) and system changes (e.g., involved organizations and
resource allocation) to address food insecurity among student populations at the state
and local levels (e.g., counties and campuses) and ultimately achieve the sustainable
development goal 2: zero hunger. However, our approach has limitations, as we
consider the answers of two not-for-profits, although they were significantly
involved in facing and responding to food insecurity among populations of students
during the pandemic. Future research using holistic stakeholders’ development
(county, federal, and state organizations) as a theoretical framework would help
expand the literature on college food insecurity.
Through food pantries and banks, civil society is instrumental in addressing food
insecurity, but so are the laws that the government passes. It is worth noting that
some states considered the Hunger-Free Campus Bill, which promotes students
donating their meals so that food-insecure students can access them, supports
establishing campus food pantries, and increases enrollment by college students in
SNAP. The bill is also supported by the not-for-profit organization Swipe Out
Hunger, founded in 2010 to address food insecurity on college campuses. Their
work has spread to over 400 college campuses in all 50 states. Hence legislative and
not-for-profit efforts have the potential to reduce food insecurity on campuses and
increase awareness at a local level but do not solve the problem. States have to
allocate resources for training county and campus employees to clarify students’
eligibility to SNAP and allocate financial resources for campuses to hire new
employees or support existing assistance services and SNAP outreach.
At the campus level, it is crucial to continue investing in outreach to ensure that
all students facing food insecurity receive the required assistance from food banks,
pantries, and other on-campus offices. Assistance pathways ensure students follow
through with the processes and obtain the necessary assistance. Finally, there is a
pressing need to consolidate and coordinate student support services to reduce
misperceptions about SNAP and enrollment time. To this end, support for new
partnerships among university departments, aid and financial departments, food
banks, the Feeding America network, the College and University Food Bank
Alliance, and county agencies, to name a few, is paramount.
Acknowledgments The authors would like to thank Mr. Mark Woolfington, Aurora University
(Illinois) Chaplain, and Mr. John Elliot Gleaners, Foodbank of Indiana CEO, for their insights and
contribution to this chapter.
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11578
Environmental Perception of Household
Waste Management: Atibaia, São Paulo,
Brazil
M. C. L. C. Novaes and J. L. M. Hoefel
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 778
Sustainable Development Goal 12 (SDG 12) and Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 779
Solid Waste and Composting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 782
Atibaia Municipality and SDG 12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 782
Solid Waste Policies and Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 783
Policies and Practices Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 784
Waste Recycle and Composting: Knowledge and Perception . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 785
Waste Recycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 786
Waste Composting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 787
What the Population Knows and Perceives About Solid Waste Policies and
Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 787
Waste Management Program Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 788
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 792
Abstract
In many places, the advances of urbanization, population concentration, and
increased consumption have intensified the generation of urban solid waste and
caused significant environmental problems. Faced with such challenges, the
United Nations created the Sustainable Development Goals, and among them is
SDG 12, whose goals are consumption and sustainable production. Thus, it is
necessary to reduce waste, recycle, and reuse. In Brazil, the National Solid Waste
Policy addresses the objectives and guidelines relating to an integrated manage-
ment of solid waste throughout the national territory. But in addition to the
M. C. L. C. Novaes (*)
Center for Sustainability and Cultural Studies (NESC/CEPE/UNIFAAT), Atibaia, São Paulo, Brazil
J. L. M. Hoefel
UNIFAAT - University Center, Atibaia, São Paulo, Brazil

https://doi.org/10.1007/978-3-031-16017-2_67
778 M. C. L. C. Novaes and J. L. M. Hoefel
instrumental framework, it is essential to highlight the positive management

experiences in several Brazilian municipalities, such as Atibaia (São Paulo
State, Brazil), that established a municipal policy of solid waste. However, for
the policy to be effective, society must understand this issue and get involved to
guarantee a better quality of life. The population’s awareness is crucial for the
success of environmental public policies, allowing the participation and action
between society and the executive power to contribute to the implementation of
public policies in the municipality. Environmental perception has been adopted as
a diagnostic tool in social and environmental contexts, where each individual can
present a particular vision and interpretation of the environment in which they are
inserted, considering their previous experiences, expectations, and anxieties.
Given the above, the knowledge and perception of the Atibaia population regard-
ing their household recycling practices and composting of organic waste were
investigated. The approach used to achieve the purposes, from a quantitative
perspective, was the application of electronic forms that were answered by the
local population. The results indicate and reflect the habits and practices of the
population regarding the disposal of household waste, as well as pointing out that
it is necessary to broaden society’s engagement.
Keywords
Consumption · Environmental perception · Public policies · Environmental
knowledge · Sustainable production · Waste management
Introduction
In many places, the advances of urbanization, population concentration, and

increased consumption have intensified the generation of urban solid waste and
caused significant environmental problems. Environmental protection may ensure
sustainable development throughout the world. Accordingly, persuading individuals,
groups, communities, collectives, and companies to adopt environmentally respon-
sible behavior has become one of society’s main priorities, and this is reflected in
support for actions at a micro level (e.g., buying energy-efficient appliances) and
proposals incorporated into major international political agreements (e.g., the
signing of the Kyoto Protocol) (Tabernero et al. 2015).
Faced with such challenges, the United Nations created the Sustainable Devel-
opment Goals, and among them is SDG 12, whose goals are consumption and
sustainable production. Thus, it is necessary to reduce waste, recycle, and reuse.
Furthermore, society needs to understand the fundamental role it plays in this waste
management process. The awareness of the population is crucial for the success of
environmental public policies, allowing the participation and action between society
and the executive power to contribute to the effectiveness of public policies in
municipalities (United Nations 2015).
In Brazil, since 2010, the National Solid Waste Policy (Brasil 2010a) addresses
the objectives and guidelines relating to an integrated solid waste management
Environmental Perception of Household Waste Management: Atibaia, . . . 779
throughout the national territory. It proposes the practice of sustainable consumption

habits and instruments to promote increased reuse and recycling of solid waste, as
well as the environmentally appropriate disposal of waste. But in addition to the
instrumental framework, it is essential to highlight the positive management expe-
riences in several Brazilian municipalities, such as Atibaia (São Paulo State, Brazil),
that established a municipal policy of solid waste. However, for the policy to be
effective, society must understand this issue and get involved to guarantee a better
quality of life, and the population’s involvement is essential for the implementation
of socio-environmental policies.
Environmental perception has been adopted as a diagnostic tool in social and
environmental contexts, where each individual can present a particular vision and
interpretation of the environment in which they are inserted, considering their
previous experiences, expectations, and anxieties (Whyte 1977; Tuan 1990; Marin
2008; Vernalha et al. 2019).
Sustainable Development Goal 12 (SDG 12) and Sustainability
Sustainable and responsible production and consumption, as mentioned by Sala and

Castellani (2019) , are fundamental for sustainable development and presented as
one of the sustainable development goals (SDG 12). The authors (Sala and
Castellani 2019) also highlight that the analysis of environmental impacts caused
by production and consumption of goods and services involves necessary actions in
order to achieve the sustainable development goals (SDGs) (United Nations 2015)
related to SDG 12 and also ensure the achievement of the other SDGs.
To Chan et al. (2018: 8):
SDG 12 calls for responsible consumption and production. It aims at decoupling economic
growth from environmental damage and natural resource exploitation, from unsustainable
resource use and emissions and improving the management of hazardous substances and
waste.
In this perspective, one should also consider, according to Torres et al. (2019),
that SDG 12 focuses on the preservation of sustainable production and consumption
patterns as well as the awareness of people and companies regarding sustainable
practices.
Torres et al. (2019: 261) highlight that SDG 12 is composed of eight goals, which
are:
(1) implementation of a Ten Year Plan of Programs on Sustainable Production and

Consumption;
(2) by 2030 achieve sustainable management and efficient use of natural resources;
(3) halving the world’s per capita food waste - both in retail and consumption;
(4) reduce the release of chemical products and know how to handle them in a healthy
way for the environment;
(5) reduce waste generation through prevention, reduction, recycling, and reuse;
(6) encourage companies to adopt sustainable practices;

(7) promote sustainable public procurement practices; (viii) ensure that people around
the world have access to relevant information and awareness for sustainable development;
(8.a) support developing countries to strengthen their scientific and technological
capacities;
(8.b) develop and implement tools to monitor development impacts on tourism and.
(8.c) rationalize inefficient subsidies to fossil fuels.
Thus, in the author’s perspective (Torres et al. 2019), the SDGs play a funda-
mental role in relation to companies, by redefining their concepts to achieve such
objectives, and in their view, new business opportunities are also generated. How-
ever, in order to meet the challenges imposed by the SDGs, an understanding of all
the consequences that they can cause in their productive sector will be necessary, as
well as to determine which indicators are suitable for the balances of companies in
different areas.
Bengtsson et al.’s (2018) analysis shows that diverse elements of sustainable
consumption and production (SCP) are part of several SDGs, reflecting the cross-
cutting nature of SCP as an objective and a policy approach. The authors also
mention (Bengtsson et al. 2018) that implementing SDG 12 can help achieve diverse
connected goals, and they highlight that one of the great values of the 2030 Agenda
is that it creates forums for dialogue on what kind of development is desirable and
how society can make this happen. In Glavič’s (2021) perspective, SDG 12 can also
help SCP in order to achieve an environmentally sound, socially acceptable, and
economically viable development.
Sustainable consumption and production, as highlighted by Palhares et al. (2018),
mean decoupling economic growth from environmental degradation, increasing the
efficient use of natural resources, and promoting sustainable lifestyles. However, there
is no way to have sustainable consumption and production without information; thus,
it is essential to inform and train people for what needs to be handled and managed.
The authors Palhares et al. (2018) also point out that unsustainable patterns of
production and consumption, in addition to intensifying the exploitation of natural
resources for the production of goods used by society, are compromising humanity,
since, in rural areas, this process results in forest impacts and depletion of soils and
water resources. Garbage dumps are part of Brazilian urban landscapes, where more
than 60% of the daily production of waste is deposited. The rural area, in turn, is a
great generator of waste, both organic and inorganic, which can be recycled or
reused. Likewise, organic urban waste, which represents more than 50% of waste
generated in cities or even inorganic waste, has a great potential for application.
Thus, reducing waste generation is part of the guidelines referring to changes in
consumption patterns and among them the activity of reducing waste generation to a
minimum.
Jacob-John et al. (2021:3) mention that:
SDG 12 is about doing more and better with less, and from a food management context
pertains to minimizing food loss and food waste, . . .., thereby ensuring greater availability of
food, which, in turn, respects natural ecosystems.
This suggests, in the author’s perspective (Jacob-John et al. 2021), an interrela-

tionship between SDG 2 and SDG 12 as responsible production systems can
improve food security. However, Jacob-John et al. (2021: 3) highlight that:
Although supply chain inefficiencies contributing to food waste are more pronounced in the
developing world, it can also impact residents in the developed world, wherein the con-
sumption stage is the key contributor to food waste. Residents in high income developed
countries are more prone to wasting food. For example, non-sustainable consumption
patterns can result in a decrease in the availability of healthier food options in developed
nations, thereby negating efforts to achieve the SDGs associated with better health. This
suggests that strategies aimed at more sustainable production and consumption systems
(addressed in SDG 12) can potentially improve the availability of food and healthier
alternatives, thereby implying synergies between SDG 12, SDG 2, and SDG 3, as the
progress in one goal (SDG 12) favours progress in others (SDG 2 and 3).
Another aspect to consider, as mentioned by Arman and Mark-Herbert (2021), is

related with responsible consumption practice that is essential to minimizing waste
as part of sustainable development, SDG 12, and a circular economy. To Arman and
Mark-Herbert (2021: 5), the concept of circular economy is recognized in diverse
disciplines that focus on waste minimization, life-cycle extension, and the reduction
of materials used in the production process. However, the authors (Arman and Mark-
Herbert 2021: 14) mention that one should also consider re-commerce practice that
accelerates the responsible consumption pattern of people and the implementation of
SDG 12 by raising awareness of using second-hand products and changing the social
taboo towards the usage of second-hand products by actively promoting the positive
contributions of re-commerce practice of circular economy philosophy.
Re-commerce practices have been around for a long time in exchanging and
reselling used products (e.g., electronic devices, clothes, furniture, books) in phys-
ical (e.g., in street markets or in a shopping mall) and virtual marketplaces (Arman
and Mark-Herbert 2021: 6). So, a complete definition of re-commerce states that
re-commerce or reverse commerce is the selling of previously owned, new, or used
products through physical or online distribution channels to buyers who repair, if
necessary, and then reuse, recycle, or resell them.
In Valverde and Avilés-Palacios’ (2021: 10) view:
By improving the way in which we produce and consume (SDG 12.1), the circular economy
represents the opposite of current consumption patterns and has a fundamental role to play.
Circular economy not only inspires new economic systems, but it also encourages a deeper
understanding among consumers of the circumstances surrounding products and mediates
processes transforming their consumer behavior and supports more sustainable models
(Valverde and Avilés-Palacios 2021).
In this perspective, circular economy is tightly connected to sustainable develop-

ment and to UN’s sustainable development goals and especially to SDG 12: respon-
sible consumption and production (Ranta and Saari 2020).
It is also relevant to consider, as mentioned by Führ and Schenten (2020: 700),
supply chain management (SCM) that can be defined as a management approach that
encompasses coordination of all flows of raw materials, components, and semi-

finished and finished products as well as information along all actors of the value
chain, from raw material suppliers to end customers.
To Führ and Schenten (2020: 700):
SCM in the context of SDG 12, aims at sustainable production and consumption, through the
use of services and related products, which respond to basic needs and bring a better quality
of life while minimizing the use of natural resources and toxic materials as well as the
emissions of waste and pollutants over the life cycle of the service or product so as not to
jeopardize the needs of further generations. SCM thus offers one powerful transformative
approach toward SDG 12, which is at the same time a crucial facilitator for a set of other
related SDG’s.
In this perspective, Fritz (2020: 805) mentions sustainable supply chain manage-
ment (SSCM) that is the management of supply chains (SC) that integrates the
sustainability objectives and requirements defined by the firm, suppliers, customers,
and external stakeholders (e.g., consumers, policymakers, associations). These sus-
tainability objectives include economic, social, environmental, and ethical targets
that all members of the supply chain must reach in order to make the supply chain
sustainable and so SSCM can contribute to the SDG’s objectives.
Solid Waste and Composting
Atibaia Municipality and SDG 12
In this work, the sample comprised the population resident in Atibaia/SP. Atibaia is a
municipality in the state of São Paulo, Brazil, with HDI of 0.765 and estimated
population of 145.378 inhabitants (Brasil 2021). Atibaia has an estimated territorial
area of 478,517 km2 (SEADE 2021). The collection, treatment, transshipment, and
final destination of the solid waste management system have been carried out by a
company of Town Hall Municipality named Atibaia Environmental Sanitation
(SAAE – Saneamento Ambiental de Atibaia) since 1969. Atibaia established the
Municipal Solid Waste Policy (Atibaia Complementary Law n. 024 of September
11, 2006), which proposes that each citizen is responsible for packaging recyclable
waste. Recyclable waste is packed in plastic bags of varying volumes (10, 15, 20, 50,
or 100 liters) by the citizens and temporarily placed in garbage bins at home or in
containers provided by SAAE for areas of difficult access (Atibaia 2015). The other
household waste, organic waste, or rejects are collected by an outsourced company,
in compactor trucks, which are sent to the Atibaia Sorting and Transshipment Center,
so that the non-recyclable waste is transported to the final disposal units (licensed
sanitary landfills), located in the cities of Guarulhos/SP (65 km away from Atibaia)
and Paulínia (86 km away) (Atibaia 2015). Recyclable waste is collected on different
days from organic waste, and after being removed from households, the various
material materials are sent to a recycling cooperative where they are sorted, sepa-
rated, and sold. The tailings, which make up the organic fraction and other urban
household solid waste, are collected and sent to a sanitary landfill located in the
municipalities of Guarulhos, São Paulo State, Brazil, and Paulínia, São Paulo State,
Brazil. The sorting of recyclable solid waste is carried out by a cooperative (São José
Cooperative) in the municipality with approximately 114 members, in which they
remove approximately 9.8 tons of recyclable waste per day (Atibaia 2015). The
maintenance of the structure and equipment used by the cooperative is carried out by
the Atibaia Environmental Sanitation Company (SAAE – Saneamento Ambiental de
Atibaia) which is responsible for the public services of potable water, sanitary
sewage, and the management of collection, treatment, transshipment, and final
disposal of garbage systems.
In 2020, Atibaia achieved, for the eighth consecutive year, the Municipality
VerdeAzul Seal (Green/Blue Seal), a certification granted by the State of São
Paulo Government through the Environment State Department to municipalities
located in São Paulo State, which develop actions and projects in the environmental
area, including good practices in solid waste management (São Paulo 2022) (Fig. 1).
Solid Waste Policies and Practices
A web-based questionnaire consisting of 20 questions was designed in order to

collect data and analyze how the participants were involved with solid waste policies
and practices. The questionnaire was built in three modules, to analyze the profile of
the participants and their perceptions and knowledge about the process of separation,
collection, and destination of recyclable solid waste and composting. All participants
gave their consent before participating in the study. To obtain the data, individual
interviews were conducted through an electronic questionnaire using a semi-
structured questionnaire, staggered in the Likert method. The online platform was
used for easy access and broad participation. The use of the electronic questionnaire
was a format chosen due to the impositions of social isolation imposed by the Covid-
19 pandemic. To Likert scales, the participants were divided into categories
according to their opinions (i.e., 1 ¼ strongly agree, 2 ¼ agree, 3 ¼ I do not
know, 4 ¼ disagree, and 5 ¼ strongly disagree). For the knowledge questions,
there was only one correct alternative. Respondents volunteered to participate
anonymously, without their identity being recorded. No personal or sensitive infor-
mation was requested in the form, such as name, email, telephone number, and
income of the participant, guaranteeing their anonymity. Only the responses of
participants who have lived in the municipality for more than 2 years and those
who are over 18 years of age were considered. The questionnaire was open during
the months of June to December 2021. The questionnaire was widely disseminated
through a link to the electronic form delivered individually by text messages on the
instant messengers, requesting the participant not to declare his/her participation to
anyone, including the researcher. The questionnaire was also widely publicized
through newspaper releases and various social media groups. Each participant had
the free choice to access the link and answer the questionnaire or not. All subjects
provided their informed consent to participate in the study. In order to minimize the
Fig. 1 Atibaia Municipality location in São Paulo State, Brazil. Source: the authors, 2022
risks characteristic of virtual environments, after the end of information collection,

the collected data and records were downloaded to a local electronic device, erasing
any and all records from any virtual platform, shared environment, or cloud (Brasil
2018, 2020).
Policies and Practices Perspectives
The participants were scored according to the answers given for each alternative.
For example, if the participant strongly agreed with it, his/her score was ten. On
the contrary, if the participant strongly disagreed with an adequate affirmative,
he/she was scored a zero. To calculate the scores by response category for each
question, the Likert scale value (0–10) was divided by the number of respondents.
The final score obtained for this question was calculated as follows (Ghilardi-
Lopes et al. 2015):
Sum of all scores in each affirmative=Total number of participants ðN¼ 228Þ:
To determine the knowledge questions, scores of ten were assigned for the correct
answers and zero for the wrong ones. Only in the question related to knowledge
regarding the final disposal of waste that there was a score of 2.5 when the answer
was half right, such as “open-air dumps and recycling cooperative,” as there is a gap
in knowledge about the difference between the dump and the transshipment area,
where the residues are temporarily disposed of until they are sent to sanitary landfills,
which are located in neighboring municipalities. To analyze the data generated for
the knowledge questions, the number of respondents was divided by the grade,
transforming it into the score number. The final score obtained for each question was
added and then divided by the total number of participants. At the end of the process,
the scores of each question (perception and knowledge) were tabulated by compar-
ing the measures of central tendency (means) and standard deviation in Excel
spreadsheets, and later each category was compared with the one-way ANOVA
test (Zar 2019). Statistical analyses were performed using the R program
(R DEVELOPMENT CORE TEAM, 2019) and RStudio v.1.2.1335, using the
“car” and “dplyr” packages, considering a statistical significance level of 5% (α ¼
0, 05).
Waste Recycle and Composting: Knowledge and Perception
Among the 223 respondents offering effective data, 65.5% and 33.6% were female
and male. Most respondents were between the ages of 31 and 50, with a percentage
of 62.3%. Their school formations were diversified, with more undergraduates
(76.7%). Over 87.4% of them lived in urban areas. Of the respondents, 83% assumed
they had lived in Atibaia/SP for more than 5 years. Regarding the place of residence,
78.5% live in houses, 13.5% in farms, and 8.1% in apartments. Of the total number
of respondents, 97.8% consider it important to separate waste at home, and 90.6%
say they are really concerned about the matter. For the case of waste composting, the
vast majority stated that they know about it (96.8%), and 61.4% assumed that they
do not compost organic waste at home, while 36.3% do.
Participants opined that they would like to receive more information about
selective collection and composting via text messages in instant messaging applica-
tions (135.9%), while 48% would like a website to be created with the correct
instructions, 39% request greater disclosure on billboards throughout the city, and
36.8% believe that information such as the day and time of selective collection
should be specified on the electricity and water bill, and 28.3% would like the
communication to be publicized in television advertisements.
Waste Recycle
Of the respondents, 67.3% perform the separation of recyclable waste at home, while
14.3% do not perform the separation frequently. However, 5.4% assumed not to
separate recyclable waste.
The knowledge of waste separation shows how to separate and properly dispose
of the recyclable waste in Atibaia City. Of the total respondents, 57.8% claim to
separate organic and recyclable waste in different bags, and make them available on
the corresponding days, according to the collection of material (organic or recycla-
ble), while 13.9% deliver recyclable waste to autonomous collectors. But 12.2% do
not carry out selective collection.
Respondents stated several reasons for their lack of participation in separation and
recycling programs. The answers of the participants who do not carry out the
separation at home were diverse, such as 22.4% of the participants claimed not to
carry out the separation of waste because they do not have a specific place for the
disposal of recyclable materials in their building or condominium, 17.7% say that
there is no selective collection in their neighborhood, 14.8% do not have information
about selective collection in their street, 11.7% say they do not have collection points
close to their residence, 3.6% think that street animals tear the bags and make dirt in
front of the house, 2.7% do not have time for it, and 0.4% claim not to worry about it.
Regarding the problems related to the delivery of recyclable waste for selective
collection, 26% of the respondents believe that the waste collection truck mixes all
types of materials, even if they separate them. And of the total number of partici-
pants, 26% of the participants said that the selective collection truck does not pass
regularly on their street, which causes them inconvenience.
On average, the majority (51.4%) of respondents says that the average amount of
recyclable household waste produced weekly in their houses is around 1–5 kg,
10.8% less than 1 kg, 15.3% admit producing 5–10 kg, 5% produce 10–15 kg,
1.4% 15–20 kg, 0.3% of respondents produce 20–30 kg, 0.9% produce more than
30 kg, and 14.9% were unable to answer this question.
The majority of respondents mentioned they had some understanding about
disposal of non-recyclable waste, such as dirty plastic container with leftover food
(46.6%), polystyrene (39%), snack pack (6.3%), Tetra Pak (4.5%), and sulfite sheet
with printer inks (3.6%).
When asked that there are special materials that should not be discarded with
other household waste, 91% indicate separate piles, 69.5% medicine, 80.3% used
oil, 66.8% lamps, 71.7% electronic materials, and 32.3% wood pieces. Most partic-
ipants 91.9% dispose of the special material in appropriate places for its recycling.
When asked if the person knows where household waste goes, 47% could not
answer. Twenty-eight percent answered correctly that the final destination of house-
hold waste in Atibaia is sanitary landfills and the central recycling cooperative. A
large part of the population still believes in the existence of large open-air dumps as a
place of final disposal of waste (20.6%).
Considering the alternative where the respondent could choose more than one answer,
the participants declared that those responsible for selective collection in Atibaia are first
the waste house agency of Atibaia (SAAE) (65.9%), the municipal infrastructure (city
hall) (58.7%), all people including yourself (55.6%), autonomous collector (47.1%),
industries (24.7%), local commerce (23.8%), NGOs (17.9%), and nobody (0.4%).
This part aimed to assess the respondents’ satisfaction with the level of recyclable
solid waste collection services in Atibaia. On the question of respondents’ satisfac-
tion towards waste collection services, it was found that the vast majority (34.1%) of
respondents expressed “medium satisfaction” with their solid waste collection sys-
tem. Only 10.8% expressed very satisfied and 14.8% very unsatisfied.
Waste Composting
Of the participants, 66.8% expressed interest in composting, and 22.4% claimed to

already compost at their homes. However, 9% are not interested in composting, and
1.8% do not know what composting is. As for the type of interest in waste composting,
the majority 44.8% would be willing to compost in their own homes, 35.4% would be
willing to separate organic food for the compost municipal program, 16.1% are willing
to separate organic waste and take them to an adapted collection point to receive the
proper disposal of food waste, and 2.2% said they were willing to take their organic
waste to any point or organization that accepts to receive food waste. However, 1.3%
declared that they were not willing to compost their organic waste.
The participants consider it is more important to compost to obtain organic
fertilizer for their plants (85.7%), while 81.6% think it is important to reduce the
volume of waste in landfills and 68.6% to prevent the spread of diseases.
Regarding technologies, a question was asked to find out if the citizens thought
that municipal management should invest in composting plants, in which the
recovery of organic waste could generate biofuel in processes of low technological
intensity. Of the respondents, 91.5% were extremely favorable, 4.9% in favor, and
1.3% were unfavorable to investments in the construction of these plants.
What the Population Knows and Perceives About Solid Waste

Policies and Practices
The mean scores for each module were 0.25 to “recycling” and 0.11 to
“composting.” In questions related to recycling (1–5), the highest score was obtained
in the question of perception of who is responsible for recycling in Atibaia (0.63) and
knowledge about the types of special materials that cannot be delivered to the
municipal collection truck (0.41). Instead, the minor score is attributed to perception
of the importance of separation of recyclable waste (0.10) and knowledge about
where to dispose of special materials (0.12) (Table 1).
For the composting question module (questions 8–12), the highest scores were
attributed to participants’ perception of the importance of composting for disease
prevention (0.12). For knowledge, the highest score was given to the question about
where all the waste (organic and recyclable from Atibaia) is taken (0.12). The lowest
Table 1 Structure, scores, means, and standard deviations of questions

Mean Standard
Questions related to recyclable waste Score score deviation
1. (Perception) Evaluation of the selective collection service in 0.18 8.16 7.53
Atibaia
2. (Perception) Importance of separating recyclable waste 0.10 4.55 9.65
3. (Perception) Responsibilities for recycling in Atibaia 0.63 17.45 13.78
4. (Knowledge) Which materials should be disposed of in the 0.16 7.17 7.91
non-recyclable waste bin?
5. (Knowledge) How to store recyclable waste at home? 0.16 5.81 4.73
6. (Knowledge) Types of special materials 0.41 13.11 7.06
7. (Knowledge) Where to dispose of special materials? 0.12 6.53 9.41
General average 0.25
Questions related to composting
8. (Perception) Is composting important to reduce the volume 0.11 5.01 7.47
of waste in landfills?
9. (Perception) Is composting important for disease 0.12 5.47 5.86
prevention?
10. (Perception) Is composting important to produce organic 0.11 4.81 8.05
fertilizer and improve the health of my plants?
11. (Knowledge) What gases are emitted by organic waste in 0.07 3.88 7.75
landfills?
12. (Knowledge) Where is all Atibaia waste taken? 0.12 4.60 4.37
General average 0.11
Source: the authors, 2022
scores were attributed to the perception that composting is important to reduce the
volume of waste in landfills and to produce organic fertilizer and improve the health
of my plants (both 0.11). The lowest score on composting was attributed to knowl-
edge about what gases are emitted by organic waste in landfills (0.07).
The average scores for each question are shown in the graph presented below
(Fig. 2). Considering all the questions, no significant differences were found (F ¼
2.789; p ¼ 0.1258) between the scores. There is greater knowledge regarding
recycling (questions 1–7) when compared to composting issues (8–12).
Waste Management Program Participation
Citizen participation is an important and widely accepted factor for the success of
any waste management program, including source reduction and recycling, which
has gained increasing attention around the world in recent years due to economic and
environmental issues (Babaei et al. 2015). Most participants of this research
expressed concern about recycling in the municipality, an aspect of a
pro-environmental attitude. However, there are still some respondents who do not
separate and properly dispose of recyclable waste, due to a lack of clear information
about selective collection in their neighborhood. Places where there is no selective
Fig. 2 Mean scores obtained for each question (1–12). Source: the authors, 2022
collection seem to be a problem for the population living in neighborhoods where

there are collective waste collection points. Frequent complaints about collective
waste collection points such as the lack of cleaning and disinfection of containers, as
well as aesthetic problems and disease vectors, can be limiting for the successful
implementation of the municipal recycling program. This requires the extension of
municipal services together with the promotion of public awareness, in the sense of
promoting more effective communication programs.
Results demonstrated a very low knowledge of respondents towards composting
waste. The lack of understanding of a complex issue can generate a conflict of
perception, as each person can interpret different forms of use and appropriation of
natural resources. Conflicts arising from incomplete information can be resolved by
aggregating information and disclosing it to interested parties. The media also plays
a significant role in disseminating information. Therefore, the results obtained
showed that environmental education programs should be designed in an accessible
language and compatible with different audiences to make the population aware of
the causes and impacts of household solid waste, as well as the importance of
composting. However, the information campaign clearly has to be the first step
because almost no knowledge on composting exists among the people in Atibaia.
Information on how to build a compost heap and on the benefits of composting can
most easily be shared via website or social media.
To the goals established in the PNRS, as of 2014, only tailings should be sent to
landfills in Brazil (Brasil 2010a, b). But that did not happen, demanding effective
actions to change the management model and consumption patterns in the country.
This reality would change a lot at the municipal level if wet waste were sent to
sorting and composting units. According to the results, most participants showed the
intention to compost. Society and groups exert pressure on an individual to perform
the behavior in a certain manner. The people who are high in subjective norms tend
to perform a behavior that is considered good by others. Subjective norms cause an
individual to behave pro-environmentally/adopt sustainable behavior in order to
conform with society (Hameed et al. 2021).
Although criticized from an environmental and health point of view, sanitary landfills
and open-air dumps are the most common and cheapest method of waste disposal in
Brazil (IBGE 2002), causing much damage to the environment due to soil and
groundwater pollution. In the case of Atibaia, Municipal Law n. 2770, of 1997, prohibits
the establishment of sanitary landfills, as it is a region comprised by an important water
supply hydrographic basin. However, the composting process, an inexpensive method
when compared to other forms of treatment, is effective in reducing the amount of
material to be grounded (Barreira et al. 2006). For composting to be viable, it is
necessary that organic waste be separated at its origin, thus ensuring its quality
(Vasconcelos et al. 2021). Among the technological alternatives from the decomposition
of waste, large-scale composting plants are prolonging the useful life of sanitary landfills
and can also generate biofuel in low-technological-intensity processes.
In the race for sustainability, we need to enable management that effectively
involves the participation of various governmental and nongovernmental actors in
production that must reduce waste generation (through design readjustment, making
products environmentally friendly), such as eco-manufacturing of products, and the
implementation of a circular economy that uses the products consumed as raw
material to reintegrate into various production chains to ensure maximum use and
minimum disposal (Frey et al. 2020).
Among the participants, women were the majority who answered the question-
naire. This clearly indicates that females tend to be primarily responsible for waste
disposal in a household, a fact also known from other studies (Chu and Chiu 2003;
Mosler et al. 2008). Despite the increasing involvement of women in the labor
market and in family income participation, they are still heavily responsible for
carrying out housework (Picanço et al. 2021).
Under the socio-ecological aspect of recyclable urban waste, the fundamental role of
social actors is included, such as autonomous collectors of recyclable materials or
organized by cooperatives. Their performance, in many cases carried out under pre-
carious working conditions, takes place individually and autonomously and dispersed
on the streets and in dumps, as well as collectively, through the productive organization
in cooperatives and associations. These groups are in a situation of social vulnerability,
requiring the implementation of social policies that guarantee access to decent work
opportunities, such as income generation and business opportunities (Frey et al. 2020).
The research results indicate that the majority showed that they knew some types of
special household waste, but they were not aware about the dangers caused by their
unsustainable ways of disposal. Collective initiatives are joining efforts to map special
waste collection sites (such as used cooking oil, batteries, X-rays, medicines, among
others) in the municipality. These actions support the implementation of the Municipal
Solid Waste Plan. Such information could be disclosed on the website of the waste
house recycle agency of Atibaia (SAAE) in order to encourage and guide the popu-
lation about the correct destination of special and potentially hazardous waste.
The study examined the knowledge, perceptions, and opinions concerning solid
waste household management and recycling among citizens of Atibaia. The results
showed that the respondents’ perception of the destinations of recyclable waste is
positive because they value environmentally correct practices. However, it is appar-

ent that there is the necessity to improve attitudes and willingness to reduce problems
related to irregular discards. Respondents recognized that attaining sustainable waste
management is a joint responsibility of the government and community members.
The major recommendations are the need to put more effort into raising populations’
awareness by education campaigns that can bring about considerable changes in the
knowledge and perception.
In this perspective, as mentioned by Carmo and Benati (2021), and observed in this
study, it is important to emphasize the connection that exists between SDG 12, which
aims at responsible consumption and production, and SDG 4, which focuses on quality
education. SDG 4 aims to ensure inclusive and equitable quality education and
promote learning opportunities, knowledge, and skills necessary to promote sustain-
able development. SDG 12 aims to ensure sustainable production and consumption
patterns and has as one of its goals to ensure that people have relevant information and
awareness for sustainable development and lifestyles in harmony with nature. Thus, to
be sustainable, development needs to be environmentally correct, socially fair, eco-
nomically viable, and culturally respectful of differences, and one of the challenges of
sustainability is the awareness that this is a necessary process for the maintenance of
life and for an effectively sustainable development.
It is also observed, as highlighted by Souza et al. (2021), that the National Solid
Waste Policy (NSWP) is, in Brazil, an instrument that can contribute to achieving the
goals of SDG 12, proposing to ensure sustainable consumption and production
patterns. However, according to these authors (Souza et al. 2021) and Besen et al.
(2014), several municipalities claim financial difficulties for investments,
compromising the fulfillment of the objectives of the NSWP; however, it is impor-
tant that each municipality considers strategies, such as selective collection, reverse
logistics, and environmental education, to be implemented in order to guarantee
quality of life and sustainable development.
Another point to consider, as mentioned by Gasper et al. (2019), is that the SDG
12 targets and indicators still need to gain wide relevance to be truly transformative
in regard to global sustainability. On the positive side, explicit incorporation of
sustainable consumption and production (SCP) patterns in the SDGs represents a
mainstreaming of important initiatives, and the SDG 12 might evolve to provide a
space for focused public and agency attention and for demanding innovation and
accountability.
Cross-References
▶ Analysis of Supply Chain Sustainability and Resilience

▶ Brazilian Recyclable Waste Pickers and Sustainable Development Goal 8 for 2030
▶ Informal Circular Economy in Mexico
▶ Reverse Logistics for Post-Consumer Waste in Brazil: SDGs 11 and 12 for 2030
▶ Sustainable Consumption and Production in an Era of Uncertainty
Acknowledgments The authors thank the Coletivo Socioambiental de Atibaia for the question-
naire dissemination and also Humberto Zontini Malheiros for helping in the map formatting.
Finally, the authors thank the Projeto Ecossistemas Costeiros (IB-USP/São Paulo) for supporting
the preparation of questionnaires and their analysis.
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Part III
Business-Related Perspectives
Alternatives to Fossil Fuel-Based Shipping:
An Overview of the Sail Cargo Industry
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 798
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 800
A Brief History of Shipping Through Sailing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 801
A Second Great Age of Sail: The Sail Cargo Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 802
Environmental Impacts of Shipping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 806
The Role of Shipping in Climate Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 807
Rethinking Shipping in the Context of the Sustainable Development Goals . . . . . . . . . . . . . . . . . . 808
Labor and Human Rights at Sea . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 809
The Environmental Impacts of Marine Shipping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 811
The Jevons Paradox: Sustainability and the Problem of Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . 812
Conclusion and Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 814
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 817
Abstract
There is need to rapidly reduce global greenhouse gas emissions to avoid
runaway climate change. Over 2% of global emissions are produced from the
marine shipping industry, roughly equivalent to those generated by Germany.
This chapter examines the social and environmental impacts of the modern
shipping industry and highlights more sustainable alternatives in the form of
the emerging sail cargo industry that uses sailing vessels to reduce the environ-
mental impacts of shipping within global supply chains. Sail cargo initiatives
represent a more equitable, environmental, and just transition to meet the United
Nations’ Sustainable Development Goals for 2030. These are well suited to
achieve development goals in the Americas and Caribbean Region. Also, this
chapter highlights theoretical tensions in various approaches to sustainable
E. N. Shenkin (*)
Department of Sociology and Anthropology, Linfield University, McMinnville, OR, USA
e-mail: eshenkin@linfield.edu

https://doi.org/10.1007/978-3-031-16017-2_63
798 E. N. Shenkin
development solutions, including the Jevons paradox, where increases in energy

efficiencies often lead to increases in overall energy use thus, presenting a
challenge to policies that rely solely on technological improvements, as a princi-
pal means of reducing overall energy use.
Keywords
Marine transport · Sail cargo industry · Freight industry · Renewable energy ·
Alternative shipping
Introduction
The purpose of this chapter is to provide a brief overview of the environmental

impacts of the modern shipping industry and to highlight one possible alternative
mode of shipping that uses wind energy and sail to reduce environmental impacts.
The scale of the sail cargo industry is extremely limited at present and is unlikely to
become a significant part of modern shipping in the near term. However, as an
alternative model of shipping cargo, in a more environmentally friendly manner, the
industry has the capacity to provide some time-tested answers to modern sustain-
ability questions. As a nescient industry, sail cargo has received little academic
attention to date. Therefore, in addition to peer-reviewed studies and United Nations
publications, this chapter also relies on marine and sail cargo industry reports as well
as secondary sources to document the emerging literature on this topic.
Modern shipping is highly dependent on fossil fuels (Bouman et al. 2017).
According to the Inter-governmental Panel on Climate Change (IPCC) Summary
for Policymakers’ report, by 2050, emissions must reach net zero in all sectors of
human activities to keep global mean temperatures at approximately 1.5 C above
preindustrial levels (IPCC 2019). There is general agreement that the maritime
shipping industry should transition rapidly, from relying heavily on oil (also
known as bunker fuel) to lower carbon alternatives. Some suggest this transition
could be done in stages first with a transition to low carbon, then zero carbon fuels as
an alternative means for addressing the climate change crisis and other environmen-
tal impacts (Englert et al. 2021). To achieve the international Sustainable Develop-
ment Goals (SDGs), a variety of novel approaches could be considered. In the
Americas, and particularly the Caribbean region, small island nations depend on
the marine shipping industry for import and trade of essential goods. A variety of
novel approaches, including the use of sail cargo, can be implemented for greater
sustainability.
The scope of this chapter is to: (1) highlight the role of modern shipping in the
ecological crisis, including climate change; (2) propose the possibility of
reintegrating sail-powered vessels as viable alternatives into the shipping industry;
and (3) highlight most conventional proposals to decrease environmental impacts
from conventional shipping, whether through size, design, technological improve-
ments, or increased efficiencies, are unlikely to result in reduced greenhouse gas
Alternatives to Fossil Fuel-Based Shipping: An Overview of the Sail. . . 799
emissions and in fact are likely to lead to increases overall, for reasons analyzed in
later parts of this work and based on the Jevons paradox.
According to the International Maritime Organization (IMO), a branch of the
United Nations that regulates the shipping industry, the sector is responsible for
approximately 2.2% of all global greenhouse gas emissions (GHG), worldwide. This
level of emissions is roughly equivalent to the country of Germany’s total emissions
(BBC 2018). Greenhouse gas emissions from shipping are projected, under a
business-as-usual model, to increase by 150–250% by 2050 when world trade may
triple. While there are an estimated 100,000 vessels at sea at any time, only about
50,000 large container vessels account for about 90% of all trade and transport
around the world (International Chamber of Shipping 2023).
The International Maritime Organization (IMO) sets environmental, safety, and
security standards for the shipping industry. The agency’s most recent report: Fourth
Study on the Reduction of Greenhouse Gas Emissions from Ships was released on
July 29, 2020. One of the principal findings of the report was the need to sharply
reduce greenhouse gas emissions (GHGs). This paper pointed out that the industry is
unlikely to meet the goal of reducing GHG emissions by 50% of those produced in
2008 (IMO 2020). According to the United Nations Framework Convention on
Climate Change (UNFCCC), drastic changes to all aspects of society must be made
to decarbonize, including reassessing global supply chain practices (2021). Over the
last four decades, worldwide gross domestic product (GDP) and international marine
shipping have increased at about the same rate of 250%, far surpassing both
increases in world population (90%) and energy consumption (170%) in the same
period (Bouman et al. 2017).
Improvements in the shipping industry remain necessary to address climate
change. This chapter seeks to analyze the environmental and social impacts of the
modern shipping industry, as well as highlight the emerging sail cargo industry that
combines centuries-old technologies with modern materials and systems to harness
the wind as a renewable resource for global marine transport. Sustainable shipping
technologies, including sail-powered vessels, are only a limited component of
societal changes in support of sustainability. The impacts of shipping are significant
and interconnected to the 17 United Nations Sustainable Development Goals
(SDGs) (United Nations Transportation Report 2021). Many SDGs directly relate
to the marine shipping industry and the need to develop more sustainable alternatives
to the mass transportation of goods. The SDGs most relevant to the topic under study
include (Table 1):
Table 1 Sustainable SDG Goal 7 Affordable and clean energy

Development Goals
SDG Goal 8 Decent work and economic growth
directly related to marine
shipping SDG Goal 9 Industry, innovation, and infrastructure
SDG Goal 12 Responsible consumption and production
SDG Goal 13 Climate action
SDG Goal 14 Life below water
800 E. N. Shenkin
The International Marine Organization is a specialized United Nations agency

that works to oversee the shipping industry. The IMO is committed to meet the
Sustainable Development Goals within the sector (IMO 2022) yet, much more needs
to be done including imposing strict penalties for failing to achieve emissions targets
and financial investments in sound alternatives, including sail cargo (Steavenson
2022).
This chapter attempts to answer the question: How can more efficient levels of
sustainability be achieved within the shipping industry? To engage the nexus
between sustainability vis-à-vis energy efficiency, the concept of the Jevons paradox
is explored in some detail later in this work as a central theoretical paradigm in both
ecological economics and environmental sociology. The Jevons paradox draws on
the empirically based finding that reductions in energy usage through greater
efficiencies often result in energy savings being redirected back into the system
and thus, increasing overall energy usage under expanding political-economic
conditions (Clark and Foster 2001). Thus, increases in efficiency paradoxically
may lead to increases in energy use. Applying the Jevons paradox logic in the
modern shipping industry should include cautionary, policy-level approaches in
sustainability from relying on increased efficiencies alone in the fossil fuel-based
marine transport sector, because these are unlikely to lead to reductions in
hydrocarbons use within the industry. This assertion is made based on empirical
evaluations of coal-fired steam engines in the eighteenth century, modern studies of
fuel-efficient vehicles, and other efficiency advances, that have led to overall rises in
energy use (Polimeni and Polimeni 2006; Alcott 2005; Munyon et al. 2018).
An integration of sail technologies constitutes only one component of a larger
process for addressing the ecological crisis within the shipping industry, as a whole.
This manuscript provides an overview of the sail cargo industry to date, by
documenting the barriers and opportunities for diversifying marine transport from
fossil fuels to wind energy as a more sustainable alternative for transporting some
commodities in the global supply chain. The article concludes with additional
possibilities for sail, or hybrid drive technologies, for additional uses including
marine scientific oceanographic research particularly, in remote regions, and the
use of crowdsourcing marine data, through citizen science initiatives.
Finally, this chapter seeks to analyze the relationship between fossil fuel-based
shipping vis-à-vis wind-based sail cargo industry from an historical perspective,
including Jevons paradox. This chapter does not seek to provide a comprehensive
analysis of the environmental and social impacts of the marine shipping industry as a
whole or the rapidly changing sail cargo industry.
Methodology
A brief historical review of the literature on shipping can be valuable to shed light on
the modern industry. The technological changes associated with marine transport,
specifically the transitions from sail, steam, and oil-powered vessels, cannot be
overstated in importance in world history as the primary mode of intercontinental
transportation across the Atlantic over the last 500 years. Today, sailboats are
primarily associated with recreational watercraft. However, the great Age of Sail
lasted for centuries, from approximately 1550 to 1850, and was crucial for trade
(Jarvis 2023). This period was an essential precursory element of modern forms of
globalization. Changes associated with sail technologies were similarly crucial in
determining many of the events of world history. European colonial era, sailing
technologies were instrumental in the outcomes of maritime battles, trade routes, and
the dispersion of peoples across the islands of the south Pacific. Only recently have
sailing vessels been eclipsed by fossil fuels as the crucial form of transportation for
diverse peoples around the world.
This chapter utilizes several sources of data to explore the possibilities for using
sail cargo to reduce the environmental impacts of shipping. First, the chapter draws
on literature on the history of sail, the Jevons paradox, and the role of technological
change in resource use. Second, international bodies that govern maritime transport,
including the International Maritime Organization (IMO), and reports from the
United Nations, National Oceanic and Atmospheric Administration (NOAA), and
National Aeronautics and Space Administration (NASA). Third, an examination of
sail cargo industry reports. These reports are utilized to document the most recent
advances in the industry that have largely occurred in the last decade. Further, no
incidental mention of a particular sail cargo organization, whether for-profit or
nonprofit, is intended as an endorsement. Further research will be necessary over
the coming years to document the successes and failures of sail cargo entities to
better understand the conditions under which the marine transport sector can be
made more sustainable.
A Brief History of Shipping Through Sailing
The earliest pictures of sailing vessels originated in ancient Greece between 4000
and 1000 B.C., although the earliest examples of various ships were found else-
where. For example, Egyptian pottery depicting ships has been dated to 4000 B.C.
There is a great variety of sail types that vary in capacity to allow vessels to safely
maneuver and point towards the direction of the wind. For example, square sails are
primarily useful for sailing downwind, using the push forces to drag the vessel along
with the wind off the stern. While lateen sails are triangular and, when adjusted
obliquely to allow the leading or luff edge of the sail to catch the wind, utilize the
pressure differential between convex and concave sides of the sail to generate
forward movement and lift, similar to that of a vertical airplane wing (Pestano
et al. 2015). With the addition of a keel and rudder device, these advances in sailing
allowed lateen vessels much greater maneuverability and power than their earlier
square-rigged predecessors. Lateen sails are thus considered a major technological
breakthrough, representing the fore-and-aft sails indicative of the nineteenth century
clippers and schooners often given credit for nautical achievements during the
European age of discovery (Campbell 1995). Since the colonial era, transportation
by sea has been a major facilitator of modern globalization, in combination with
802 E. N. Shenkin
other factors including international standardization, trade liberalization, and tele-

communication (Bouman et al. 2017).
Shipping by sail has a proven track record for hundreds of years as a reliable and
economically viable form of shipping and transportation. If nearly all transportation
and shipping relied on sailing vessels for centuries, why did this method of travel
largely vanish? In order to address some of the possible answers to this question, we
must examine the transitional period between coal-fired and sail-driven shipping in
the nineteenth century. Both hydrocarbons-based propulsion and sail technologies
were used simultaneously in the 1800s, and each had its own advantages and
disadvantages. Sailing vessels, particularly “clipper ships” were used extensively
for the tea trade, had maximum speeds that were often faster than their steam ship
counterparts, handled bad weather around the capes better, and were much cheaper
to operate, particularly for long distance voyages where the coal necessary to fuel the
engines of a steam ship could sometimes be worth more than its cargo.
Sail ships continued to function in the age of steam for the long-distance voyage
between Asia and Europe. However, when the Suez Canal opened in 1869, interna-
tional shipping changed forever. The canal allowed steam vessels to avoid the bad
weather at the capes, on the most southerly portion of the continents of Africa and
South America, and cut about 3000 miles off long-distance voyages. Steam ships
could remain in the Indian Ocean, cut through Egypt and right into the Mediterra-
nean making the journey much shorter and cost effective. The reliability of coal-fired
steam engines also allowed for greater predictability in commerce in order to make
deadlines and avoiding sailing vessels’ dependence on wind conditions that pro-
vided additional incentives for the shipping industry to forgo sail for steam (The
Economist 2019).
A Second Great Age of Sail: The Sail Cargo Industry
Although there is widespread acceptance of the finite nature of hydrocarbons around

the world, many nation-states, in both the Global North and Global South, are
doubling down on the business-as-usual model of heavier and heavier reliance on
fossil fuels. The use of these energy sources is known to be at the core of many
domestic and international ecological crises, most notably climate change and ocean
acidification. There are only a few decades remaining for peak oil and other
hydrocarbons. According to recent estimates, by 2050, there will only be 14% of
proven oil reserves left, and only 18% of gas reserves, while coal reserves will
remain at 72% (Martins et al. 2019). Zero-carbon bunker fuels that use various types
of energy, including natural gas combined with carbon capture and storage, electric-
ity, or hydrogen and ammonia, are being discussed as possible ways to reduce the
emissions problem in shipping (World Bank 2021).
Scientists warn that much of the existing proven fossil fuel reserves must remain
unburned in the ground in order to prevent further warming and the catastrophic
feedback processes associated with climate change tipping points after the trillionth
ton of carbon is burned. If more hydrocarbon reserves are identified in the coming
decades, extracted through conventional or unconventional means (tar sands, deep-

water drilling, or hydraulic fracturing) and burned using ultraefficient technologies,
the carbon budget would still be spent leading to uncontrolled warming and hot-
house earth scenarios incompatible with organized society (Global Warming Index
2022).
There is a clear need to radically shift to renewable energy sources in order to
avoid the worst consequences of climate change from the cumulative impacts of
greenhouse gas emissions as well as facilitate a socially just, smoother transition to
renewable energies. Sufficient capital, labor, and resources exist to carry this out.
Despite proven renewable technologies in existence, and a consensus within the
scientific community on the seriousness of the problem, vested interests in the fossil
fuels, and related industries, have waged successful misinformation campaigns that
have denied or downplayed the severity of the crisis. When climate change is
discussed on a policy level, the problem is often presented as something that can
be solved through efficiencies and unproven high risk technological-fixes, including
geoengineering schemes that if attempted, could mean irreversible damage to vari-
ous biogeochemical processes of the earth system. For example, releasing sulfur
aerosol particles into the upper atmosphere to “brighten” clouds to reflect more of the
sun’s heat. According to a number of climate simulations, this attempt to copy the
cooling caused by a volcanic eruption would also change monsoon rains in Africa
and Asia potentially jeopardizing billions of lives. Similarly, dumping iron into the
oceans to create algal blooms to sequester carbon can lead to toxic red tides and dead
zones (Klein 2014).
Contrary to these high-risk proposals, alternate options based on proven technol-
ogies already exist in sail. The history of sailing is vast and has been well-
documented in academic and literature in myriad respects in both prehistory, through
archeological records, and has generated an immense body of materials over the
centuries. This time-tested sustainable option remains in many respects more viable
than gambling the future of organized society on untested technologies or more
efficient ways of burning fossil fuels. The proof of concept of sail is also born
through centuries of shipping passengers and goods across oceans solely using
the wind.
In recent decades, sailing technologies have made huge progress with the inven-
tion of hydrofoils, laminates, new batteries, aids to navigation, and the use of carbon
fiber, among other advances. The 1973 oil crisis generated some international
discussions about the use of sail in professional marine conferences and several
peer-reviewed articles were written about using sail to cut shipping costs overall, in
addition to eroding the power of unions, as well as increasing efficiencies through
new designs, technologies, and automation, as well as retrofitting ships that ran on
oil with mechanically furling sails, kites, and other experimental designs (Brookfield
1985). There was also some speculation that as the cost of marine bunker oil
increased, this would renew interest for the industry and change the cost benefit
analysis for energy planners to begin shifting from oil to sail powered marine vessels
(Bergeson 1979). Yet there has been very little serious examination of the sail cargo
industry to date in either academic or industry circles.
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Over the last decade, several small businesses have emerged with various mis-
sions and visions. Each is attempting to reexamine the sail cargo industry from
different social and ecological perspectives by using primarily wind or hybrid-drive
vessels using both for-profit and nonprofit business models. Each organization
deploys various narratives for implementing sustainable alternatives to the negative
environmental impacts of the modern marine transport industry by blending old and
new technologies. At present, the sector is small with many vessels in the design or
building phase and not yet in operation. Yet, these entities provide important insights
into the possibilities for reviving sail technology as an alternative for diversifying
shipping that could become particularly attractive when the price of fuel makes
marine shipping less profitable, or when “polluter pays” tariff models like the
European Union’s Carbon Border Adjustment Mechanism (CBAM) are
implemented (Al Jazeera 2022).
At present, the industry is largely composed of small sail cargo organizations that
transport the products of a variety of companies interested in reducing their product’s
carbon footprint for both economic and environmental reasons. These are primarily
higher-end niche businesses that market their products as more conscious,
eco-friendly, and sustainable, and often charge a premium for the associated origin
stories of their goods. One sail transport business, in operation since 2007, ships up
to 25 tons of canned fish, honey, coffee, cocoa, and rum in the hold of their antique
sail cargo ship first launched in 1873. This company’s trade route is between
northern and southern Europe, the Caribbean, South America, and the east coast of
the United States. A notable element to this organization, and several other similar
sail cargo entities, is the sale of crew positions for individuals seeking to learn
traditional sailing skills or perhaps participate in novel adventure tourism experi-
ences. Novice crew purchase individual passages on various legs of the vessel’s
cargo transport routes throughout the year (Tres Hombres 2022). This additional
revenue source of paying crew has obvious benefits for generating revenue to offset
various costs associated with the proper maintenance, as well as the salaries and
benefits of professional crew. The model also may serve as a possible reservoir of
experienced crew members for growing the industry in years to come and to keep
traditional seafarer knowledge in living memory.
A European company composed primarily of former merchant navy officers has
been designing and developing a primarily sail-powered hybrid fleet of large cargo
ships over the last decade. The project has yet to launch a vessel; however, there has
been significant interest and buy-in from corporate investors seeking alternative
renewable sources of marine transport. The large modern designs for these hybrid-
drive ships are professionally drafted and seek to use 80–90% less bunker fuels than
their modern counterparts through the use of sail as the primary propulsion system
and slow speeds to around 11 knots, further reducing the energy needed for shipping
(Neoline 2022).
There are other various efforts in the works to use novel sail technologies. For
example, fixed aerodynamic telegraphing “wing-rigs” or fixed masts shaped like
wings that can be raised and lowered in height depending on conditions and
obstructions like bridges and cranes during the unloading of cargo. This effort has
reached the model design testing phase and the organization plans to launch a full-
sized carrier vessel by 2025 (Oceanbird 2022). Another shipping company uses a
steel hulled two-masted gaff-rigged schooner built in 1920 that was originally
designed as a sail cargo vessel. This company also takes on paying crew interested
in learning how to sail and transports mostly niche market items including: coffee,
chocolate, alcohol, and other goods (Timbercoast 2022).
Another ambitious project in the sail cargo industry is a large wooden 46-meter
(150 foot) square topsail schooner that is in the process of being constructed from
scratch in Costa Rica by a for-profit small business. When launched, the ship will be
the largest wooden cargo vessel in the world. The company uses locally sourced
tropical hardwoods as the primary building materials, in conjunction with tree
planting efforts to foster a more sustainable forestry model. The vessel is an effort
to show proof of concept for decarbonizing the shipping industry through more
sustainable materials, on-site metal fabrication, local labor, and a cooperative busi-
ness model. At the time of writing, the craft has yet to be launched (Sail Cargo Inc.
2022). The vessel will utilize lithium-ion batteries, with regenerative charging
capabilities, as well as modern materials for both standing and running rigging.
The project seems well managed, planned, and implemented thus far.
There are also additional opportunities for sailing vessels to be used for a variety
of other currently high environmental impact marine activities. For example, ocean
research, particularly to far northern and southern destinations in the arctic and
Antarctic regions, often requires the vast consumption of fossil fuels in order to
operate large research vessels. As a result of advances in technology and scientific
instrumentation that can now be much smaller in size, modest sailing vessels can be
built, or retrofitted, to allow for similar quality scientific data to be collected with
much smaller overhead and lower carbon footprint. There are only a few examples of
sailing vessels used for ocean research science to date. However, this cutting-edge
effort could provide opportunities for more accessible research projects in far corners
of the world to be conducted through sailing vessels without sacrificing data quality,
at a fraction of the cost and greenhouse gas emissions. An ongoing sail project of this
nature is currently studying the melting of the Greenland ice sheet, marine pollution,
and the mapping of microplastics in the North Pacific and North Atlantic Gyres
(garbage patches), using citizen science projects for mapping fish distributions and
migrations, and bathymetric data with multiple applications for better understanding
climate change in the earth system (Ocean Research Project 2022).
Disaster relief for coastal communities is another avenue for the sail technology to
be employed. In 2010, a sail cargo vessel arrived in Port-au-Prince, Haiti, to deliver
earthquake relief supplies. The vessel used sail, wind turbines, and recycled vege-
table oil for less environmental impact (Willner 2021). Sailing is primarily a
recreational activity for both pleasure and sport. However, there are many sail-
powered vessels that could be utilized for delivering disaster relief services if
centralized communication and distribution networks could be established.
Although this is not a long-term solution to ongoing environmental, social, and
806 E. N. Shenkin
political economic crises, small private crafts that ply the world’s oceans could be
called on to produce large amounts of fresh water, deliver emergency supplies, or
any number of resources, when disasters strike.
Environmental Impacts of Shipping
Even though thousands of massive container ships continuously ply the world’s
oceans, they often go unseen, resulting in a condition metaphorically referred to as
sea blindness (Delestrac 2016). If the modern fossil fuel-based shipping industry
was a nation-state, it would be the sixth largest emitter of CO2, greater than that of
Germany. Modern hydrocarbon-based ships contribute to break a number of plane-
tary boundaries in a variety of ways. For example, emissions from ships’ smoke-
stacks release black carbon (soot), and CO2 that contribute to ocean acidification,
which in turn contributes to biodiversity loss. Toxic substances are released when
bunker fuel is burned leading to cross the planetary boundary of chemical pollution.
These interrelated processes associated with modern shipping are deleterious to the
earth system and lead towards more planetary boundaries being crossed under
present business-as-usual practices. When docking, additional engines also produce
particulate matter, CO2, NOx, and SOx. The current fleet of container ships are so
massive, that dynamic changes in shipping are impossible due to the economic and
logistical complexities of operating these large vessels (Willner 2021).
This size problem of ships became devastatingly apparent when the megaship
Ever Given, one of the largest ships ever constructed, and almost as long as the
Empire State Building is high, completely blocked the Suez Canal in March 2021 for
6 days. This disaster highlighted the dangers of relying on increasingly large ships,
often barely able to fit through the Suez and Panama Canals. The obstruction in the
canal stopped ten billion dollars per day in trade. Despite a variety of likely reasons
for this catastrophic event including: high winds that led to boats dragging their
anchors, a lack of tugboats, incorrect commands from Egyptian pilots, and a lack of
weather monitoring capacity at the canal authority (Yee and Glanz 2021), this
incident demonstrates how vulnerable and unwieldy the global supply chain can
be under current conditions of increasingly larger ships, as capital pressures drive the
industry to seek economies of scale through building ever larger vessels.
There are numerous ways that the shipping industry impacts local, national, and
international environments. This section will provide a brief, non-comprehensive,
overview of some of these impacts beginning with the most well-known and
publicized: shipwrecks. Over the years, the quantity of oil accidentally released
into the world’s oceans, from transporting and producing oil, has declined. Yet large
spills often have massive, externalized costs with long-term, 2–10 year, conse-
quences for marine ecosystems depending on the impacted species. However, the
effects can be measured for even longer periods of time. On March 24, 1989, the
Exxon Valdez tanker dumped 40.8 million liters (35,500 tones) of medium weight
crude oil into Prince William Sound in Alaska. About half of the oil made landfall on
738 km of shoreline, before being carried off to impact other parts of the Alaskan
coastline. Two years later, in 1991, only 14% of the oil had been cleaned up. Surface
deposits continued to be found 12 years later (Barron et al. 2020).
One of the most environmentally impactful elements of the shipping industry, on
a global scale, is the use of a liquid fuel known as bunker fuel. This dirty
hydrocarbons-based fuel has an especially high carbon footprint upon which the
shipping industry relies. Three collaborative projects that the International Maritime
Organization supports are: GreenVoyage-2050, The Global Maritime Technology
Network (GMN), and the Global Industry Alliance to Support Low Carbon Shipping
(GloMEEP). While these are important alternatives, the timetable for implementa-
tion must be accelerated (UN News 2019).
The volume of trade goods that constantly moves across the world’s oceans is
enormous and increasing in both scale of vessels and frequency of travel, as supply
chains continue to intensify. The world’s marine shipping lanes are comparable to
roads on land, yet much less is known about the environmental impacts of marine
transport than its terrestrial counterpart. In 2015, the estimate was 53.6 billion
ton-miles and over 10 billion metric tons. As a result of the price reductions
associated with economies of scale, those in control of the industry have chosen to
build larger and larger vessels. Ultra large container vessels are being used more and
more frequently and are increasing risks for large marine mammals including whale
sharks, basking sharks, baleen and sperm whales, and other marine megafauna that
are active on the surface of the ocean and migrate great distances across many
shipping routes. There are a variety of impacts that marine shipping causes to marine
megafauna. These include: ship strikes, changes in animal behaviors and communi-
cation patterns, altered ocean chemistry and sea level rise, noise, chemical pollution,
and degradation of habitats, particularly for polar species (Pirotta et al. 2019).
The Role of Shipping in Climate Change
A recent article published in the United Nations Conference on Trade and

Development documented the potential for the nascent sail cargo industry. Growing
international attention has been given to this sector as a small but growing fleet of
sail-powered cargo ships show proof of concept for a more environmentally friendly
alternative to modern industrial freighters (Cutcher 2019). In almost every aspect of
society, alternatives must be identified and implemented to allow human societies to
function within the limits of the earth system. The current models are untenable
within the nine planetary boundaries framework as four of these have been crossed,
including biodiversity, biogeochemical flows (nitrogen and phosphorus), land sys-
tem change, and climate change (Steffen et al. 2015). These interlocking ecological
crises have been aggravated by globalization, which remains deeply dependent on
the unsustainable use of fossil fuels.
According to recent reports from the United Nations Framework Convention on
Climate Change (UNFCCC), the most comprehensive international body of scien-
tific consensus, greenhouse gas emissions (GHGs) must be rapidly reduced to avoid
runaway climate change and ensure a relatively safe operating space for humanity,
808 E. N. Shenkin
and other forms of life on our planet. Each UNFCCC reports dire warnings that
emissions targets must be met. According to the Intergovernmental Panel on Climate
Change (IPCC), in order to maintain 1.5 C global average temperature increase
above preindustrial levels, there must be a worldwide reduction in greenhouse gas
emissions of 45% by 2030. A large part of these GHG reductions must also come
from Annex I countries in the Global North, supporting technology transfer and
adaptation for Annex II countries in the Global South (UN Climate Press Release
2021).
Rethinking Shipping in the Context of the Sustainable

Development Goals
The International Maritime Organization (IMO) is collaborating with private corpo-

rate and nongovernmental entities, including the United Nations. This international
attempt to change the environmental and social impacts of maritime shipping
intersect in a variety of ways with each of the 17 Sustainable Development Goals
(SDGs). Since the identification of the goals, each SDG is viewed as indivisible and
interconnected with all SDGs (United Nations Transportation Report 2021).
These include SDG Goal 7: Affordable and clean energy. By seeking cleaner
fossil fuels and energy technologies through private-partnerships including Global
Maritime Energy Efficiency Partnership (GloMEEP), a collaboration between the
IMO, the United Nations Development Programme (UNDP), and the Global Envi-
ronment Facility (GEF). SDG Goal 8: Decent work and economic growth, the IMO
is working on fair wages, working conditions, and fatigue for the over one million
seafarers keeping the industry going. For SDG Goal 9: Industry, innovation, and
infrastructure, the IMO is supporting research on efficient shipping, autonomous
ships, infrastructure improvements, and considering offshore energy production
(IMO 2022).
The issue of waste in the shipping industry relates directly to SDG Goal
12: Responsible consumption and production. The IMO is seeking solutions by
reforming the management of dumping and waste from ships, as well as the full life
cycle of vessels. By changing the currently damaging “ship breaking” practices, as
part of the IMO’s Hong Kong International Convention. SDG Goal 13: Climate
action is attempted through binding energy standards and regulations as part of
Annex VI of IMO’s MARPOL Convention. SDG Goal 14: Life below water.
Shipping causes tremendous impacts on the world’s oceans in myriad ways, includ-
ing invasive species, marine mammal ship strikes, and noise pollution. The IMO is
seeking to establish Special Areas and Particularly Sensitive Sea Areas to protect
biodiversity (United Nations Department of Economic and Social Affairs 2022)
(Table 2).
A 2021 UN report on sustainable transport pointed out that digital technologies,
including using data collected from satellites, can assist in finding the most efficient
shipping routes by taking into consideration current, weather, and sea conditions.
While these are encouraging steps, much more is needed within the shipping
Table 2 Proposed changes to marine shipping to meet Sustainable Development Goals

Sustainable Development Goal Proposed change(s)
SDG Goal 7: Affordable and clean Lower emission fossil fuels and technologies
energy
SDG Goal 8: Decent work and Improved wages and working conditions for seafarers
economic growth
SDG Goal 9: Industry, innovation, Increased efficiency shipping, autonomous ships,
and infrastructure infrastructure improvements, and considering offshore
energy production
SDG Goal 12: Responsible Reforms to dumping, ship waste, changing toxic “ship
consumption and production breaking” practices
SDG Goal 13: Climate action Implementing binding energy standards and regulations
SDG Goal 14: Life below water Establishment of protected areas to limit invasive species,
marine mammal strikes, and noise pollution
industry. A spokesperson for the International Maritime Organization (IMO) stated

that current emissions levels of shipping are not acceptable and must be reduced.
Similarly, the United Nations Conference on Trade and Development (UNCTAD)
concurred that a business-as-usual model in the shipping industry that does not
reduce emissions is unacceptable (UN Transportation Report 2021).
Labor and Human Rights at Sea
For over a century, labor standard have attempted to regulate the upper limits of the
working day. Convention number one of the International Labor Organization (ILO)
used the 48-h work week and 8-h day as a standard since 1919. However, due to the
nature of autonomous governance on the ocean, seafarers’ labor rights at sea often do
not receive the same recognition as their worker counterparts on land. From 1995 to
2007, IMO focused on metrics of fatigue and changed the standard for sea workers to
a 14-h workday, despite ILO regulations. This means that only 77 h of rest are
required in any 7-day period and that sea workers can be told to work up to 98 h in a
week, 14-h days, with no days off (Baumler 2020).
Why are there not more regulations to guard against seafarer’s health and safety?
Part of the answer lies in international maritime law within working contexts located
200 miles off the coast. These are international waters that belong to no one and as
such, function as labor-rights free zones for shipping companies who register flags of
convenience in other nations to avoid being held responsible for the sometimes-
extreme working conditions that would not be tolerated in their home countries.
While ships navigate in high seas of a country, it is the responsibility of that nation to
regulate the conduct of that vessel. Laws state that all ships are required to fly a flag
that represents a sovereign state. However, flags of convenience allow ships to pick
and choose the nations with the most lax laws in order to avoid higher labor
standards, avoid taxes, and reap a host of other benefits. In extreme cases, this can
reduce shipping costs by 65%. Most German, Greek, Japanese, and Chinese ships
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are registered, with flags of convenience, in the Marshall Islands, Liberia, Panama,
or Mongolia. The latter is landlocked and does not possess a coastline. This legal
loophole in maritime law allows ships, and their owners, to legally separate them-
selves from their countries of origin while on the high seas, and reap tremendous
rewards at the cost of the seafarer’s health or safety. These legal loopholes and
industry practices affect the economic conditions of approximately 1.5 million
seafarers working in this sector. Most of these companies are privately owned family
businesses headquartered in tax havens, with reclusive owners who largely stay out
of the spotlight of public attention, despite their massive influence. For example,
John Fredriksen is the owner of the Golden Ocean Group which is based in
Bermuda. He owns the world’s largest fleet of oil tankers and his ships transport
about half of all crude oil extracted around the world. His fortune was made during
the Iran-Iraq War by doing business with the Ayatollah’s regime in Iran. The crucial
relationship allowed the Iranian economy to function under the embargo to sell oil
and finance weapons (Delestrac 2016).
At the time of writing in February 2022, the current fleet numbers 6,324 active
vessels, with 25,388,766 twenty-foot equivalent units (TEU) and 304,411,211
deadweight tonnage (DWT). The ownership of this industry is largely privately
owned. The top ten largest companies that comprise over four out of five vessels
(84.6%) of market share include: Mediterranean Shg Co. (17.1%), Maersk (16.9%),
CMA CGM Group (12.7%), COSCO Group (11.6%), Hapag-Lloyd (6.9%), Ocean
Network Express (ONE) (6.0%), Evergreen Line (5.8%), HMM Co. Ltd. (3.3%),
Yang Ming Marine Transport Corp. (2.6%), and Zim (1.7%) (Alphaliner Top
100 2022).
There are a variety of issues associated with centralized ownership. Labor
practices onboard these private vessels are often characterized by high levels of
labor exploitation of the majority of the crew, who often spend months at sea away
from their families, with limited communication and poor working conditions, and
extremely grueling hours characteristic of workers from the great transformations of
the industrial revolution and Dickensian England. While the names of many of these
companies are often unknown to most, this does not reflect their size or economic
power. For example, the Danish shipping company Maersk has the approximate
revenues of Microsoft. This family-owned company had revenues in 2020 of over
39 billion and about 83,000 employees (Maersk Annual Report 2020).
With the invention of the modern metal shipping container, cargo could be rapidly
loaded and unloaded with large cranes rather than the slower, more labor-intensive
process of using longshoreman, whose numbers dwindled because of these changes.
Another long-term threat to the jobs of seafarers is the emerging use of autonomous
vessels is on the horizon. This technology is known as Maritime Autonomous
Surface Ships (MASS) and is characterized by vessels that function either semi-
autonomously or fully autonomously. The national and international regulatory
bodies that are responsible for various aspects of safety, liability, and compensation
for MASS are still discussing the use and parameters of this technology. The
projected outcome is for MASS to be used for short voyages from one port to
another (UN Transportation Report 2021).
However this technology is implemented, there is likely to be a significant

reduction in overall staffing needs that will change the face of labor in international
shipping. China is projected to become the world leader in autonomous maritime
vessels by 2025. This projection is based on the thousands of patents that are being
rapidly registered, by both private corporations and academic institutions, in recent
years. The Chinese government has also supported MASS ships by creating a
300 square mile area in Guangdong specifically for conducting sea trials with
these autonomous vessels (O’Neill 2021).
The Environmental Impacts of Marine Shipping
Annual estimates are that 150,000 tons of crude oil is accidentally released into the
environment each year. Although this figure seems large, it is only about 2.5% of the
total pollution released into the world’s oceans. While images of birds and other
marine life covered in oil come to mind, most oil spills occur on the high seas and are
often improperly cleaned up. Perhaps worse than catastrophic spill events are the
toxic sludge of chemicals that are routinely flushed from ship’s holds as part of the
cleaning, and degassing process on large vessels that amounts to about 1.8 million
tons per year of this toxic albeit less apparent, and potentially more damaging, type
of contamination (Delestrac 2016). Container ships continue to be produced in larger
and larger sizes, a function of price reductions through economies of scale. As a
result of the gargantuan size of container ships, port locations are constructed far
from population centers to accommodate for the deeper drafts of vessels and the
infrastructure needed to service them. At the time of writing, the Ever Given was the
largest container ship in the world and made history by blocking the Suez Canal.
With a cruising speed of 22.6 knots, a width of 61.53 m and 400 m long, the ship has
a capacity for 24 rows of side-by-side containers and 23,992 twenty-foot equivalent
units (TEUs) (Marine Insight 2021).
Invasive species are another concern associated with the industry. Non-native
flora and fauna are transported to new environments and can foster ecological crises,
habitat loss, species extinction, and human health dangers that can often never be
undone. Invasive species are often transported when ships pump in thousands of
gallons of water into their ballast tanks when they do not have cargo in their holds.
They then may travel thousands of miles away across an ocean to load a container
shipment. After they are loaded, they will then pump out the water from across an
ocean, inadvertently releasing invasive species in the process. These new plants,
bacteria, or animals may survive and flourish if the new habitat is similar enough to
that of their prior environment. Without natural predators, these new organisms may
outcompete native species and impact the environment in complex, sometimes
catastrophic ways. The cost to the US economy alone for invasive species is
estimated at approximately 120 billion dollars per year and is contributing to the
decline of about 42% of endangered species (Delestrac 2016).
While shipping is an extremely efficient form of transportation overall, global
supply chains often require long distance transport from one place to another without
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Table 3 Selected Environmental impacts of shipping References

environmental impacts of
Climate change Martins et al. (2019)
shipping with bibliographic
sources Invasive species Bailey (2015)
Marine mammal strikes Pirotta et al. (2019)
Greenhouse gas emissions Olmer et al. (2017)
Toxics in ballast water Naik et al. (2019)
Bunker fuel combustion Willner (2021)
Oil spills Chen et al. (2019)
Ocean acidification Romera (2021)
Underwater noise Halliday et al. (2020)
Air pollution Canon (2021)
taking into consideration externalities like greenhouse gas emissions. For example,
apples grown in Chile are transported to the United Kingdom. The estimated carbon
footprint for this food to make the journey is 0.54 kg CO2e/kg apple, with the ocean
shipping accounting for 39.2% of the total emissions. This type of calculation is not
generally completed or reported. However, this information could be made available
to people in stores to improve purchasing decisions based on environmental consid-
erations (Iriarte et al. 2021). Table 3 provides additional ecological impacts, includ-
ing references.
The Jevons Paradox: Sustainability and the Problem of Efficiency
At present, most international efforts to reform shipping are focused on reducing the
industry’s ecological impacts through increased efficiencies and new technologies.
There is general international consensus that greenhouse gas emissions must be
reduced to the specific targets outlined by the UNFCCC, as new data emerge. Most
of the current efforts to reach emissions targets have thus far focused on improving
shipping efficiencies as the primary mechanism for environmental preservation. For
example, the International Maritime Organization’s efforts to reduce emissions
support a variety of initiatives that increase efficiencies through cutting-edge tech-
nologies. In the shipping industry, there are six principal ways that efficiencies are
being considered to meet the UN target reductions for a 50% decrease in emissions
by 2050. These efficiencies include: (1) Hull designs, relate to weight, shape, and
dimensions that can reduce resistance and increase performance. (2) Economies of
scale where larger and larger ships are being constructed for an overall reduction in
energy savings. (3) Power and propulsion systems where waste heat is recovered in
addition to reducing onboard energy demands by efficient devices as well as the use
of kites and sails. (4) Speed concerns hydrodynamic boundaries that reduce resis-
tance and lead to less use overall. (5) Fuels and alternative energy sources relate to
all types of alternate fuel mixtures that cut down on emissions including HFO-MGO,
liquefied natural gas (LNG) biofuels, hydrogen, solar, and wind. (6) Weather routing
and scheduling adjusting routes, speeds to factor in wave, current, weather, and other
conditions that impact fuel use (Bouman et al. 2017).
There are several basic questions that must be asked when considering the
relationship between efficiency and sustainability to determine how, within an
extremely limited timeframe, the global economy can cut emissions in half within
less than a decade. We must ask: Can increases in efficiency be sufficient to reduce
greenhouse gas emissions to levels considered safe by the scientifically established
consensus, particularly as these and other industries expand? Can the current fossil
fuel-based shipping industry redesign new vessels and maritime practices in such a
way as to meet the necessary emissions reduction targets? To consider potential
answers to these questions, it is helpful to briefly examine the history of technolog-
ical innovation a century ago as a means of better understanding the relationship
between efficiency, resource use, and technology beginning with Taylorism and
concluding with the Jevons paradox.
Since at least the time of Fredric Winslow Taylor’s 1911 book: Principles of
Scientific Management, the concept of maximizing the efficiency of workers through
carefully examining their movements in the workplace, through time and motion
studies, became a crucial task. While the conventional task of management was to
drive worker’s wages down in order to increase overall profits, Taylor argued that as
a key component of increasing profits for employers was through efficiency. So
successful was Taylor that the term Taylorism remains a proxy for efficiency in the
workplace. While perhaps naive to political economic power relations, he argued
that the fundamental tensions between workers and owners could be at least partially
eased through scientific management of the workplace in order to generate both
greater profits for factory owners and increased wages for workers through effi-
ciency, leading to better working and living conditions for everyone. In Taylor’s
writings, there seems to be a rudimentary environmental awareness of scarcity. His
promotion of efficiency, while ethically problematic from a labor standpoint, was
partly an effort to reduce demand for finite resources. Taylor lamented the loss of
coal, copper, top soil, forests, and called for greater thought and imagination to be
directed towards finding ways of using resources in more efficient ways (Taylor
1919).
At the theoretical root of many questions of sustainability, within modernity, lies a
simple question: Do increases in efficiency, through technological innovations or
other means, lead to a decrease in resource use? For concrete examples, an old
example could be the technological improvements in coal burning steam engines
that allowed for greater efficiency per unit of coal, in the 1700s in Europe. A modern
example could be hybrid cars, LED light bulbs, or the ever-increasing size and
efficiencies of modern container ships. This crucial theoretical question was first
identified, and then largely answered, by economist William Stanly Jevons, an
eclectic intellectual of the eighteenth century who studied Britain’s coal reserves at
a time when coal-powered steam engines were rapidly being technologically
improved for greater efficiencies. Jevons was best known for his work as a neoclas-
sical economist, but his lesser-known book: The Coal Question identified a crucial
issue of efficiency and fuel use that remains crucial for considering issues of
814 E. N. Shenkin
environmental sustainability. While there were a variety of inaccuracies and exag-

gerations, Jevons’ intellectual contribution, that later became known as the Jevons
paradox, was in Chap. 7 titled: The Coal Question.
Jevons observed that with each new advance of technical efficiency in steam
engines, the economic growth that ensued by greater efficiency was simply
channeled back into the economy and thus required ever more coal use has been
considered, often at the margins, of the disciplines of ecological economics, and
environmental sociology and has become Jevons paradox, also known as “the curse
of energy efficiency.” While the casual reader might dismiss this point as anachro-
nistic, similar dynamics have been observed in the mid 1970s in the United States
where the introduction of more fuel-efficient cars increased the number of miles
driven and the amount of fuel used. While the number of cars eventually doubled
(Clark and Foster 2001).
There are additional examples of the Jevons paradox, but the crucial point to
consider, in respect to marine shipping, is that despite technological advances that
may indeed increase efficiency, overall energy use may still rise because additional
energy saved within a growth-based economic system, will simply be redirected into
making more and larger shipping vessels, or into other sectors of the economy,
causing additional environmental impacts. The use of the Jevons paradox remains a
key line of reasoning used by critical approaches to understand possible exit
strategies from ecological crises. In addition to questioning technological fixes to
environmental problems, critical approaches question other green-capitalist solu-
tions including combating climate change through techniques such as releasing
sulfur dioxide into the stratosphere or other geoengineering schemes (Nature
2021). The ethics of deploying untested technologies on a planetary scale are deeply
problematic given the anti-democratic nature, scale of the tests, and the irreversibil-
ity of harm should these experiments fail or have unintended consequences.
Conclusion and Recommendations
The chapter provided a brief overview of the modern shipping industry and
highlighted one possible alternative that uses sail to reduce environmental impacts.
After feasibility studies, state and nongovernmental entities, particularly wealthier
nations, could support sail cargo initiatives, first as pilot projects, and later with
larger investments, including safer working conditions for professional crew that are
unfortunately not the norm for many seafarers at present. In the short term, sail and
particularly hybrid drive systems, vessels that utilize sail and engine or motors, could
be used for several purposes including interisland transportation in the Americans
and Caribbean region and as lower-cost marine science expeditions.
Sail cargo is lauded as a promising sustainable opportunity to meet SDGs.
However, based on empirical evidence and historical examples of the Jevons
paradox, sail vessels are unlikely to replace fossil fuels for marine transport unless
the cost of bunker fuel becomes prohibitively expensive or if states impose carbon
fees, taxes, policy initiatives that change incentive structures of the marine cargo
industry. Therefore, this chapter cautions against considering technological

approaches to the problem as “silver bullets” solutions for addressing sustainability
solely by increasing efficiencies to manage ecological crises.
This chapter provides several conclusions. First, there is general agreement that a
business-as-usual approach to relying on fossil fuels to maintain global supply
chains will be catastrophic for the environment. Second, the sail cargo industry
represents one pathway towards greater sustainability in shipping. Third, the chapter
argues that modern shipping greenhouse gas emissions are unlikely to decline even if
the sail cargo industry rapidly expands. This key finding is based on applying the
Jevons Paradox to the shipping industry. In other words, under current expansionary
trends in the modern shipping, sail cargo will likely be included in addition to, rather
than instead of, fossil fuels, and result in increased emissions overall, even with
technological improvements.
In the Americas and Caribbean Region, where sea level rise and drastic weather
events made worse by climate change are already devastating low-lying areas and
disproportionately impacting the poor. The implications are clear for Sustainable
Development Goals in the region: Diversify shipping practices to include carbon
neutral technologies, promote technology transfer, and include sail or hybrid-drive
vessels, when possible, to promote sustainable transport. A rapid transformation
towards renewables, in conjunction with much lower consumption patterns in the
Global North, could conserve the precious global carbon budget for emergencies and
allow future generations to develop robust sustainable development infrastructure in
the Global South with massive resources and technology transfers from the Global
North.
There is almost universal agreement that current practices within the shipping
industry need changes to meet the greenhouse gas emissions reductions and transi-
tion from a reliance on bunker fuel to low carbon alternatives. IMO is working with
the industry to set environmental, safety, and security standards that focus on
efficiency and technological innovation yet, many of the goals have little or no
significant penalties for companies that fail to meet these benchmarks (Steavenson
2022). Also, labor rights for seafarers are often extreme and dangerous for both crew
and the environment. Although there is widespread acceptance of the finite nature of
hydrocarbons worldwide, many countries around the world remain heavily reliant on
fossil fuels. Shipping by sail has a centuries-old track record as a reliable and
economically viable form of transportation for certain types of goods. The scientific
community is making the strongest warnings possible that hydrocarbon reserves
must be left in the ground to prevent further warming. Therefore, a radical shift to
renewable energy sources is necessary to avoid the worst consequences of climate
change out of control (Welsby et al. 2021).
Sailing technologies have made huge advances in recent years with new hull
designs, sail materials, and navigation software. As the price of hydrocarbons
continues to rise, sail will likely become more economically viable. The last decade
has witnessed small sail cargo organizations emerge around the world with efforts to
combine the technology for both environmental and profit motives. At present, the
industry is primarily made of small sail cargo companies that transport boutique
816 E. N. Shenkin
goods including chocolate, rum, and coffee (De Beukelaer 2023b). Smaller sail
cargo companies sometimes sell berths on their ships for short seven-to-ten-day
legs to nonprofessional crew that pay for the experience and subsidize the operating
costs of transportation. These crew opportunities are often marketed as a novel form
of tourism and environmentalism rolled into one by the organization (EcoClipper
2023).
A number of new sail cargo ships are only a few years away from completion or
have already been launched (De Beukelaer 2023). Future research on the practicality
of these sail cargo-based companies will likely reveal whether the industry is capable
of meeting at portion of the world’s shipping and supply chain needs. Additional
opportunities for sailing vessels include their use for ocean research and disaster
relief fostering greater scientific knowledge of the ocean and greater resiliency to
natural and human caused disasters. The incident where the Ever Given vessel
blocked the Suez Canal for 6 days from March 23–29, 2021, is a reminder of the
fragility of global supply chains. There is need to diversify shipping transportation
and port options (Ducruet 2022).
The prospect of diversifying the shipping industry to sail cargo ships may
improve environmental and labor conditions for workers at sea. While proven coal
reserves are the most plentiful remaining hydrocarbon resource on the planet, the
return to this technology for shipping would likely be disastrous carbon emissions
(Global Warming Index 2022), in addition to ecological and human health impacts
caused by sulfur dioxide from burning coal fuels.
Using sailing vessels remains promising for marine research projects that utilize
crowd-sourced citizen science to collect data in a cost-effective fashion. This
diversified funding model has the potential to empower everyday people to make
change and improve global understandings of ecological systems including climate
change, ocean acidification, microplastics pollution, and other pressing environmen-
tal issues. Nation-states around the world, particularly in the Global North, have seen
large scale-disinvestment of resources. For example, in the United States, the federal
budget for nondefense-related research and education dropped from around 15% in
the 1970s to 10% beginning in the 1980s under President Ronald Reagan (Hourihan
2014).
At present, the shipping industry is unlikely to invest in sail-powered vessels due
to the initial capital expenditures, financial risks, sunk costs, and profit imperatives
under a business-as-usual model. Instead, ship sizes is being boosted while improv-
ing navigational and engine technologies, experimenting with alternate fuel sources
and hull designs to increase efficiencies. Although fuel savings are likely to improve,
emissions overall are likely to increase as predicted by the Jevons paradox. There-
fore, wealthy governments, utilizing public and perhaps private investments, could
start developing sail-powered vessels and use them for marine science research,
including exploring parts of the seafloor around Greenland and polar regions not yet
fully mapped (NASA 2022).
Prototype sail vessels for research missions could be used to develop and improve
additional sail vessels to be employed by marine shipping industries. Data collected
from scientific expeditions could be useful for both researchers and the maritime
industry as practical engineering problems associated with safely operating sail

powered vessels with complex systems become standardized. The Unites States’
National Oceanic and Atmospheric Administration (NOAA) operates the country’s
largest fleet of survey and research vessels (NOAA 2022). All vessels are currently
powered by hydrocarbons. If NOAA, or other government agencies around the
world, began to shift budget priorities to encourage sailing vessels, these initiatives
could rapidly increase sail-powered vessel adoption for more sustainable global
supply chains.
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Brazilian Recyclable Waste Pickers
and Sustainable Development Goal
8 for 2030
André Cristiano Silva Melo ,

Verônica de Menezes Nascimento Nagata , and
Denilson Ricardo de Lucena Nunes
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 822
Characterization of RWP Activities in Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 823
The National Solid Waste Policy (NSWP) as a Reference to Contextualize RWP Activities
in Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 823
The Current Context of RWP Activities Within the Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 825
Characterization of RWP Activities According to Their Operational/Organizational
Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 827
Difficulties Faced During the Execution of RWP Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 833
The Sustainable Development Goal (SDG) 8 and the RWP Cooperatives in Brazil . . . . . . . . . . 833
Challenges and Opportunities for RWP in Brazil upon the 2030 Agenda . . . . . . . . . . . . . . . . . . . . . 837
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 844
Abstract
Among the Sustainable Development Goals (SDGs) proposed in the 2030
Agenda adopted by the United Nations, the SDG 8 emphasizes the importance
of promoting inclusive and sustainable economic development, employment, and
decent work for the population. In Brazil, the SDGs are implemented under the
United Nations Sustainable Development Partnership Framework (UNSDPF), in
which the country commits to the 2030 Agenda using its multiannual plan.
Hence, this chapter aims to present the socioeconomic, demographic, work, and
structural conditions that surround the recyclable waste pickers (RWPs) in Brazil
and how their activities contribute or are affected by the SDG 8 along with the
Brazilian regulation, thus highlighting the challenges and opportunities to
strengthen the sustainable development and decent work. To provide those
findings, it was conducted a literature search of national studies to characterize
A. C. S. Melo (*) · V. d. M. N. Nagata · D. R. d. L. Nunes

State University of Pará, Belém, Brazil
e-mail: acsmelo@uepa.br; vemenas@uepa.br; denilson.nunes@uepa.br

https://doi.org/10.1007/978-3-031-16017-2_69
822 A. C. S. Melo et al.
RWP activities and their current context in Brazil. In parallel, research was
conducted about the SDGs, the 2030 Agenda, and the Brazilian regulation related
to the topic of interest to support discussions. As a result, it was raised a list of
challenges related to the targets from SDGs 8.3, 8.4, 8.5, and 8.8 to accomplish
the 2030 Agenda and the opportunities to overcome them and increase the
valorization of RWP activities, potentially reducing environmental and leverag-
ing a sustainable economic development.
Keywords
Sustainable development · Sustainable goals · Decent work · Waste pickers ·
Recyclable waste · Brazilian pickers · Sustainability challenges
Introduction
In 2015 the United Nations (UN) adopted the 2030 Agenda with 17 Sustainable
Development Goals (SDGs). This Agenda defines a list of targets that UN members
must achieve through continuous actions and results that converge to the Goals. As
one of the UN members, Brazil must encourage public policies towards fulfilling
SDGs, which are also promoted by society, companies, and nongovernmental
organizations (NGOs). However, according to Gonzalez-Perez et al. (2021), Latin
America has presented structural problems over time that materialized into crises in
the social, environmental, and economic perspectives. These crises were amplified
by the COVID-19 pandemic, making all decisions and processes regarding the
compliance of the SDGs a real challenge.
Gonzalez-Perez et al. (2021) also conclude that the COVID-19 pandemic caused
an international market crisis. In addition to the pandemic scenario, Latin America
still faces deforestation, violence, deterioration of democracy, and economic fluctu-
ations, which are problems to be overcome only in a long and expensive process.
Shulla et al. (2021) agree that the impacts of the pandemic on the fulfillment of
the SDGs are long term and it is not certain how these impacts will occur or whether
the complexity of the solutions involves understanding the interconnection among
the different SDGs.
In particular, this text focuses on the fulfillment of the SDG 8 (Decent work and
economic growth), considering the 2030 Agenda and the pandemic scenario.
Anholon et al. (2021) present the pandemic as a relevant factor since it has generated
impacts in Brazil, such as the increase in poverty, informal work, gender manage-
ment, work conditions, etc., that decrease the chances of accomplishing the SDG 8.
In Brazil, the SDGs are implemented under the United Nations Sustainable
Development Partnership Framework (UNSDPF), which is responsible for planning
and coordinating actions according to the specificities of the UN member. As
presented in the UNSDPF 2017–2021 (UN 2016), Brazil commits to the accom-
plishments of the SDGs by prioritizing actions related to those goals in its
multiannual plan.
Brazilian Recyclable Waste Pickers and Sustainable Development Goal 8 for 2030 823
Fonseca et al. (2017) characterize activities entailed in recovering recyclable post-

consumption waste, aligning them with the corresponding Brazilian legislation.
According to the authors, the recyclable waste pickers (RWP) work in the selection
waste collection (SWC), the first step in recovering these materials. In addition, the
authors mention that the way the collection is performed influences the efficiency of
recycling objectives, which corresponds to the reduction of impacts in natural
resources extraction, thus resulting in effective, sustainable development.
Although the RWPs’ activities are essential, their conditions are not favorable for
decent work. According to Rocha and Francischett (2021), throughout history and the
globe, people who work with waste handling belong to a discredited proportion of the
population. This context also includes the current Brazilian activities in waste recov-
ery. The Brazilian federal legislation determines a minimum wage that fits a person’s
necessities. According to the Institute for Applied Economic Research (Instituto de
Pesquisa Econômica Aplicada – IPEA), the RWP’s average wage corresponds to 60%
of the Brazilian minimum wage. Furthermore, only 50% of RWPs are formally
employed and have their labor and social security rights guaranteed by law (Dagnino
and Johansen 2017). According to Dias et al. (2020), the COVID-19 pandemic
decreased almost all market activities, including waste recovery which reduced the
acquisition, collection, processing, and the commerce of recyclable materials, causing
a sudden loss of income to many of RWPs. Conversely, as defined by the International
Labor Organization (ILO), the UN considers decent work as one that provides
compensation proportionally to the activity performed, with social security guarantees,
and, mainly, no gender-based distinction, explicitly excluding child or forced labor.
Following the progression towards the accomplishment of Goals, it was discussed
how the activities of Brazilian RWP can contribute or be affected by SDGs 8.3, 8.4,
8.5, and 8.8 from the 2030 Agenda. The main aspects in this reflection constitute
valorization of RWP’s work in terms of salary/compensation, technical training,
work safety, the guarantee of labor rights and social security. It was also discussed
the strengthening of recyclable waste collection and selection activities to support
the recycling industry that aims to reduce environmental damage and increase
economic development.
Characterization of RWP Activities in Brazil
The National Solid Waste Policy (NSWP) as a Reference

to Contextualize RWP Activities in Brazil
The urban solid waste encompasses household waste and street cleaning activities,
which are collected by local services regulated in Law 12,305/2010 and Decree
7,404/2010 that established the National Solid Waste Policy (NSWP) (Brasil 2010).
However, what is the relevance of the National Solid Waste Policy to the current
recyclable waste pickers’ situation coming from the urban solid waste in Brazil?
One of the NSWP’s objectives is to integrate reusables and recyclable waste
pickers with actions that involve shared responsibility for the product life cycle
(Brasil 2010, Art.7o, XII). Data from the Solid Waste Diagnosis survey performed
by the Sanitation National Information System (Sistema Nacional de Informações
sobre Saneamento – SNIS) showed an increase in the quantity of solid waste
collected by RWP and the recyclables processing units also operated by RWP
collaborators.
In 2006, the number of recyclables collected by the RWP was 25.3% of all
materials (SNIS 2008), whereas this proportion was 35.2% in 2020 (SNIS 2021),
resulting in an approximate 10% increase. Similarly, there was an increase in the
proportion of recyclables processing units operated by RWP, from 11.85% in 2002
(SNIS 2004) to 17.8% in 2020 (SNIS 2021). These increases indicate a more extensive
integration of RWP groups in the urban solid waste management systems in Brazil.
One of the NWSP’s instruments focuses on stimulating the creation and devel-
opment of RWP collectives (Brasil 2010, Art.8 , IV). The NSWP enables the public
authorities to set inductive measures and funding channels that support the estab-
lishment of physical infrastructure and equipment purchases for RWP groups com-
posed of low-income people (Brasil 2010, Art.42, III). In addition, public authorities
may also establish norms that aim to provide tax, financial, or credit incentives to
projects related to product life cycle responsibility, mainly those in partnership with
RWP groups composed of low-income people (Brasil 2010, Art.44, II).
From 2002 to 2020, there was a significant increase in the number of RWP groups
and associates, being 84 entities and 4,758 associates in 2002 (SNIS 2004) and 1,677
entities and 35,700 associates in 2020 (SNIS 2021). This growth is interpreted as the
employment formalization of RWPs that were working before the NSWP, along with
other established legal devices, for example, the 1988 Federal Constitution and the
international commitments from Rio Conference in 1992, the National Program
(Programa Nacional de Educação Ambiental – ProNEA3) in 1994, the National
Environmental Education Policy (Law 9,795/1999), and the Federal Basic Sanitation
Policy (Law 11,445/2007 e 14,026/2020).
However, the creation and encouragement of RWP groups already occurred in the
whole country. For example, there was the ecological Brazilian excise tax
established in 1999, in the state of Tocantins, north of Brazil, which spares taxes
in recycling activities in the state as well as the funding for the formalization of
recycling cooperatives in the state of Rio de Janeiro since 2002 (Nepomuceno
Sobrinho 2006). In Minas Gerais, southeast of Brazil, besides the ecological excise
tax established in 1997, Law 13,766/2000 supports the selective solid waste collec-
tion, especially in municipalities with less than 20,000 population. Moreover, the
Regulatory Deliberation COPAM 52/2001 calls the municipalities for the environ-
mental licensing of adequate systems for solid waste disposal (Assis 2007).
The NSWP nationally established the RWP groups as part of urban solid waste’s
management system, promoting the creation and organization of the system and
envisioning mechanisms for support, structuring, and tax incentives that assist its
operation. The NSWP also set each state’s solid waste planning to have goals for
eliminating and recovering waste dumps that favor social inclusion and the eco-
nomic independence of RWP (Brasil 2010, Art.17, V). In addition, each municipal-
ity should design its own integrated solid waste management plan, including
implementing selective waste collection, with the participation of low-income RWP

group members (Brasil 2010, Art.18, II). Municipalities must also execute programs
and actions that engage the participation and the hiring of RWP groups composed of
low-income people (Brasil 2010, Art.19, XI). The establishment of organic
composting systems should prioritize and hire RWP groups composed of
low-income people (Brasil 2010, Art.36, V).
Both municipalities and states must have actions that consider RWP groups to
obtain resources from the Federal Government to promote urban solid waste manage-
ment actions in their territories. An approximate 6% increase in the RWP cooperatives
or associations participating in the operation of recyclables processing units of urban
solid waste (SNIS 2004, 2021), being 10% in the selective recyclable collection,
confirms that there are still opportunities for municipalities and states to promote
actions to increase the RWP participation in urban solid waste management activities.
Those results also indicate an open possibility of implementing and structuring
activities of composting units, which represent 1.5% of all RPU of (SNIS 2021).
Regarding private organizations, the NSWP allows manufacturers, importers,
distributors, and vendors to partner with RWP groups to implement reverse logistics
(RL) systems (Brasil 2010, Art.33, III). Companies are not obligated to seek existing
RWP networks; hence, they form partnerships that exclude RWP from their RL
systems, for instance, collaborations between manufacturers and managers of private
locations (e.g., malls and drugstores) to set up Ecopoints for waste disposal (e.g.,
electronics and expired medicines). Another solution adopted by large manufac-
turers is the development of RL systems that encourage consumers to bring waste to
the Ecopoints and exchange them for several credit options, discounts, or other
products. This approach eliminates opportunities for inserting RWP in those sys-
tems, preventing the increase in the quantity of waste they collect and their income.
At the municipal level, some actions can avoid this behavior of large manufac-
turers and favor the integration of RWP in RL systems. For example, in Porto
Alegre-RS, south of Brazil, large businesses (e.g., malls or supermarkets) that
apply for an environmental license must separate their solid waste at the generation
site and use the selective waste collection for recyclable material disposal; then the
waste is allocated to RWP groups in partnership with the City Hall; this prompts
projects for income generation in the municipality (Andersson 2005) and enables
increased participation of RWP groups in the urban solid waste management system.
The Current Context of RWP Activities Within the Literature
Considering the establishment of the NSWP in 2020 as a time reference to charac-

terize the current situation of RWP activities, a literature search was performed in
Google Scholar using four sets of keywords displayed in Table 1. It was sought by
national publications (Brazil); hence, it was used the Portuguese version of string
terms in the search engine.
When using the term “solid waste pickers” (Brazilian-Portuguese [BR-PT]:
“catadores de resíduos sólidos”), it was found that 168 studies were published
Table 1 Overview of research interests on the urban solid waste pickers’ activities (number of
publications)
Search query terms
(Portuguese version) Until 2010 From 2011 to 2022 Relative increase (%)
“solid waste pickers” 168 1.120 667
(“catadores de resíduos sólidos”)
“solid waste pickers” 67 576 860
AND “work conditions”
(“condições de trabalho”)
“solid waste pickers” 83 709 854
AND “acknowledgement”
(“reconhecimento”)
until 2010, and 1,120 from 2011 to 2020, representing a sevenfold increased interest
in the literature research compared to the previous period. In Oliveira (1997), one of
the earliest publications, the author briefly mentions the waste pickers in “. . .could
use the workload of waste pickers that reside in the city” (Oliveira 1997, p. 86; own
translation) as an alternative to the implementation of an inter-municipal urban solid
waste management consortium in 16 municipalities from the countryside area of São
Paulo, southeast of Brazil. Research from the United Nations Children’s Fund
(UNICEF) in 1999 estimates that in 100 Brazilian municipalities, including state
capitals, waste pickers are working in landfills and dumps. In 96 municipalities,
waste pickers are working on the streets, which confirms the existence of their
indiscriminate work in the country (Forum 1999) and the presence of RWP associ-
ations and cooperatives since 1985 (Andersson 2005). Due to the urbanization
process, the universe of RWP has increased rapidly, and now it represents approx-
imately 800 thousand professionals, according to the National Movement of Recy-
clable Waste Pickers – MNCMR (MNCMR 2020).
When querying for “solid waste pickers” ([BR-PT]: “catadores de resíduos
sólidos”) AND “work conditions” ([BR-PT]: “condições de trabalho”), it was also
found a high relative increase between the two periods: 67 studies were published
until 2010, whereas 576 were performed from 2011 to 2022.
Negative aspects, such as the presence of waste pickers (adults, children, and
residents) in waste dumps, compose approximately 60% of the social segregation
index (Deus 2000). On the other hand, positive aspects, such as the presence of
authorized or employed waste picker in separation and recycling stations, add up to
28% of the index, considering data from Rio Grande do Sul, south of Brazil. In 2002,
there were 76 children and youth less than 14 years old performing RWP activities,
according to the Solid Waste Diagnosis survey with the participation of 108 munic-
ipalities (SNIS 2004).
In addition, another negative aspect is that the RWP’s work conditions are a risky
activity both in terms of safety and health concerning the work environment (Deus
2000), such as exposure to the risks of accidents caused by the lack of training and
adequate working conditions, inadequacy of technology used (Ferreira and Anjos
2001), and the lack of personal protective equipment (Alves et al. 2021; Cardoso et al.
2021) as well as the risks of contamination by direct contact to the waste (Leon 2003).
When querying for “solid waste pickers” ([BR-PT]: “catadores de resíduos sólidos”)
AND “acknowledgment” ([BR-PT]: “reconhecimento”), it was found a high relative
increase comparing the periods before and after 2010: 83 studies were published until
2010, and 709 were performed from 2011 to 2022. The social acknowledgment of RWP
activities as value-generation activities, the waste adding value, and their potential of
improving the production flow contribute to increasing the less-valuable waste, resulting
in gains for the RWP (Rancura 2005). The 20fold higher number of RWP groups and
the almost eightfold increase in the number of RWP associates from 2002 to 2020
(SNIS 2004, 2021) represent the acknowledgment of their activities’ environmental
importance to municipalities’ better income and future perspectives to RWP.
The RWPs are organized within those groups, represented by an entity that grants
them an identity as professionals. With this representativeness, the RWPs are possibly
acknowledged as class unions by public or private organizations, thus promoting
potential partnerships, funding, and tax incentives, which are remote benefits to an
individual RWP. The accreditation of the recyclable waste picker as an occupation in
the Brazilian Occupational Classification (Classificação Brasileira de Ocupações –
CBO) since 2002 symbolizes the efforts and attempts from RWP groups to the
acknowledgment of their socio-environmental role by the Brazilian society.
However, in many municipalities, all recycling-related activities have been
performed informally by RWP in a vicious and historical cycle, which makes these
professionals socially invisible despite being physically visible (Alves et al. 2021).
Instead of expanding formal and decent jobs, protecting labor rights, and promoting
safe work environments for RWP, the current Brazilian public policies have institu-
tionalized the informality of these workers. The Brazilian regulation that encourages
creating and contracting the RWP cooperatives as a priority to work in the waste
management chain is a real example of these policies (Silva Neto 2021).
From the literature and national data surveyed, different characteristics among the
Brazilian RWP were found, especially concerning regional and location issues.
However, there is also a common sense that they constitute two distinct groups of
organization or action, namely, individual and group RWP, which will be defined in
the next section.
Characterization of RWP Activities According to Their Operational/

Organizational Form
From the theoretical background and a national perspective, one can note that the RWP
universe presents highly heterogeneous characteristics, especially when regional or
locational aspects are considered. However, there is an agreement that this universe
comprises two distinct groups in their organizational form: the individual and the
group RWP.
Individual RWP performs waste picking activities in the streets, waste dumps,
waste disposal zones, and controlled landfills without connection or relationship
with any organization (Gusmão 2005; Rancura 2005; Cruvinel et al. 2017). Individ-
ual RWP values their autonomy regarding their working hours (Andersson 2005)
and their workload management (Rancura 2005).
RWP groups are associations or cooperatives of waste pickers that work in their
own central offices or the streets, performing door-to-door collection (Carvalho et al.
2021). Those professionals are generally involved in the municipality’s actions of
waste collection and are granted the operation of processing units such as the waste
dumps, landfills, sorting, and composting units (SNIS 2004, 2021).
Based on the theoretical background from the literature research, it was listed the
sociodemographic and socioeconomic aspects and the working conditions of RWP
activities, before and after the establishment of the NSWP, according to their form of
organization (Tables 2, 3, and 4). Table 2 displays the sociodemographic aspects of
individual RWP and RWP groups, analyzing their division of work by gender, age,
and level of education.
Table 2 Comparison between sociodemographic aspects of RWP activities before and after the
establishment of NSWP, according to their form of organization
Before NSWP After NSWP
Sociodemographic Organizational form Organizational form
aspects Individual Group Individual Group
a a
Gender 83.9% are male, 67.3% are 2/3 are male 2/3 are male
and 16.1% are female (Silva et al. (Silva et al.
female (Andersson 2013; Dagnino 2013; Dagnino
(Rancura 2005) 2005); and Johansen and Johansen
a a
31.1% are 31.1% are 2017) 2017)
female (IBGE female (IBGE 59.9% are
2012) 2012) female (Mota
2017)
Age 61.3% are over 39.4 years old 43.7% are 46.7% are
40 years old (average) (IBGE between 18 and between
(Rancura 2012) 35 years old; 30 and 49 years
2005) 46.5% are old (Silva et al.
between 36 and 2013)
55 years old,
and 9.8% are
over 56 years
old (Cruvinel
et al. 2017)
Level of education 41.9% have not 20.5% are 62.2% have 17.6% are
finished illiterate, 24.6% finished illiterate,
primary or have finished secondary 23.9% have
secondary secondary school finished
school, and school, and (Cruvinel et al. secondary
61.3% reported 11.4% have 2017) school, and
knowing how finished high 10.8% have
to read and school (IBGE finished high
write (Rancura 2012) school (Silva
2005) et al. 2013)
a
Informed data does not distinguish if the RWP is individual or associated with a group
Table 3 Comparison between socioeconomic aspects of RWP activities before and after the
establishment of NSWP, according to their form of organization
Before NSWP After NSWP
Socioeconomic Organizational form Organizational form
Social security 95% are not 57.9% 88.22% do 63.1%
covered by contribute to not contribute to
social security social security contribute to social security
(Gusmão 2005) (IBGE 2012) social (Silva et al.
security 2013)
(Cruvinel
et al. 2017)
Average monthly 51.7% have Reports average 65.69% have Reports average
income average income income to be an average income to be
greater than one greater than one income lower lower than one
minimum wage minimum wage than one minimum wage
(Rancura 2005) (IBGE 2012) minimum (Silva et al.
Reports average Average wage 2013; Anuário
income to be income is (Cruvinel da Reciclagem
greater than one greater than one et al. 2017) 2021)
minimum wage minimum wage
(Gusmão 2005) for cooperative
members
(Nepomuceno
Sobrinho 2006)
Representativeness For 54.8% of – 83.27% are RWP is the
of RWP activities in waste pickers, only RWP mainly paid
monthly income RWP activities and do not activity (Silva
are a have other et al. 2013;
complementary occupations Dagnino and
income (there (Cruvinel Johansen 2017)
are other income et al. 2017) For 84.1%,
sources) RWP is the
(Rancura 2005) primary source
of income
(Mota 2017)
Working Informality is – – There are
relationships mostly present informal work
(formal/informal) (Henares 2006) relationships
(Mota 2017)
Regarding work division gender aspects, there is a predominance of male waste

pickers as individual RWP before and after the establishment of the NSWP. RWP
groups are composed mostly of female waste pickers. Those differences are justified
by physical distinctions between gender and the environmental conditions of their
activities: individual RWPs are most of the time working in the streets, exposed to
weather conditions, and extra working hours.
The average age of individual RWPs slightly decreased after the establishment of
the NSWP, with a similar proportion of individuals between 18–35 (43.7%) years
Table 4 Comparison between working condition aspects of RWP activities before and after the
establishment of the NSWP, according to their form of organization
Working Before NSWP After NSWP

condition Organizational form Organizational form
Average 38.4 h/week – 49.38% work 94.78% work
workload (Rancura from 4 to 8 h/day, from 4 to 8 h/day
(hours/ 2005) 20.05% work (Cruvinel et al.
month, 20 days/ from 8 to 10 h/day, 2017)
days/month) month and 23.9% work
(Gusmão more than 10 h/
2005) day (Cruvinel
Up to 12 h/ et al. 2017)
day or even
during
all-night
hours
(Henares
2006)
Health and No use of Inexistent healthy 53.53% of 91.3% of workers
safety personal and safe work workers wear wear personal
protective conditions for personal protective
equipment both RWP protective equipment, and
such as associations equipment, and 33% have already
gloves, boots, compared to better 19.03% have suffered a
and masks conditions for already suffered a workplace
(Henares RWP workplace accident (Cruvinel
2006) cooperatives, accident (Cruvinel et al. 2017)
allowing them to et al. 2017) Gloves, aprons,
perform their and other personal
activities with protective
safety and dignity equipment are
(Nepomuceno provided by the
Sobrinho 2006) municipality’s
Uniforms, rubber secretary of urban
boots, and masks development
provided by the (Vieira and
cooperatives; the Santana 2022)
city hall provides
and applies
tetanus and rabies
vaccines
(Gonçalves et al.
2013)
Technology 51.4% of Workers use their – Workers use
and workers drive personal or a trucks to collect
equipment traction carts partner’s waste and transport
to collect transportation waste; they also
waste device (public or have tables and
(continued)
Table 4 (continued)
Working Before NSWP After NSWP

condition Organizational form Organizational form
(Rancura private) bags for sorting
2005) (Andersson 2005), waste; presses;
such as carts or manual carts; and
small trolleys computers with
(Nepomuceno Internet access
Sobrinho 2006) (Mota 2017)
old and 36–55 (46.5%) years old. In RWP groups, significant changes are not
observed, with an average age of approximately 40 years in both periods.
Finally, when analyzing education, it was observed that individual RWP pre-
sented low levels of education (incomplete primary or secondary school) both before
and after the implementation of NSWP. On the other hand, RWP groups showed
higher educational levels compared to individual RWP, which did not show consid-
erable changes in both periods, with approximately 11% of those waste pickers
having a complete high school degree.
Table 3 presents the changes in socioeconomic aspects of individual RWP and
RWP groups in terms of social security coverage, average monthly income, the
representativeness of RWP activities in monthly income, and the working relation-
ships before and after the establishment of the NSWP.
The two organizational forms are very distinct in terms of social security aspects.
Any social security benefits did not cover most of the individual RWP before (95%)
or after (88.22%) the establishment of the NSWP. However, the RWP groups
increased their social security coverage by about 5% (from 57.9% to 63.1%) after
the new regulation was introduced. Despite different realities, both groups reflect a
specific historical Brazilian evidence. In Brazil, there is no adequate social policy for
vulnerable groups, such as the RWP.
The average monthly income in both organizational forms was mostly higher than
the minimum wage before NSWP. However, this proportion decreased after the new
policy, indicating a loss in the average income. To analyze this indicator, it is
necessary to consider macroeconomic aspects such as the loss of purchasing
power that Brazilians have accumulated recently, when inflation exceeded salary
readjustments, thus decreasing the ability to purchase goods and services. The most
vulnerable categories of society, such as the RWPs, are immediately affected. Public
policy proposals to deal with the situation are again insufficient, non-inclusive,
temporary, and, therefore, inadequate.
The representativeness of RWP activities in the monthly income also changed.
After the establishment of the NSWP, RWP activities were more often the main
occupation for RWP individuals compared to the previous period. It was not
possible to make this analysis for RWP groups; however, it was deduced that, as
in individual RWP, those activities also compose high representativeness in
occupation for those waste pickers. Two factors may explain the increase of
representativeness in the monthly income of the waste picker activity. The first
is related to the growing increase in the mass of solid waste collected by RWP,
from 25.3% in 2006 to 35.2% in 2020 (SNIS 2008, 2021). Furthermore, in recent
years, the worsening of economic issues in Brazil decreased the generation of jobs
and increased unemployment. Finally, as the recyclable waste collection activity
demands low qualifications, many recently unemployed people have perceived
the RWP’s activity as the one option for survival.
Finally, there was insufficient data to assess the impacts or changes in working
relationships due to the NSWP establishment. However, it can be deduced that both
organizational forms present informal employment, i.e., working activities that are
not covered by the current labor law. Thus, there is no adequate policy for recyclable
waste treatment and recognition of the importance of RWP and their environmental
services.
In Table 4, the working condition aspects of individual RWP and RWP groups are
presented, concerning average workload (hours/month; days/month), health and
safety, and technology and equipment used in activities before and after the estab-
lishment of the NSWP.
For RWP individuals, significant changes were not observed in the workload,
which is defined from 8 h/day to a maximum of 12 h/day. Due to insufficient data
before the NSWP establishment, it could not evaluate the changes in workload for
RWP groups. However, it can be deduced that those waste pickers have a less
exhausting workload, varying from 4 to 8 h/day.
There was an increase in the proportion of personal protective equipment (PPE)
use in individual RWP, 54% after the NSWP establishment compared to no utiliza-
tion before the policy. Within RWP groups, RWP cooperatives provided workers
adequate PPE, whereas RWP associations did not report using this equipment. After
the policy institution, RWP groups reported a 91% proportion of PPE use. Moreover,
regarding the incidence of work accidents, RWP individuals (19%) reported a lower
proportion of accidents than RWP groups (33%) after the establishment of
the NSWP.
Deus (2000) brings evidence and reflections about the working conditions of
RWP as high-risk activities in both safety and health perspectives due to the waste
dumps and street environments those workers are exposed to daily. Ferreira and
Anjos (2001) remark that this exposition comes from the high risk of work accidents
due to the lack of training and adequate working conditions and inappropriate
technology. In addition, the risks of contamination due to direct contact with the
waste increase the probability of acquired infectious and parasitic diseases such as
leptospirosis (Leon 2003).
The technology available for RWP comprise only small traction-driven carts,
generally handled by human or animal force, which travel around the city
collecting dry waste and recyclables (Rancura 2005). RWP groups have motorized
carts owned by them or from partners, used to collect and transport waste material.
Those groups also have tables and bags for sorting materials and presses to
compress waste.
Difficulties Faced During the Execution of RWP Activities
Before the NSWP establishment, the main difficulties for individual RWP were the
long distances traveled. In addition to the struggle to find and collect waste, those
waste pickers had to carry additional weights for long distances, also facing reduced
prices of those materials from buyers (Rancura 2005).
For RWP groups, those difficulties were apparently reduced. Before the NSWP
establishment, the main obstacles were management issues, such as lack of self-
organization and autonomy (education, knowledge, and skills) required to properly
operate the cooperatives (Brandt et al. 2004; Andersson 2005), including the absence
of a person to manage the activities (Henares 2006). Additional issues were also
related to the lack of a work routine, with lack of work commitment and safety.
Regarding financial aspects, there were challenges such as the reduced availabil-
ity of waste (Andersson 2005), low prices of waste collected and sold by interme-
diate players, and absence of proper infrastructure and financial resources to execute
activities (Nepomuceno Sobrinho 2006). Challenges in the waste market indicated a
shortage of companies interested in obtaining certain wastes, long distances between
RWP and the potential purchaser, and the low sale prices of waste defined by the
bargaining power of purchasers (Henares 2006). Both individual RWP and RWP
groups face similar difficulties in terms of the low availability of waste, mainly due
to the increase of RWP to collect those materials and the low sales price paid by
purchasers.
After the establishment of the NSWP, RWP groups list as difficulties the high
turnover rates of members, the low educational levels, the informal work relations,
the lack of technical training for waste pickers, and the low financial assistance
(Mota 2017). For those groups, the low education levels of waste pickers impact the
management and operation of the cooperatives. There is still struggling to reduce the
informal work relationships without guaranteeing labor rights, such as paid vaca-
tions, paid work leaves due to health conditions, and maternity/paternity leave. This
informality mainly hinders the achievement of better and decent working conditions
for RWP.
The Sustainable Development Goal (SDG) 8 and the RWP

Cooperatives in Brazil
Generally, the SDG 8 promotes decent work as a driver of sustainable development

since it enables income generation for individuals and their families, which will
consume and propel the local economy. Furthermore, decent work for every
individual reduces inequalities and increases resilience, simultaneously favoring
the transition to a more sustainable economy. Finally, the dignity, the hope, and the
perception of social justice, resulting from decent work, assist the development and
maintenance of a social peace environment (OIT 2017).
From a brief reflection about the SDG 8, it was identified the following aspects
related to the characterization of decent work:
• Minimum compensation above the poverty threshold

• Acknowledgment of certain professional activities as formal jobs
• Guarantee of labor rights and social security
• Promotion of safety and health in work environments
• Reduced gender inequalities
• Youth employment generation
• Elimination of forced and child labor
According to Rocha and Francischett (2021), the RWP work condition is fre-
quently associated with work informality dynamics, often being part of many forced
labor situations. Pochmann (2008) asserts that this historically derives from the
excess workforce available according to capital needs. Consequently, the companies
that hold the capital goods also own the production and the informal work, only
paying for the products and simultaneously removing social costs and employment
relationships regarding the work (Alves and Tavares 2006).
The association between RWP activities and the urban solid waste impacts
explicit issues related to large waste amount production, accumulation, and con-
sumption. The RWP work activities are associated with a specific type of “social
invisibility.” They are historically related to peripheral areas within municipalities
and poverty, which have socially followed the identity of those workers, still forming
barriers to the adequate professional formalization of those activities by the society
(Rocha and Francischett 2021).
Furthermore, according to Romero (2017), those professionals are frequently
exposed to unhealthy environments and work conditions, responsible for the
increase in adverse events and occupational diseases. The main types of environ-
mental agents are physical (e.g., gas and odors emanating from waste, dust, exces-
sive noise, exposure to cold, heat, smoke, and carbon monoxide); chemical (e.g.,
liquids leaking from batteries, oil and grease, pesticides, herbicides, solvents, paint,
cleaning products, cosmetics, medicines, aerosols, heavy metals such as lead, cad-
mium, and mercury); biological (pathogenic microorganisms such as virus, bacteria,
fungus); accidental agents (piercing and cutting materials, glass, wood chips, sharp
objects); ergonomic (inadequate posture, excessive vibration as well as manual and
repetitive movements); and psychological/emotional (overload of activities in a short
amount of time; monotonous activities and low motivation; conflicts of roles and
responsibilities; absence of control of the situation – others make the decision; lack
of social support; and poor working system). The author also mentions that the
exposure and vulnerability of RWPs in high-risk situations are related to cognitive,
economic, political, behavioral, situational, and social conditions, becoming crucial
to deeply understand the relations between the perception of occupational hazards
and the possibilities to reduce accidents and diseases among RWPs, which also
improves social indicators in RWP associations and cooperatives.
To revert this social stigma, it is necessary to assess RWP activities under a more
sustainable perspective, related to alternative solutions to the shortage of natural
resources and waste reduction and employment and income generation strategies
corresponding to a valorization of this activity. Hence, the economic development is
followed by environmental gains, and the dissociation between economic growth

and environmental damage would become real.
Silva (2017, p. 18) emphasizes that even though RWP are the most vulnerable
part of the recycling value chain, they are an essential agent in the whole recovery
process since the participation of private companies in the selective waste collection
is low. In this perspective, the challenge of acknowledging RWP by society may be
overcome, resulting in the minimum compensation above the poverty threshold and
guaranteeing labor rights and social security, which are still uncommon for this
professional.
In Brazil, the RWP is not a homogeneous occupation (Silva 2017). They
present a large diversity between professionals, mainly in terms of their life
experiences. Many of them are full-time RWP for many years, since their child-
hood, a career that their children follow since there are often no other options.
Others became RWP due to eventualities such as job loss. In addition, some
balance RWP activities with other jobs or even work as RWP between break
times from other jobs. Therefore, some RWPs have a regular daily or weekly work
routine, and some intercalate those activities in different time slots or different
workdays (Silva et al. 2013).
Brazilian RWPs also present variability in terms of their place of operation
(i.e., streets or random locations, in specific routes, at waste processing warehouses,
and waste dumps or landfills); the functional division of labor by gender (e.g., most
women work only in cognitive-related functions, whereas men work mostly in
physical-related functions); and the operational settings (i.e., types of collected
waste, technologies, and partnerships) (Silva 2017; Dagnino and Johansen 2017;
Pepinelli 2011; Romero 2017).
Therefore, based on the variability among RWP and its relationship with the SDG
8 previously discussed, it is presented additional comments related to the context of
RWP in Brazil.
Regarding the potential forms of practice and organization, Silva (2017, p. 10)
mentions that RWP started a collective mobilization in Brazil, which character-
izes them as a category with a certain level of social organization. Then, as they
become more engaged, they start to negotiate and discuss issues related to their
role and participation in social and professional activities. The results from this
mobilization are reflected in their collective organization as economic initiatives
and entrepreneurship and the government’s approval of new legislation and
regulation on solid waste management (SWM). Hence, in recent years, the
RWPs have engaged themselves in more grouping initiatives to join efforts
and broaden their mobilization capacity. Those actions have generated several
RWP associations and cooperatives throughout the country, aiming to overcome
structural barriers that prevent RWP from increasing their work valorization
(Silva 2017).
Recent legislation indicates that the purpose of RWP associations is not
economical, and their objective is to promote social, educational, cultural, and
philanthropic assistance and political representativeness and defend class inter-
ests. Otherwise, RWP cooperatives have an economic purpose. Their objective is
to facilitate a productive business of its members, and the commercialization

systems are shown as the most adequate means in an economic perspective
(Silva 2017). However, the RWP associations may also considerably contribute
to achieving RWP’s objectives in a social outlook. Other differences between the
association and cooperatives of RWP in Brazil are displayed as follows (Arantes
2015):
• Legislation – Law 9,790/1999 and Law 10,406/2002 (RWP associations) and

Law 5,764/1971 and Law 12,690/2012 (RWP cooperatives)
• Composition – at least two members (RWP associations) and at least seven
members for work cooperatives (RWP cooperatives)
• Social capital – no social capital (RWP associations) and composed by shares
(RWP cooperatives)
• Patrimony – society (RWP associations) and proportional to the subscribed share
capital (RWP cooperatives)
• Tax invoice issue – no tax (RWP associations) and yes, physical or electronic
(RWP cooperatives)
• Social security – not mandatory (RWP associations), and 11% of compensation is
transferred to social security [Seguridade Social – INSS] (RWP cooperatives)
• Social integration program [Programa de Integração Social (PIS)] – tax exempt
(RWP associations) and 0.65% of total revenues (RWP cooperatives)
• Social security financing contribution [Contribuição para o Financiamento da
Seguridade Social (CONFINS)] – tax exempt (RWP associations) and 3% of total
revenues (RWP cooperatives)
In Brazil, the operation of RWP in associations or cooperatives is a recent

event. It represents a turning point for those professionals, the first step to
changing waste pickers’ work organization in streets and waste deposits. The
adherence to collective and supportive forms increased the quantity and quality
of materials negotiated; hence, the RWP work valorization increased, which
results in more gains and enables direct trades to recycling companies, without
undergoing intermediate agents (Pinhel et al. 2011; Fé and Faria 2011; Pinhel
2013; Silva 2017).
Despite heterogeneous and poor labor (Cherfem, 2016) and lack of infrastructure,
management, and commercial conditions, Brazilian RWP associations and cooper-
atives have acted in a more representative way next to the State authorities. These
practices promote unicity, identity, and organicity to RWP groups. Hence, they
pursue better, safer, healthier, and more decent working conditions for men,
women, and the young, also seen as potential instruments for social insertion for
those professionals.
Despite Brazil’s advances to fulfill the SDG 8, there are still challenges and
opportunities for improvement that assist RWP to achieve more decent working
conditions established in the 2030 Agenda. Those opportunities are mainly regard-
ing the structural dimensions of Brazilian RWP activities, whose recent results and
analyses are presented in the following section.
Challenges and Opportunities for RWP in Brazil upon the 2030

Agenda
With less than one decade to accomplish the 2030 Agenda, it is necessary to reflect
on the current context and aspects of the SDG 8 and the present scenario of RWP in
Brazil.
There are two significant dimensions of problems to be solved. One is waste
management coverage, summarized in the effectiveness, volume, and efficiency to
collect waste with potential for recovering, thus reducing environmental damage and
increasing the generation of new employment and income. The other dimension is
related to the promotion of decent work. Once the challenges are noted, it is possible
to envision guidelines for sustainable opportunities to overcome them, i.e., directives
that convey actions that result in economic, social, and environmental gains.
Regarding the coverage of the waste management dimension in Brazil, its
characterization begins with the urban solid waste generation. Data from Abrelpe
(2021) and Abrelpe (2020) show that the generation of urban solid waste in 2020 and
2019 was about 82 and 79 million tons, respectively, a relevant increase compared to
the 66 million tons in 2010. Abrelpe (2020) prospectively estimates 95.9 million of
urban solid waste tons in Brazil in 2030.
After the generation, regular waste collection (RWC) begins. Abrelpe (2021)
estimated that RWC activity covered 92.2% of all volume generated in the country.
The composition of urban solid waste generated in Brazil in 2019 is displayed, with
their corresponding volumes of waste collected regularly this year (summing up to
79 million tons) and proportions.
From the volumes shown in Table 5 concerning recyclable materials, an overview
of the waste collection is summarized in Table 6, along with the volume estimates
collected, separated, and addressed to recycling (selective collection).
As observed in Table 6, only 6.93% of the recyclable waste was collected by
selective collection operations, i.e., in 2019, 26.99 million material tons (93.07% of
those regularly collected in the same year) which could be recovered were consid-
ered as scraps.
One should also consider in this amount the proportion of recoverable materials
not regularly collected, around 6.4 million tons (7.8% of total waste generated in
2019), from which an estimated 40.6% (or 2.6 million of tons) composed the total
amount of materials that could be recovered (not considering scraps and organic
material). This quantity added to the 26.99 million tons not recovered in selective
collection resulted in 29.59 million tons in 2019, which could be recovered
somehow.
Due to the COVID-19 pandemic in 2020, the inefficiency of the selective
collection system was higher than in previous years. According to Dias et al.
(2020), 34% of waste picker associations stopped their activities, 64% reduced
activities, and 2% maintained their levels of operation. According to Abrelpe
(2021), 82.5 million tons of municipal solid waste was generated in Brazil in
2020, a relative increase of about 3% compared to the previous year, partially
explained by the pandemic.
Table 5 Urban solid waste composition and amount collected in Brazil in 2019
Relative Amount collected in
composition 2019 (millions of
Waste percentage (%) tons)
Organic material: food leftovers, biological 45.3 35.8
(green) waste, and wood
Textiles, leather, and rubber: general shreds of 5.6 4.4
textiles, clothes, footwear, backpacks, shoes,
pieces of leather, and rubber
Metal 2.3 1.8
Glass 2.7 2.1
Plastic 16.8 13.3
Paper 10.4 8.2
Multilayered packages: packages composed of 1.4 1.1
more than one material
Scraps: sanitary waste and other unidentified 14.1 11.1
materials, such as contaminated recyclables, that
did not permit separation
Others: electronic waste, batteries hazardous 1.4 1.1
waste, construction and demolition waste, tires,
oil and grease, packages of pesticides, and other
dangerous waste
Table 6 Percentage of recyclables obtained from the selective collection in 2019

Selective
Type of Regular collection Selective collection collection
Destination waste (millions of tons) (millions of tons) participation (%)
Recycling Metal 1.9 31 1.63
Glass 2.2 52 2.36
Plastic 13.9 76 0.55
Paper 8.6 191 2.22
Other means of Other 2.4 4 0.17
revalorization materials
Total 29 354 6.93
Therefore, regarding the coverage of the waste management dimension, the

growing generation of urban solid waste has implied large volumes and a wide
dispersion of recoverable and non-recoverable materials. These results are associated
with the insufficient coverage of regular collection and selective collection and yield
in both non-collected waste for recovery and residual waste disposed of on inade-
quate locations.
The challenge in this dimension corresponds to the improvement of coverage
from the increased efficiency in the stages of waste separation sorting still in the
generation sites, regular collection, and selective collection. In the generation sites, a
greater attention to waste and scrap separation can positively impact regular collec-
tion, selective collections, and final disposal activities. Thus, only scraps would be
captured by regular collection and sent to appropriate disposal points. The same
would occur to the waste separated by the selective collection sent to resell places
(i.e., reuse) or recovery points. All these cases could be opportunities for more
economic gains with increased revenues from recovering and selling recyclable
materials. In addition, the promotion of new formal workstations among RWP can
increase of work capacity extension and promote higher productivity of selective
waste collection, contributing to more opportunities for social benefits, and resulting
in more decent work conditions associated with solid waste management.
Another side effect of the regular collection and selective collection increased
productivity is the generation of opportunities for environmental gains. These gains
can be achieved by reducing waste and scrap disposal in inappropriate locations,
causing pollution, and extending disposal sites’ service life (e.g., landfills) since only
nonrecyclable materials would be sent to these locations.
Administrative, socioeconomic, and political aspects must be considered when
analyzing the decent work dimension. According to the survey from Mota (2017)
regarding administrative aspects, from 588 projects aiming to recover recyclables,
almost 50% work informally, and the remaining are in associations or cooperatives
of RWP. This proportion is similar to the share of RWP that also works informally
(IPEA 2017). The informal relationship implies several disadvantages, such as the
restricted access to funding or credit, since those groups do not have the required
documentation (which corresponds to 15.95% of projects in Mota 2017). Another
negative fact of this relationship is the lack of labor rights and social security
guarantees and a compensation lower than the minimum wage (Mota 2017; Dagnino
and Johansen 2017).
Recently, the COVID-19 pandemic has worsened all the previously mentioned
issues. Anholon et al. (2022) analyzed the most current research regarding the
impacts of the pandemic and highlighted the incidence of mental health issues in
workers, the unemployment, the precariousness of activities, the impacts on gender
issues, and the increasing poverty, besides the generation of informal work. Dias
et al. (2020) assert that the pandemic reduced the global market and retracted the
recyclable materials trading, causing a sudden drop in many (or total) Brazilian
RWP’s incomes.
Regarding the social aspects, such as women’s employment and child labor,
Dagnino and Johansen (2017) estimate that women’s participation in recyclable
collection labor is lower than 50% of men’s participation. In the same studies, the
number of people working in child labor (between 10 and 15 years old) is around
2,500 men and slightly more than 1,000 women. In Brazil (Art 227, Federal Con-
stitution), child labor is defined as any economic activity performed by a person
younger than 16 years old, being able to legally practice those activities when over
14 years old only in the condition of learner (or apprentice, which is not yet
registered as a selective waste collection activity). This definition follows those
present in the International Labor Organization Conventions 138 and 189 from
1976 to 1999.
Another important aspect is the safety of RWP activities. The main advances in
the Brazilian labor regulations of those activities occurred from the mid-twentieth
century. Among the main Brazilian safety norms related to RWP activities, it was
possible to outline the following:
The regulatory standard (Norma Regulamentadora, NR) 6 – Personal Protection

Equipment
NR 9 – Environmental Risk Prevention Program
NR 12 – Machines and Equipment Workplace Safety
NR 15 – Unhealthy Activities and Operations
NR 17 – Ergonomy
NR 24 – Workplace Sanitary and Comfort Conditions (Romero 2017)
Romero (2017) mentions that despite the large number of workplace safety
regulations in Brazil, the interest and knowledge of the population in this topic are
reduced since work accidents are managed only under a social perspective. Hence,
the workers, especially those without appropriate education levels or professional
qualifications (the majority of Brazilian RWP), are not aware of their activities’
occupational hazards. Thus, they correspond to most victims from the harmful
consequences of their activities.
Regarding the occupational health of Brazilian RWP, the waste collection activity
is marked by its high insalubrity level due to its constant contact with biological
agents, according to the regulatory standard 15 (Brasil 1979). An important urban
solid waste characteristic is its disease transmission potential because of vectors
(Fonseca et al. 2014). Hence, the toxicity and pathogenicity are contamination
factors of the local in which waste is disposed of and may damage RWP’s health
(Rodrigues and Gonçalves-Dias 2022). Galon (2015, p. 157) comments that Brazil-
ian RWP activities are multidimensionally precarious, as opposed to their impor-
tance in the recycling chain. The author exposes a representative example in the
following excerpt: “(...) while the picker renovates the waste, he/she damages his/her
health conditions.”
The economic aspect is essential in those matters, and the RWP activities lack
valorization. People who work in the collection of recyclables present 50% lower
income compared to the average compensation of the economically active workforce
(Dagnino and Johansen 2017), and 65.69% earn less than the minimum wage
(Cruvinel et al. 2017). One possible explanation of those differences is that the
associations and the independent works are susceptible to the prices defined by their
purchasers, generally large companies, and the middlemen (Mota 2017; Rocha and
Francischett 2021).
Therefore, it was observed that Brazilian RWP must overcome many challenges
to be in accordance with the 2030 Agenda’s proposal. The current state and the
temporal progression of structural and socioeconomic issues of RWP activities in
Brazil enable to envision a set of challenges related to those two dimensions, which
are displayed in Table 7.
Conversely, to contemplate potential ways of solving those challenges inspires,
among others, new business opportunities, a RWP union, implementation of public
policies, public-private partnership, and actions from the civil society. These
Table 7 Challenges and opportunities for the RWP in Brazil following the SDG 8.3, 8.4, 8.5,
and 8.8
Waste management
Related aspects Challenges Opportunities
Generation • Low levels of adequate Public and private initiatives to
recyclable separation at their prompt the creation and expansion
generation of environmental education
programs to promote waste
separation at its generation site and
selective waste collection. To
develop partnerships with the civil
society and private or public
companies for proper waste
separation at the generation site
and promotion of selective waste
collection
Regular collection • Insufficient and heterogeneous Initiatives from public authorities
coverage among Brazilian states to promote adequate waste
disposal supervision in urban and
rural sites. Initiatives from public
authorities to prompt the
development and expansion of
environmental education programs
to improve urban solid waste
disposal
Selective collection • Low and heterogeneous Initiatives from public and private
coverage among Brazilian states companies to prompt: the
expansion and organization of
RWP associations and
cooperatives; the development and
expansion of environmental
education programs to improve the
separation of waste at generation
sites and in the selective waste
collection; and the development of
partnerships with the civil society
and companies to encourage the
proper waste separation and
promotion of selective waste
collection
Decent work
Minimum • Low proportion of formal To encourage training institutions
compensation above activities to create courses of management
the poverty threshold • Low prices defined for waste and operations support; to prepare
in the market and promote public policies (e.g.,
• Low levels of operational tax incentives, technical support
efficiency by public agencies) that prompt
the creation of new business and
projects for recyclable collection,
separation, and preprocessing as
(continued)
Table 7 (continued)
Waste management
well as the expansion of
recovering activities, thus
increasing competitiveness and
improving the waste prices defined
by the market
Acknowledgment of • Low proportion of formal To strengthen class representative
certain professional activities entities to promote new
activities as formal • Society has little regulations, supervision, and the
jobs acknowledgment of the positive execution of specific norms,
environmental impacts resulting considering the risks, complexity,
from activities and the positive impacts of
operations (e.g., the self-regulated
board of engineering, medicine,
etc.)
Promote environmental education
programs as a way of improving
the RWP valorization
Guarantee of labor • Low proportion of formal To strengthen class representative
rights and social activities entities to convince the
security governments to promote public
policies to encourage RWPs to
engage themselves in grouping
initiatives (e.g., associations and
cooperatives) as well as to propose
specific ways to monitor the
compliance of guarantees of labor
rights and social security in these
organizations
Promotion of safety • Low proportion of formal To design specific studies about
and health in work activities the risks and dangerousness of
environments • Little awareness of the risk selective waste collection
levels in the activity activities; to create a specific class
• Lack of specific health and representative entity that proposes
safety supervision due to the specific norms on occupational
informality health and safety; to prepare
specific workplace safety norms in
selective waste collection
Reduced gender • Low proportion of formal To create regulations and norms
inequalities activities that prompt the increases in gender
• Low perspective of equality in the personnel board,
professional development without economic loss or
• Lack of technical and specific reduction in women’s
courses for training compensation; to implement
• Strong social stigma related to public and private initiatives to
waste activities and social organize, structure, and formalize
marginalization selective waste collection
businesses and waste
preprocessing services
(continued)
Table 7 (continued)
Waste management
Youth employment • Low proportion of formal To reinforce the importance of the
generation activities activities for sustainable
• Low perspective of development within the society; to
professional development prompt administrative
• Lack of technical and specific organization as a way of
courses for training establishing attractive career plans
• Strong social stigma related to to youth, with employment and
waste activities and social professional development
marginalization opportunities; to implement public
and private initiatives to organize,
structure, and formalize selective
waste collection businesses and
waste preprocessing services; to
provide training in business
management of waste to the youth
RWP in mid and long terms
aiming to improve efficiency of
RWP groups
Elimination of forced • Low proportion of formal To set specific regulations about
and child labor activities shared responsibility to motivate
• Absence of proper supervision companies’ (direct or indirect)
and auditioning participation in the strengthening
of selective waste collection
activities and waste preprocessing
services; to establish public
policies that financially support
families to keep children in school
and that assist in supervising the
regulation compliance
initiatives represent an advance in the valorization and acknowledgment of RWP

activities’ importance alongside the idea of an economic development separated
from the environmental damage.
The opportunities mentioned previously were conceived to mitigate or eliminate
the impacts of the current RWP challenges in Brazil. Generally, those challenges
refer to low (or insufficient) efficiency in waste management activities. With respect
to the challenges associated with decent work, they comprehend the current context
of informality in Brazilian RWP.
The organization in associations or cooperatives, the pursuit of partnerships, the
establishment of specific regulations, initiatives for improved business structure, the
strengthening and creating of a representative class entity, the promotion of envi-
ronmental education programs, among others, contribute to increasing the political
force and the representativeness of RWP along with the State authorities. Therefore,
the possibilities of guaranteeing regulation and formalization of labor rights social
security as well as providing workplace safety and health for all RWP segments are
increased.
Moreover, the presented opportunities stand on three stakeholders: the civil

society, the Brazilian state, and the private companies, all related to the opportunities
of developing actions towards environmental, social, and economic gains. Further-
more, the state can provide public policies, executed by regulations, that motivates
the strengthening of RWP activities through attributing responsibilities to the civil
society, the associations and cooperatives, and the private companies.
The establishment and coverage of regulations are a State’s prerogative. How-
ever, the civil society can trigger the creation of new regulations using direct popular
manifestation or by the members of the Government legislative branch that are in
line with specific causes. Applying regulations and norms still depends on auditing
activities executed by the State, civil society, and other associations.
Another important opportunity topic is education, especially environmental edu-
cation, related to the qualifying activities of recyclables collection. There is still a
concern in technical matters such as the standard waste treatment process. For
instance, current questions are: What is the best way to handle waste without
harming workplace safety and health? How to create standards for activities of
waste collection and prepreprocess aiming for increased efficiency of associations
and cooperatives? What is the best way of separating waste at its generation in order
to improve the efficiency of the whole reverse chain? Those questions represent
opportunities and targets for improvement in RWP activities, and the acquired
knowledge leverages their valorization by society.
The last element of this triad is the private company, which has been increasingly
responsible for collecting waste produced in its process activities. It is particularly
interested in strengthening the recycling industry to better dispose of its waste, which
reinforces RWP activities. On the other hand, new companies aiming to recover
value in this waste can emerge to explore this demand, which is less developed in
Brazil than other countries such as Japan and the USA. The new businesses and
initiatives will need a more regular provision of waste, promoting waste collection
activities and resulting in better prices and compensation for the RWP.
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Business Contribution Analysis
to the Sustainable Development Goals:
Case Study in Pará State, Brazil
J. Marques and A. Fonseca
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 850
The 2030 Agenda and the Sustainable Development Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 852
The Pará State, Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 855
Business Contributions to the SDGs in the Pará State . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 856
SDG 1 – End Poverty in All Its Forms Everywhere . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 857
SDG 2 – End Hunger, Achieve Food Security and Improved Nutrition and Promote
Sustainable Agriculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 858
SDG 3 – Ensure Healthy Lives and Promote Well-being for All at All Ages . . . . . . . . . . . . . 858
SDG 4 – Ensure Inclusive and Equitable Quality Education and Promote Lifelong
Learning Opportunities for All . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 858
SDG 5 – Achieve Gender Equality and Empower All Women and Girls . . . . . . . . . . . . . . . . . . 859
SDG 6 – Ensure Availability and Sustainable Management of Water and Sanitation
for All . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 859
SDG 7 – Ensure Access to Affordable, Reliable, Sustainable and Modern Energy
for All . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 859
SDG 8 – Promote Sustained, Inclusive and Sustainable Economic Growth, Full
and Productive Employment and Decent Work for All . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 860
SDG 9 – Build Resilient Infrastructure, Promote Inclusive and Sustainable
Industrialization and Foster Innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 860
SDG 10 – Reduce Inequality Within and Among Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 860
SDG 11 – Make Cities and Human Settlements Inclusive, Safe, Resilient and
Sustainable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 861
SDG 12 – Ensure Sustainable Consumption and Production Patterns . . . . . . . . . . . . . . . . . . . . . 861
SDG 13 – Take Urgent Action to Combat Climate Change and Its Impacts . . . . . . . . . . . . . . 861
SDG 14 – Conserve and Sustainably Use the Oceans, Seas and Marine Resources
for Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 862
SDG 15 – Protect, Restore and Promote Sustainable Use of Terrestrial Ecosystems,
Sustainably Manage Forests, Combat Desertification, Halt and Reverse
Land Degradation and Halt Biodiversity Loss . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 862
J. Marques · A. Fonseca (*)

Fernando Pessoa University, Porto, Portugal
e-mail: afonseca@ufp.edu.pt

https://doi.org/10.1007/978-3-031-16017-2_58
850 J. Marques and A. Fonseca
SDG 16 – Promote Peaceful and Inclusive Societies for Sustainable Development, Provide
Access to Justice for All and Build Effective, Accountable and Inclusive
Institutions at All Levels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 863
SDG 17 – Strengthen the Means of Implementation and Revitalize the Global
Partnership for Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 863
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 865
Abstract
The Sustainability paradigm is modifying companies’ strategy, which is now
much more oriented to the generation of shared value with society, guided by
commitments to business ethics and to the preservation of the environment.
The main objective of the case study here described was to analyze how the
largest companies located in the north of Brazil (Pará state) are contributing to the
United Nations Sustainable Development Goals (SDGs). The methodology used
was the collection and analysis of information disclosed by these companies in
their Sustainability Reports and/or in the companies’ websites, published in 2021.
The sample of this study included 15 companies that represent the main economic
activities in the region of Pará. The results obtained show that all these companies
have developed strategies to promote Sustainable Development, particularly
through projects and activities directed to local communities in the state of
Pará, thus contributing to the sustainable growth of this region.
The reported Sustainability-oriented practices show commitment with all the
17 SDGs, particularly with SDG 6 Clean Water and Sanitation, SDG 8 Decent
Work and Economic Growth, and SDG 12 Responsible Consumption and Pro-
duction, all of which have been referred by 73% of the sampled companies. The
least referred SDG was SDG 14 Life Below Water, focused only by 4 of the
15 sampled companies.
This study highlights the important role of business in the achievement of the
SDGs, particularly through the support to a sustainable economic, social, and
environmental development of local communities.
Keywords
Sustainable development goals · Pará region · Brazil · Corporate social
responsibility · Corporate sustainability · Sustainability Report · Value creation ·
Community development · Sustainable business
Introduction
Organizations have been increasingly showing awareness regarding the importance

of Sustainability. It is widely accepted that the social transition towards an effective
Sustainable Development cannot be achieved without the contribution of business
companies.
Business Contribution Analysis to the Sustainable Development Goals:. . . 851
In a context of increasing pressures and rapidly changing environments, compa-

nies recognize the importance of demonstrating their commitment to Sustainability
through the integration of this concept in business strategies and management
models. Thus, companies’ behavior is being influenced by stakeholders’ pressures,
and the demonstration of commitment and effective contribution to Sustainability is
presently a relevant competitive factor. Companies are therefore actively concerned
with the development of Sustainability-oriented strategies leading to the creation of
economic, social, and environmental value through sustainable business models that
systematically integrate Sustainability concepts, principles, and goals (Baumgartner
and Rauter 2017; Lozano 2018).
Corporate sustainability translates the engagement of an organization with the
principles of Sustainable Development by integrating, in its strategic planning and
decision-making processes, concerns on the economic, environmental, and social
impacts of its activities throughout the time dimension (van Zanten and van Tulder
2021). Thus, companies are being challenged to incorporate Sustainability principles
in their core business operations in order to respect and promote Sustainable
Development principles in their daily routine.
Effective integration of Sustainability principles in business environments is a
demanding process, requiring permanent adjustments in strategy definition and
activity planning to define sustainable business solutions. Managers often face
difficulties in the identification of the most adequate strategies to effectively con-
tribute to Sustainable Development (Baumgartner and Rauter 2017).
The responsibility of corporations regarding their multiple stakeholders is
supported by the Stakeholder Theory (Freeman 1984), which defends that, in
order to achieve sustainable success, a company needs to consider its stakeholders’
needs and expectations. The importance of creating shared value between an
organization and its stakeholders is a widely recognized success factor (Porter
and Kramer 2011). Thus, organizations need to adapt their strategies in the search
for business models that adequately satisfy and balance stakeholders’ expectations.
However, the implementation of these strategies needs to be effective, going
beyond a superficial response to stakeholders’ pressures. This process requires
the balanced management of resources that best satisfies present challenges while
preparing the organization for an increasingly demanding future. A strong
Sustainability-oriented organizational culture supported on top-management
commitment, together with effective stakeholder engagement processes, is a key
success factor for effective Sustainability integration processes (Fonseca et al.
2021).
Corporate social responsibility (CSR) is adopted by companies to enhance their
commitment and contribution regarding Sustainability issues. Being aware of the
need to reduce negative environmental and social impacts of its activities, organi-
zations also seek opportunities to create shared value through tangible and/or
intangible benefits for society (Carroll 2016). The adoption of CSR strategies in
corporate governance aims the conscious planning and execution of activities in
order to decrease negative impacts and promote positive interactions, in short,
medium- and long-term scenarios. CSR promotes active changes in behaviors and
practices, with relevant impacts both at internal levels and on the value chain (Kolk
and van Tulder 2010).
In a society that is increasingly intolerant to unsustainable practices, CSR is also
an important risk management tool since reports on socially or environmentally
irresponsible behavior are nowadays promptly accessible through social media and
information technologies. This is particularly relevant in large multinational organi-
zations, with a higher public visibility, which are more exposed to stakeholders’
pressures regarding responsible behavior.
Corporate sustainability practices support long-term business success by enhanc-
ing different types of benefits for the company: e.g., cost reductions due to the more
efficient use of resources and waste reduction practices; improvements in organiza-
tional performance due to increased motivation and productivity of internal stake-
holders; generation of competitive advantages through the enhancement of public
image and reputation; promotion of active changes in behaviors and attitudes in the
value chain, leading to more efficient and effective engagement; and enhancement of
innovation in processes and product design (Baumgartner and Rauter 2017;
Martinez-Conesa et al. 2017).
Nevertheless, the integration of Sustainability in companies’ long-term planning,
strategic management, decision-making processes, and daily activities is still chal-
lenging and often conducted through isolated and superficial measures. For many
companies, the COVID-19 pandemic brought limitations to investments in
Sustainability-oriented projects, in a time where business support to the socioeco-
nomic arising problems is more needed than ever. Therefore, it is of the utmost
importance to continue studying the relation between organizational commitment
towards Sustainability and its effective implementation and performance.
In this context, the main objective of the case study presented here was to analyze
how the largest companies in the state of Pará, Brazil, are translating their commit-
ment to Sustainability into effective actions implemented in practice. A sample of
15 companies was selected, representing the main activity sectors of the Pará region.
Through the analysis of the companies’ websites, information was collected regard-
ing the disclosure of activities demonstrating commitment to Sustainability,
published in 2021, specifically focusing on contributions to the achievement of the
UN Sustainable Development Goals.
This study is expected to contribute to the dissemination of good practice
examples regarding the integration of Sustainability principles in companies’ strat-
egies, particularly focusing on a regional perspective in a developing country like
Brazil.
The 2030 Agenda and the Sustainable Development Goals
In 1987, the expression Sustainable Development has been formally defined in the
Brundtland Report as “development that meets the needs of the present without
compromising the ability of future generations to meet their own needs” (WCED
1987). However, this simple definition offers no clear guidance leading to its
adequate operationalization (Baumgartner and Rauter 2017).
As a general concept, Sustainable Development is supported in the interrelation
and complementarity of economic, environmental, and social dimensions of Sus-
tainability – the Triple Bottom Line (Elkington 1997). The economic dimension
seeks economic value creation through profit and prosperity; the environmental
dimension seeks the preservation of natural resources and ecosystems; and the social
dimension seeks the promotion of the stability of social systems through equity and
justice.
In 2015, the General Assembly of the United Nations has defined the 2030
Agenda for Sustainable Development, based on 17 principles that led to the Sus-
tainable Development Goals (SDGs) (United Nations 2015). This global agenda,
adopted by all the 193 Member States of the United Nations, defines 169 targets
grouped in 17 SDGs, addressing social and environmental challenges currently faced
by humanity (Fig. 1).
The commitment to these goals must involve all society levels and activity
sectors, with complementary actions promoted by governments, civil society, aca-
demia, and business companies (Leal Filho et al. 2017; Sachs et al. 2019). The 2030
Agenda specifically calls upon business companies to apply their creativity and
innovation in the search for solutions to the Sustainable Development challenges
(United Nations 2015). The alignment with the SDGs can be used as a benchmark to
Fig. 1 The 17 Sustainable Development Goals of the 2030 Agenda (© United Nations, with kind
permission from https://www.un.org/sustainabledevelopment/. The content of this publication has
not been approved by the United Nations and does not reflect the views of the United Nations or its
officials or Member States)
assess the success of Sustainability-oriented strategies (van Zanten and van Tulder
2021).
The involvement of business companies with Sustainability and the 2030 Agenda
requires strategies to reformulate organizational behaviors. Several voluntary initia-
tives and instruments have been developed to promote responsible business perfor-
mances – for example, the UN Global Compact (UN-GC), the World Business
Council for Sustainable Development (WCBSD), the Principles for Responsible
Investment, the Global Reporting Initiative (GRI), the B-Lab and its B-Corp certi-
fication, guidance documents on Social Responsibility (ISO 26000), and standards
for Management Systems (e.g., ISO 14001 and ISO 45001), among many others.
The disclosure of information to demonstrate commitment with the SDGs is
nowadays a growing practice in business companies (Rosati and Faria 2019). In
fact, the practice of publicly reporting companies’ actions and results in the social
and environmental dimensions of Sustainability is common, and, in some countries,
it is even a legal requirement for the largest companies. Sustainability Reporting can
be an essential driver of an organization’s Sustainability orientation (Lozano 2011).
Sustainability Reports enhance the dialogue between a company and its stake-
holders, contributing to reputation improvements and, in some cases, providing
reinforced legitimacy. Through this public disclosure of strategically chosen topics,
companies increase their degree of accountability and inform stakeholders on their
commitment and priorities.
Reporting on the progress and on the contribution of a company towards the
SDGs could be an impactful instrument to embed the commitment with the SDGs in
organizational strategies. Understanding in which SDGs can companies’ activities
and projects have the most significant impacts is an important step in the prioritiza-
tion of strategies towards the sustainable creation of shared value. On the other hand,
the quality of corporate reporting on the SDGs is a matter of concern, since
companies may use this communication channel for “green-washing” or “rainbow-
washing,” highlighting positive impacts on some SDGs, but not assuming their
neglect to contribute to others (Izzo et al. 2020; Tsalis et al. 2020).
It is expected that companies from different economic activities will have differ-
ent impacts on the SDGs. Operational activities, as well as embedded activities
(related to the company’s products and services), will have both positive and
negative interactions with the SDGs that are inherent to each activity sector. Thus,
different Sustainability-oriented strategies are required to account for the specific
nature of companies’ activities (van Zanten and van Tulder 2021).
In addition to sectorial differences, regional specificities must also be considered
in the relation between companies and the SDGs. Despite the global approach of the
2030 Agenda and its SDGs, regional differences are inevitable in the efforts to
pursue Sustainable Development. The different degrees of economic development,
together with cultural, social, and environmental characteristics of different regions
affect the definition of Sustainability-oriented actions, which will favor some SDGs
over others. According to a recent study focusing regional differences in the research
trends related to the SDGs, in the Latin America region particular interest is given to
SDG 11 Sustainable Cities and Communities and to SDG 13 Climate Action, while
SDG 14 Life Below Water is the least referred (Salvia et al. 2019).
The Pará State, Brazil
Located in the north of Brazil, the state of Pará has the second largest territorial
extension, with an area of approximately 1,245,870.707 km2 (Brazilian Institute of
Geography and Statistics 2022). Its equatorial climate is characteristic of the Ama-
zon region.
The territory of Pará is covered by the Amazon Forest, with a vegetation rich in
tropical trees and savannas. The state’s hydrographic basin has about 1,253,164 km2
of coverage in areas belonging to the Amazon basin. The main rivers of the Pará state
are the Amazon River, Tapajós River, Xingu River, Jari River, and Pará River. This
rich hydrographic network has important advantages for the regional economy since
the easy navigation of the main northern river channels enables the transport of
products to be commercialized in international markets (Brazilian Institute of Geog-
raphy and Statistics 2022).
The Pará state has 144 municipalities, with the capital city in Belém, and an
estimated population of about 8.5 million inhabitants – the most populous state in the
north region of Brazil (Brazilian Institute of Geography and Statistics 2022). The
most important municipalities in the Pará state’s economy are Altamira, Ananindeua,
Barcarena, Belém, Canãa dos Carajás, Itaituba, Paragominas, Parauapebas,
Redenção, and Santarém.
The region’s economy is highly dependent on the extractive industry – iron,
manganese, bauxite, gold, nickel, aluminum, and limestone – and therefore mining is
an important activity sector in the Pará state. Important companies of the mineral
extractivism sector are operating in the region, particularly in the municipality of
Barcarena (extraction and processing of bauxite), and in the municipalities of
Paragominas and the Tapajós region (production of aluminum).
Agricultural activities are also relevant for the Pará state’s economy, particu-
larly the cultivation and export of corn, cassava, pineapple, black pepper, banana,
and lemon. In recent decades the growing interest in soybean products has
increased the economic importance of the cultivation and export of this agricul-
tural product in the region. Terrestrial transport of soybeans is carried out through
the northern corridor of the state, contributing to the development of the local
economy.
The Pará region was selected for this study considering its important role in the
economy of the north of Brazil. Also, the state of Pará has one of the lowest scores in
the Human Development Index when compared to the other Brazilian states,
evidencing social development challenges (Brazilian Institute of Geography and
Statistics 2022). In what concerns environmental sustainability, the Pará state is
covered by the Amazon Forest and inserted in the Amazon River basin, and thus
environmental protection is also of great relevance in this region.
Business Contributions to the SDGs in the Pará State
A sample comprising 15 large companies located in Pará has been defined to analyze
the business contributions to Sustainability, specifically focusing the commitment
with the UN-SDGs. The choice of the companies followed a non-probabilistic
convenience sampling, ensuring representativeness of the main activity sectors
present in this region. Table 1 shows the companies included in the sample under
study, highlighting their activity sector.
The analysis was performed through the companies’ website, searching for
information regarding Sustainability issues published during the year 2021. For
almost all the sampled companies (13 out of 15) the website had connections to
the most recently published Sustainability Report (2019 or 2020). Two of the
sampled companies, although not providing access to an official Sustainability
Report, had relevant information on their website focusing on Sustainability.
From the 15 companies under analysis, 13 specifically refer their commitment to
the SDGs in their publicly available information regarding Sustainability. The
number of referred SDGs ranges from three (in company Hidrovias do Brasil) to
Table 1 Companies analyzed in the scope of the present study

Company name Activity sector Website
Agropalma Production and trade of palm oil and www.agropalma.com.br
by-products
Alcoa Bauxite mining www.alcoa.com
Alubar Production of electrical wires and www.alubar.net.br
cables
Amaggi (Unitapajós) Transport and export of soybeans and www.amaggi.com.br
corn
Atacadão Wholesale www.atacadao.com.br
Bunge (Unitapajós) Wholesale www.bunge.com.br
Cargill Transport and export of soybeans and www.cargill.com.br
corn
Hidrovias do Brasil Logistics operator for soybean and www.hbsa.com.br
corn export
Horizonte minerals Nickel mining www.
horizonteminerals.com
Hydro Alunorte Bauxite and aluminum mining www.hydro.com
LDC (Louis Dreyfus Transport and export of soybeans and www.ldc.com.br
company) corn
Mineração Rio do Norte Bauxite mining www.mrn.com.br
Natura Cosmetics industry www.natura.com.br
Vale do Rio Doce Iron and copper mining www.vale.com.br
Imerys Kaolin mining www.imerys.com.br
Fig. 2 Reporting of the SDGs in the main business companies of the Pará state
17 – all the SDGs were referred in the Sustainability Report of Natura. The majority
of the sampled companies (53%) report information on more than nine SDGs.
Figure 2 shows the prevalence of each SDG in the reports of the 15 sampled
companies. The most frequently referred SDGs are SDG 6 – Clean Water and
Sanitation, SDG 8 – Decent Work and Economic Growth, and SDG 12 – Respon-
sible Consumption and Production. The least referred SDGs was SDG 14 – Life
Below Water, focused only in the reports of four companies.
To show their commitment with the SDGs, companies describe activities, pro-
jects, and practices in their public available information on Sustainability issues.
The following sections present a compilation of the main activities reported by
the sampled companies in the Pará state for each of the SDGs, obtained through the
analysis of the published Sustainability Reports and/or of the information available
in the company’s website.
SDG 1 – End Poverty in All Its Forms Everywhere
The sampled companies report the following actions directed to the achievement of
SDG 1: valorization of local employees’ income through investments in the produc-
tive chains of the Pan-Amazon regions, thus contributing to the economic and
financial development of the Pará region; implementation of local projects directed
to the socioeconomic development of local communities; valorization and support of
local cultural activities with potential to enhance the local economy; and commit-
ment to local job generation and promotion of employment for the most vulnerable
populations.
SDG 2 – End Hunger, Achieve Food Security and Improved Nutrition

and Promote Sustainable Agriculture
In what concerns the contribution to the achievement of SDG 2, several activities are
reported by the companies: campaigns, social action, and volunteering programs to
purchase, collect, and distribute food to families in need and to the most vulnerable
populations; supporting programs for farmers to increase local production; creation
and dynamization of credit lines to financially support farmers’ associations and
cooperatives; programs to support familiar agriculture in the interior regions of Pará
and to strengthen agricultural and fish farming practices in the region; and programs
directed to enhance sustainable agricultural practices.
SDG 3 – Ensure Healthy Lives and Promote Well-being for All at

All Ages
To demonstrate their commitment with SDG 3, the sampled companies report the
following actions: promotion of occupational health for the workforce; identifica-
tion, assessment, and minimization of occupational health hazards; implementation
of basic health units for families; promotion of health engagement programs for
employees; investments in quality health and well-being for local communities;
provision of free or reduced cost medical care for workers; life and health insurance
programs for employees and their families; provision of medical assistance to
vulnerable populations; projects to fight malaria in vulnerable populations; promo-
tion of mask donation programs during the COVID pandemic; and promotion of oral
hygiene education programs and of programs to raise awareness regarding the use of
drugs and domestic violence.
SDG 4 – Ensure Inclusive and Equitable Quality Education

and Promote Lifelong Learning Opportunities for All
In what concerns the contribution to the achievement of SDG 4, the sampled

companies included in their reports the following activities: valorization of the
learning process, either through projects that encourage literacy among children or
through the support given to teachers in the region; promotion of projects to reveal
and support young talents and to enhance artistic production; engagement and
promotion of local cultural activities; support to the production of teaching materials;
benefits for employees participating in educational programs; incentives to profes-
sional training and school reinforcement for young people; promotion of environ-
mental awareness programs; incentives to reading practices for children in
elementary school; and support to volunteering programs aiming the education of
vulnerable populations.
SDG 5 – Achieve Gender Equality and Empower All Women and Girls
The sampled companies report the following activities oriented to the achievement
of SDG 5: programs to increase the average income of companies’ female
representants; incentives to education and continuing education programs specifi-
cally focusing on women; increasing female leadership through the promotion of
representativeness in management positions; promotion of programs for the preven-
tion of violence against women; enhancement and support of female empowerment
and training programs; programs to support women in vulnerable situations; pro-
motion and support of programs against sexual exploitation of children and adoles-
cents on the Pará region; and creation of global diversity and inclusion committees
and policies.
SDG 6 – Ensure Availability and Sustainable Management of Water

and Sanitation for All
In what concerns their contribution to SDG 6, the following actions are reported
by the sampled companies: strategic implementation of programs to assess water
consumption and the water footprint regarding companies’ activities and also
throughout the value chain; implementation of water reuse systems; investment
in management practices to reduce water consumption; improvements in water
treatment plants to reduce water pollution and land contamination; promotion of
the efficient use of water in companies’ operations; programs to support water
quality improvements in agricultural areas; programs to enhance populations’
access to safe drinking water; improvement and protection of hydrographic
basins through programs directed to enhance sustainable agriculture; and
dynamization of programs to plant native seedlings in the region to preserve
natural springs.
SDG 7 – Ensure Access to Affordable, Reliable, Sustainable

and Modern Energy for All
Regarding their commitment with SDG 7, the sampled companies are reporting the
following actions: strategic implementation and diversification of renewable energy
programs; investments in decarbonization technologies regarding electricity use;
prioritization of sustainable energy sources; implementation of programs directed
to the efficient management and safety in energy consumption, regarding company’s
activities and also operations throughout the value chain; commitment to the self-
production of electricity from renewable sources; and establishment of energy
reduction programs.
SDG 8 – Promote Sustained, Inclusive and Sustainable Economic

Growth, Full and Productive Employment and Decent Work for All
The actions implemented and reported by the sampled companies on the scope of
SDG 8 are as follows: increase in the average income of local workers; assessment
and improvement of human development conditions in the local communities;
improvement of working conditions; implementation of guidelines to enhance
adequate economic management for employees’ income; human resources manage-
ment focused on the promotion of occupational health and safety; implementation of
conflict management procedures focusing internal and external stakeholders; pro-
motion of awareness sessions regarding Human Rights; strategic planning for safe
and accident-free working activities; flexibility regarding labor class unions foster-
ing collective agreements; promotion of training and skill development programs for
employees; promotion of programs to enhance the employment capacity of vulner-
able populations; support for the inclusion of ethnic and LGBTQIA+ communities;
enhancement of social inclusion through the promotion of young talents’ programs;
incentives for professional valorization; promotion of fair and responsible working
practices throughout the value chain; implementation of programs to conciliate
professional activities and family support activities; and programs to support the
diversification and growth of income sources in the interior regions of Pará.
SDG 9 – Build Resilient Infrastructure, Promote Inclusive

and Sustainable Industrialization and Foster Innovation
In what concerns the contribution to the achievement of SDG 9, the following

actions are reported by the sampled companies: development of strategies to protect
the Pan-Amazon region and its vulnerable communities; promotion of adequate and
fair supplier selection processes, including social and environmental requirements;
establishment of recognition and appreciation programs for suppliers; support of
research programs focusing technological developments aiming to reduce CO2
emissions; supporting programs aiming the enhancement of innovative practices,
technologies, and processes to make businesses more efficient and sustainable;
investment in technologies for sustainable production; and implementation of inte-
grated platforms for operational activities management aiming to improve perfor-
mance and reduce wastes.
SDG 10 – Reduce Inequality Within and Among Countries
The sampled companies report the following activities on the scope of their contri-
bution to the achievement of SDG 10: integration of disabled people in their
workforce; enhancement of women’s presence in leadership and management posi-
tions; active listening and engagement programs with local communities throughout
the production process; supporting projects aiming the generation of income in
vulnerable populations; commitment to local and regional development strategies;

contribution to the social and human development of local communities; prioritiza-
tion of local suppliers; promotion of capacitation programs for young people;
establishment of policies and organizational committees for diversity and inclusion;
and awareness sessions regarding the inclusion of disabled people.
SDG 11 – Make Cities and Human Settlements Inclusive, Safe,

Resilient and Sustainable
Regarding the achievement of SDG 11, the contributions reported by the companies
are as follows: prioritize local procurement practices within the Pan-Amazon region;
implementation of programs to use recyclable materials; establishment of stake-
holder engagement programs with local communities; dynamization of volunteer
programs to support vulnerable communities; promotion of environmental and
Sustainability awareness programs; support for the development of small local
businesses; enhancement of local employment opportunities; dynamization of train-
ing programs for local vulnerable communities; implementation of air quality
monitoring programs; and development of waste recycling programs and infrastruc-
tures in local communities.
SDG 12 – Ensure Sustainable Consumption and Production Patterns
The sampled companies report the following actions focusing on SDG 12: imple-
mentation of recycling programs for packaging waste; transparency in providing
information on products and company’s activities; valorization of social and envi-
ronmental behaviors in the extended value chain (from the extraction of raw
materials to the disposal of products); implementation of traceability programs for
direct manufacturers; improvement of processes and controls to minimize negative
environmental impacts; investments in effluent treatment plants; implementation of
waste reduction programs; development and implementation of recycle and reuse
programs, fostering the recycling chain and encouraging communities to recycle;
programs to support local farmers in sustainable agricultural practices; commitment
to combat deforestation from agricultural supply chains and to recover degraded
areas; implementation of reverse logistics programs to reduce waste; investment and
support in zero deforestation programs; and incentives to sustainable certified pro-
ducers in the value chain.
SDG 13 – Take Urgent Action to Combat Climate Change and Its

Impacts
The actions implemented and reported by the sampled companies on the scope of
their contribution to the achievement of SDG 13 are as follows: implementation of
greenhouse gas reduction programs and carbon reduction programs; creation of a

local low carbon forum; support to programs aiming to mitigate climate change
impacts; implementation of waste reduction and recycling programs to avoid
landfilling; dynamization of tree planting and forest restoration programs; recovery
of green degraded areas; implementation of management systems to monitor and
control greenhouse gas emissions; implementation of programs to promote energy
efficiency and enhance the use of renewable energy sources; awareness-raising of
suppliers and end-users regarding products with lower carbon footprints; zero
deforestation policies in production activities; replacement of refrigeration equip-
ment to reduce CFC emissions; and programs to reduce the use of diesel in the
company’s truck fleet.
SDG 14 – Conserve and Sustainably Use the Oceans, Seas and Marine
Resources for Sustainable Development
In what concerns contributions to the achievement of SDG 14, the reported actions
of the sampled companies focus on: awareness actions to prevent and minimize
impacts on endangered fish species; risk assessment regarding company’s activities
in what concerns seawater contamination; and support to turtle conservation pro-
grams in 18 communities in Pará.
SDG 15 – Protect, Restore and Promote Sustainable Use of Terrestrial

Ecosystems, Sustainably Manage Forests, Combat Desertification,
Halt and Reverse Land Degradation and Halt Biodiversity Loss
In order to show commitment with SDG 15, the actions reported by the companies
cover the following issues: implementation of forest protection programs; priori-
tization of actions aiming at the conservation and sustainable use of natural
resources; support to research projects related to biodiversity protection focusing
on endemic and local threatened species; development of projects to assess and
reduce negative environmental impacts related with company’s activities; support
to programs focusing on land preservation, creation of shelters for animals, and
preservation of the Amazon biome; support to forest surveillance programs to
inhibit illegal hunting and material extraction; promotion of awareness and training
programs directed to producers focusing on responsible agricultural practices;
dynamization of tree planting and forest restoration programs; recovery of green
degraded areas; support to natural regeneration programs regarding forest restora-
tion; creation of a germplasm bank for the preservation of local Brazilian nut trees;
investments in firefighting equipment for the protection of the Amazon forest and
its biodiversity; programs for the environmental preservation and biodiversity
protection in endangered areas; and incentives for producers to preserve native
vegetation.
SDG 16 – Promote Peaceful and Inclusive Societies for Sustainable

Development, Provide Access to Justice for All and Build Effective,
Accountable and Inclusive Institutions at All Levels
The contributions to SDG 16 reported by the sampled companies include the

following: governance strategies aligned with Sustainable Development principles;
processes for the strategic management of Sustainability; dynamization of public
debates to discuss material themes related with Sustainability; promotion of training
for employees regarding anti-corruption measures and support for Human Rights;
assuring transparency in Sustainability initiatives, fostering a culture of trust and
open dialogue with all stakeholders; social and environmental assessment of sup-
pliers; development of partnerships with entities and NGOs to support highly
vulnerable populations; implementation of anti-corruption programs throughout
the value chain; and commitment to fight and prevent Human Rights violations
throughout the value chain.
SDG 17 – Strengthen the Means of Implementation and Revitalize

the Global Partnership for Sustainable Development
The sampled companies report the following actions on the scope of their contribu-
tion to SDG 17: implementation of partnership programs with the Ethos Institute
focusing on the dynamization of sustainable practices in the Pará region; strength-
ening engagement activities with civil society organizations fostering collaboration
and dialogue on topics such as ethics, Sustainability, innovation, and diversity;
partnership with NGOs supporting Sustainability- and Human Rights-related issues
in the Pará region; and partnership with NGOs for the development and support of
local communities.
Sustainable Development has been increasingly discussed in a broad way, and the
commitment to Sustainability is presently a very important factor for economic
growth. The search for business solutions that contribute to enhance positive impacts
to the Sustainable Development challenge is influencing companies’ daily practices
and strategies.
Through the correct understanding of the important role that business organiza-
tions play in the Sustainability paradigm, companies are increasingly investing
efforts to generate shared value with their stakeholders, assuring that their activities
are dully supported by ethical values and by the protection of the environment. This
leads to the adoption of policies directed to reduce negative environmental and social
impacts of companies’ activities and to the enhancement and development of
positive impacts and value creation for companies’ stakeholders. The promotion of
Sustainability-oriented principles leads to improvements in environmental and social
conditions, striving for a model of economic growth that does not harm future
generations.
The United Nations 2030 Agenda is a plan of action that involves goals and
targets for the planet, focused on people, peace, and prosperity worldwide. Under-
standing this transversality becomes an increasingly challenging factor for compa-
nies that really seek to contribute to Sustainable Development.
The results obtained in the study here described show that the analyzed compa-
nies in the region of Pará report successful Sustainability practices, seeking to
contribute to Sustainable Development in the benefit of the region. The sampled
companies report their Sustainability-oriented practices and their connection with
the 17 Sustainable Development Goals, with important contributions to the devel-
opment of the communities inserted in the state of Pará. The projects described by
the sampled companies have been developed with the strategic perspective of
contributing to the sustainable growth of this region, providing economic, social,
and environmental benefits.
The analyzed companies have shown concern with the disclosure of their
Sustainability-oriented practices and strategies through the institutional website.
Companies seek to inform their stakeholders and the community about their
Sustainability-oriented performance in a transparent manner, through an evolution-
ary process regarding the engagement and commitment to the SDGs.
It is also noticed that the sampled companies disclose information on future
projects, some of which with long-term goals, and take the SDGs as a premise.
Most of the studied companies also share in their websites information on
established partnerships focusing on the communities on which they operate, as
well as other partnerships involving the value chain.
It was observed that the reported actions address topics regarding direct impacts
of the companies’ activities and also indirect impacts related with the value chain,
consumer issues, and local community interests. The sampled companies frequently
report the support given to programs fostering the development of local communi-
ties. These programs impact several SDGs simultaneously, since they contribute to
reduce poverty (SDG 1), to reduce hunger and malnutrition (SDG 2), to promote
health (SDG 3), to promote education (SDG 4), to empower women (SDG 5), to
promote employment and decent work (SDG 8), to reduce inequalities (SDG 10), to
promote sustainable human settlements (SDG 11), and, very particularly in the Pará
region, to promote the sustainable management of forests (SDG 15). Thus, the
establishment of partnership with local NGOs or civil society institutions, as
aimed in SDG 17, to develop and/or support programs directed to the development
of local communities is potentially a very effective means for companies to contrib-
ute to the achievement of the SDGs. There is a need to shift companies’ commitment
towards the SDGs to more effective, strategic, and impactful spaces involving
collective actions and partnerships, instead of the current focus given mainly to
internal issues.
In summary, building sustainable opportunities towards a future in which compa-
nies degrade less and contribute more to solve worldwide social and environmental
challenges has become a matter of great relevance. The integration of Sustainability-

oriented strategies in companies’ business models generates returns, benefits, and
opportunities. However, these issues cannot be seen by companies as only a matter
of compliance with current business conditions, but as strategic options leading to
long-term success.
It is believed that, increasingly in today’s world, there is a need for the commit-
ment of business companies with the 2030 Agenda. This is essential to consolidate
corporate social responsibility principles, therefore promoting sustainable and
responsible business models, focused on the creation of shared value with compa-
nies’ stakeholders. By adopting and implementing strategies committed with the
Sustainable Development Goals, business companies contribute to the promotion,
respect, and development of the community where they operate, creating shared
economic, social, and environmental value. Sustainable Development values are
focused on a global scale, aligned with the construction of a better and fair world for
all, as aimed by the 2030 Agenda.
With less than a decade to achieve the SDGs, the importance of research focusing
on the enhancement of effective engagement of the business sector with the 2030
Agenda is increasing. The present study expects to contribute to this research topic
by identifying and disseminating good practice examples regarding the integration
of Sustainability principles in companies’ strategies, particularly focusing on a
regional perspective in a developing country like Brazil.
Cross-References
▶ Corporate Social Responsibility of Humanized Companies According to the SDG

and ESG
▶ Mining Industry and the Sustainable Development Goals in Brazil’s Amazon
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Foreign Direct Investment
and Environment in Latin America:
Julia Swart, Paulo van Noije, and Márcio Ferreira Rocha
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 868
SDGs, Foreign Direct Investment, and the Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 870
Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 875
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 879
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 887
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 889
Abstract
Foreign direct investment (FDI) inflows have been on an increasing trend since
the beginning of the 1990s in Latin America. This increase was largely a result of
the implementation of the Washington Consensus which led to structural reforms
in most Latin American economies. Foreign direct investment was seen as an
important instrument to stimulate economic growth, increase employment oppor-
tunities, and foster technological progress. In the same period, local pollutants
such as carbon dioxide, nitrous oxide, and methane have also increased. Many
reasons are behind these emissions, including population growth, economic
growth, and increasing urbanization rates. However, there is less understanding
J. Swart (*)
Utrecht School of Economics, Utrecht University, Utrecht, The Netherlands
e-mail: j.swart@uu.nl
P. van Noije
School of Applied Sciences, University of Campinas, Limeira, Brazil
e-mail: noije@unicamp.br
M. F. Rocha
Institute of Economics, University of Campinas, Campinas, Brazil
e-mail: m161563@dac.unicamp.br

https://doi.org/10.1007/978-3-031-16017-2_25
868 J. Swart et al.
about the impact that this increase in foreign direct investment has had on local
pollution in Latin American countries. On the one hand, foreign direct investment
can be a source of technological progress and associated adoption of cleaner
technologies (a technique effect). On the other hand, foreign direct investment
can adapt to local laxer environmental regulations and intensify pollution through
the scale effect. Finally, foreign direct investment can bring in new industries and
sectors, which are in less or more polluting sectors (a composition effect).
Therefore, to provide an estimate of the impact of foreign direct investment on
local pollution, this chapter controls additionally for the three types of effects by
using data on foreign direct investment and combining with data from the World
Bank on among others, emissions, population density, GDP per capita, trade
openness, and human capital. Similar to other papers, this chapter employs panel
data estimation for Latin American countries but performs the empirical analysis
for a more recent period, 1990–2019. Our main results indicate that FDI has
intensified CO2 emissions in Latin American countries. Finally, this chapter
discusses the findings in light with the efforts by Latin American governments
to achieve the Sustainable Development Goals by 2030.
Keywords
Foreign direct investment · Pollution · Latin America · Sustainable Development
Goals · SDGs
Introduction
The environmental agenda held by developed economies for the twenty-first century
motivated economic studies to review “classical themes,” such as free market,
competition, and international trade, from new perspectives and also to add new
issues, such as environmental conservation and pollution. Foreign direct investment
(FDI) and the role played by multinational companies in the economic development
process became an object or part of the historical background in economic studies,
from Lenin’s Imperialism Theory to the Washington Consensus. This has been the
case especially during the Cold War period, when the international support spon-
sored by capitalist economies turned into an important instrument against the
socialist model and as a guarantee for “freedom and democracy.” In Latin America,
the Alliance to Progress, conducted by Kennedy’s administration, is a clear example
of a stronger collaboration between the South (Latin America) and the North (the
United States) (Loureiro 2020).
One of the focuses from the FDI literature in recent years consists in articulating
the FDI flows to developing economies (e.g., Latin American countries) and the
impact on the pollution levels in those countries. There is no consensus in the
literature with respect to whether receiving FDI has a positive or negative impact
on the environment. Nonetheless, developing countries tend to favor FDI inflows
as a way to compensate for the insufficient financial capital from home investors
Foreign Direct Investment and Environment in Latin America:. . . 869
and the urgent need to improve standards of living, by among others, creating
new jobs.
In the 1990s, following the prescriptions from the Washington Consensus, many
Latin American countries opened up to the international market. Policies to deregulate,
to foster competition, and to privatize state enterprises, as well as the increase in
economic stability in the region, had an immediate positive response from interna-
tional investors. Figure 1 shows that the percentage of FDI net inflows of GDP for
Latin American countries increased substantially at the start of the 1990s. While FDI
can increase efficiency and job generation, the effect on the environment can be
detrimental if foreign investors choose developing countries because of laxer environ-
mental regulations (pollution haven hypothesis). Whether this has happened in Latin
America is an empirical question. Therefore, this chapter surveys the empirical
literature on this matter to combine the knowledge within this literature and present
a new empirical estimate for the relationship between FDI inflows and pollution.
The importance of this theme does not pertain only to Latin American countries.
Pollution, such as from CO2 emissions, crosses borders. As such, if investors leave
developed countries in search for countries with laxer environmental regulations,
this creates a process of carbon leakage. That is, emissions decrease in developed
countries at the cost of developing countries. However, because many of the
problems created by CO2 emissions are global (e.g., climate change) and not only
local (e.g. air quality), developed countries also suffer from this carbon leakage. It is
in this sense that the SDGs were created, with the aim of providing a global response
to problems that cannot be solved by each country individually.
This chapter is structured as follows. After this brief introduction, the next section
presents the SDGs associated with FDI and the environment, to indicate possible
overlaps. Section “Literature Review” then discusses the literature on FDI and the
environment, with focus on Latin American countries. Afterwards,
Section “Methodology” presents the methodology based on panel data for the period
6
5
4
percentage
3
2
1
0
1970 1980 1990 2000 2010 2020
-1
-2
Fig. 1 Foreign direct investment, net inflows (% of GDP) – average for 24 Latin American
countries, 1970–2019. (Source: Authors’ own figure, based on data from World Bank (2022)
World Development Indicators)
870 J. Swart et al.
1990–2019. Section “Results and Discussion” presents the results, while

Section “Conclusion” concludes based on a discussion of the findings in line with
the SDGs for Latin America.
SDGs, Foreign Direct Investment, and the Environment
The concept of sustainability goes back to the 1987 United Nations Brundtland
Commission’s report (UN 1987). Then the concept was first defined as “meeting the
needs of the present without compromising the ability of future generations to meet
their own needs.” The concept makes it explicit that sustainability is not static;
instead, nations ought to make decisions which consider the impact in a longer-term
perspective, thus considering future generations. At the same time, society, and in
particular those more able to implement changes at a larger scale (policy makers,
companies, etc.), also need to meet the current needs, which are many.
The current challenges are huge. In Latin America, for example, in 2019 the
poverty gap at $3.20 a day (2011 PPP) was 3.6% (World Bank 2022), a level which
has remained fairly stable since the start of the 2010s. That represents over 23 million
people living in severe poverty. Also, in the same year, literacy rate for adults (ages
15 and above) was 94.45%, meaning that illiteracy is still an issue in Latin America.
As a final indicator to illustrate the challenges faced by Latin American countries,
CO2 emissions have been on an overall increasing trend, as illustrated in Fig. 2 for
the period 1990–2010. This problem is also seen at a world level. In 1950, the world
y = 0.027x - 51.604
2.9 R² = 0.8112
2.7
2.5
2.3
2.1
1.9
1990 1995 2000 2005 2010 2015 2020
Fig. 2 CO2 emissions (metrics tons per capita) – Latin America and Caribbean, 1990–2019.
(Source: Authors’ own figure, based on data from World Bank (2022) World Development
Indicators)
emitted about 6 billion tonnes of CO2, but nowadays this has gone up to more than
34 billion tonnes (World Bank 2022).
Despite sustainability implying considerations for the present and the future, it
does not mean society is dealing with two opposing effects. That is, the choice
society faces is not between the current generation improving their lives but the
future generation improving their lives. Mechanisms should be found such that both
needs can be met. However, this requires a strong commitment from all agents in
society, from the individual to large corporations, transnational organizations, and so
on. Additionally, the commitment has to come from local and global agents. This
commitment has three pillars: environmental, social, and economic, also known as
PPP which stands for planet (the environment), people (social), and profit (eco-
nomic). These three pillars should also not be going against one another, so society
cannot choose to save the environment at the cost of not saving the people, for
example. The biggest challenge is to have these three pillars acting with synergy. So,
the concept of sustainable development asks for an integrated approach that takes
into account environmental concerns along with economic development, in the
present and in the future, everywhere in the world.
In line with this conceptualization, a significant change since the beginning of the
2000s was that international organizations such as the United Nations and the World
Bank started to pay more attention to looking at the different problems society faces
in a more integrated way. For example, the United Nations Member States adopted in
2015 the 2030 Agenda for Sustainable Development. This agenda gives the coun-
tries a common blueprint for thinking about an improvement in society’s well-being
in the present and in the future. With 17 Sustainable Development Goals, this agenda
encompasses various topics such as peace, employment, technological progress, and
the environment. And, it also asks countries to act together, to form a global
partnership, without taking the individual countries’ ownership of reaching the
SDGs in their own way.
In total, there are 17 SDGs, each of which has various targets, totalizing 169 tar-
gets. The 17 SDGs are (see https://sdgs.un.org/#goal_section):
• SDG1 – No poverty
End poverty in all its forms everywhere
• SDG2 – Zero hunger
End hunger, achieve food security and improved nutrition, and promote sustain-
able agriculture
• SDG3 – Good health and well-being
Ensure healthy lives and promote well-being for all at all ages
• SDG4 – Quality education
Ensure inclusive and equitable quality education and promote lifelong learning
opportunities for all
• SDG5 – Gender equality
Achieve gender equality and empower all women and girls
• SDG6 – Clean water and sanitation
Ensure availability and sustainable management of water and sanitation for all
872 J. Swart et al.
• SDG7 – Affordable and clean energy

Ensure access to affordable, reliable, sustainable, and modern energy for all
• SDG8 – Decent work and economic growth
Promote sustained, inclusive, and sustainable economic growth, full and produc-
tive employment and decent work for all
• SDG9 – Industry, innovation, and infrastructure
Build resilient infrastructure, promote inclusive and sustainable industrialization,
and foster innovation
• SDG10 – Reduced inequalities
Reduce inequality within and among countries
• SDG11 – Sustainable cities and communities
Make cities and human settlements inclusive, safe, resilient, and sustainable
• SDG12 – Responsible consumption and production
Ensure sustainable consumption and production patterns
• SDG13 – Climate action
Take urgent action to combat climate change and its impacts
• SDG14 – Life below water
Conserve and sustainably use the oceans, seas, and marine resources for sustain-
able development
• SDG15 – Life on land
Protect, restore, and promote sustainable use of terrestrial ecosystems, sustainable
manage forests, combat desertification, and halt and reverse land degradation and
halt biodiversity loss
• SDG16 – Peace, justice, and strong institutions
Promote peaceful and inclusive societies for sustainable development, provide
access to justice for all, and build effective, accountable, and inclusive institutions
at all levels
• SDG17 – Partnerships for the goals
Strengthen the means of implementation and revitalize the Global Partnership for
Sustainable Development
Clearly, all SDGs can be connected. Take SDG1 (no poverty) and SDG5 (gender
equality), for example. In many countries, there are still no laws in place which
protect women from domestic violence; in many others, enforcement of the law is
problematic. This creates many difficulties for women, such as emotional distress
and physical injuries, which might prevent or at least place them in a worse position
to study and to enter the workforce, all of which contribute to poverty. In this light of
connectivity, the SDGS should be understood. Thus, on the one hand, there are
17 separate goals, but on the other hand, achieving them cannot be considered in
isolation, as there are clear spin-offs between all goals.
This chapter considers the interactions from FDI to the environment, in particular
in terms of CO2 emissions. Already in the 1987 United Nations Brundtland Com-
mission’s report (UN 1987), a note was made about the role of FDI as “owners, as
partners in joint ventures, and as suppliers of technology in the mining and
manufacturing sectors in many developing countries, especially in such
environmentally sensitive areas as petroleum, chemicals, metals, paper, and auto-

mobiles” (p. 64, paragraph 58), which emphasizes the responsibility of FDI in terms
of the environment of the receiving/developing countries.
The United Nations website (UN 2022) – https://sdgs.un.org/#goal_section –
presents information about the 17 SDGs and their targets. Table 1 shows a mapping
of key words related to FDI and CO2 emissions that are mentioned in the targets
within the 17 SDGs. The selected words in Table 1 were “foreign direct investment”;
“trade”; “transnational companies”; “technology” or “technological”; “investment”;
“climate”; “pollution”; “environment”; and “sustainable” or “sustainability.” The
target codes which use one of these words are presented in Table 1, and the
description of the target codes can be found on the UN’s website under the SDG’s
webpage – https://sdgs.un.org/#goal_section.
An explicit reference to FDI is only made once within all 169 targets of the
SDGs. It relates to target 10.b which is part of SDG10 “Reduced inequalities.”
Target 10.b sets that FDI should be encouraged, in particular in least developed
countries. Accordingly, it suggests that FDI could be a way to decrease inequalities
in these countries. Additionally, target 12.6 which is part of SDG12 “Responsible
consumption and production” makes reference to transnational companies. It states
that countries should “encourage companies, especially large and transnational
companies” to be sustainable (see the UN’s website https://sdgs.un.org/#goal_
section for the complete target statement). If countries would follow this target set
in the SDG12, we would expect that, ceteris paribus, FDI would not have a
detrimental impact on the environment. Finally, there are many SDGs targets
which make reference to “technology,” often setting targets for access to technol-
ogy, and to: technological development in developing countries, educational
advancement, and international cooperation. Additionally, targets 9.4 and 12.a
make explicit the need to advance the adoption of clean technologies in all
countries (target 9.4) and technology which facilitate the sustainable patterns of
consumption and production (target 12.a). SDG17 “Partnerships for the goals”
includes many targets related to technology, showing the need for more global
cooperation to advance technological progress and the use of sustainable and clean
technologies everywhere in the world.
Finally, there are many SDGs targets calling for action in terms of the envi-
ronment. Target 1.5 within SDG1 “No poverty” and target 2.4 within SDG2 “Zero
hunger” calls attention to the vulnerable, who are often more exposed to climate-
related shocks. In terms of SDG9 “Industry, innovation and infrastructure,” there
is a call for more industrialization and infrastructure development in developing
countries, which should be done while promoting inclusiveness and environmen-
tal considerations (targets 9.1; 9.2; 9.4; and 9.a). Additionally, linking those
targets with target 9.b, which sets the need to “support domestic technology
development, research and innovation in developing countries,” and target
17.16 to “enhance the global partnership for sustainable development,
complemented by multi-stakeholder partnerships,” suggests that transnational
companies should have an active role in implementing and fostering sustainable
practices when investing in developing countries. Overall, the SDG targets
874
Table 1 SDGs and their targets – words related to FDI and CO2 emissions
SDG 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
Foreign direct investment 10.b
Trade 2.b 3.b 8.a 10.a 14.6 17.10
17.12
Transnational company(ies) 12.6
Technology/technological 1.4 2.a 4.b 5.b 6.a 7.a 8.2 9.4 12.a 14.a 17.6
7.b 9.5 17.7
9.a 17.8
9.b 17.16
9.c
Investment 2.a 7.a 17.5
Climate 1.5 2.4 11.b 13.1
13.2
13.3
13.a
13.b
Pollution 3.9 6.3 14.1
Environment 1.5 8.4 9.4 11.6 12.4 17.7
11.a 12.c
Sustainable/sustainability 2.4 4.7 6.4 7.b 8.4; 9.1 11.2 12.6 14.4 15.1 16.b 17.9
8.9 9.2 11.3 12.7 14.7 15.2 17.14
9.4 11.c 12.8 14.c 15.4 17.15
9.a 12.a 15.a 17.16
12.b 15.b 17.19
15.c
Source: UN (2022) – https://sdgs.un.org/#goal_section. Note: The word “investment” was only included when investment was referred to in terms of physical
capital. That means that the table does not include words such as “investment in poverty eradication”; similarly, the word “environment” was only included when
it related to the physical environment; thus, words such as “business environment” were not considered
J. Swart et al.
indicate the need for more collaboration across countries to combat climate
change, and they also suggest the important role of developed countries and
transnational companies in facilitating a transition to greener production pro-
cesses and consumption patterns.
Literature Review
Considering the literature reviewed, this chapter organizes the debate on FDI and the
environment as follows: (i) during the 1990s and 2000s, a first movement focused on
the validation or rebut of the pollution haven hypothesis considering the economies
individually (i.e., without a regional approach); (ii) the most recent movement,
supported by a more robust database and more years for the observations, aimed
to qualify the causal relation between FDI flows and the increase in pollution levels
in developing economies and to call attention to the differences among the economic
structures within these economies. Both strands in the literature tend to agree that
CO2 emissions per capita are a good proxy for “pollution.” Finally, the most recent
literature has incorporated other elements to the discussion, such as the role played
by international capital in the economic development process, the effects in envi-
ronmental legislation, the economic sectors that received FDI flows, social condi-
tions (unemployment rate, income and others), the relation between sustainability
and corporate reputation, and energy production and consumption that demand more
or less carbon emissions.
The debate established before is represented in Sapkota and Bastola (2017),
which sought to relate FDI flows, the level of development (income, unemployment
rate, among others), and the environment. By using panel data (controlling for
physical capital, energy, human capital, population density, and unemployment
rate) for 14 Latin American countries between 1980 and 2010, the authors test the
pollution haven hypothesis (PHH) and the environmental Kuznets curve (EKC)
hypothesis and overall validate the PHH and the EKC hypothesis with their results.
However, when splitting the 14 Latin American countries into two groups (based on
average per capita GDP), the pollution haven hypothesis stood whereas the EKC
hypothesis did not, which marked the differences between FDI flows, pollution, and
environmental regulation over high- and low-income economies. Therefore, FDI
flow regulation should not be considered in isolation from social conditions (for
instance, income distribution) in order to pursue an increase in the energy-saving
production process and a more efficient factor allocation.
The differences among low-, mid-, and high-income economies were also an
issue in Shahbaz et al. (2015) analysis. The authors brought the energy production
and consumption to the multivariate models – panel data unit root tests and
cointegration techniques – and confirmed the PHH and EKC hypothesis for the
long run. Although the authors did not ignore the benefits the increase in FDI inflows
grant for the recipient economy (job opportunities, technological changes, and
efficient management), they pointed out that those benefits could be counterbalanced
by laxer environmental regulations. The results showed that the relation between
876 J. Swart et al.
CO2 emissions, economic growth, FDI inflows, and energy consumption differed by
the income level. In particular, whereas in low-income economies FDI inflows
resulted in a more degraded environment, in high-income economies FDI inflows
resulted in an improvement in the environment. As underdeveloped economies
depend on international capital, the alternative is to combine improvements in
environmental regulation with changes in the energy source from the carbon-
intensive one to biomass.
Blanco et al. (2013) contributed to the debate by looking for the causality between
pollution and FDI inflows from a regional perspective (Latin American economies).
The authors emphasized the increase in FDI inflows to underdeveloped countries as
a share of world FDI in a short period of time: from 25% in 1990 to 31% in 2000. In
seeking to understand this increase, they analyzed the relationship between the
inflow of FDI and the flexibility of environmental legislation. The increase in
international flows should as such be understood in the context of the dispute of
underdeveloped countries to participate on the international capital market and
benefit from their economic dynamics. This dispute for international flows follows
from the belief that FDI will lead to job generation and economic growth. The
authors test whether FDI flows are related to the high levels of pollution observed in
underdeveloped countries by implementing a Granger causality test for the period
1980–2007 for 18 Latin American countries. In this way, a causal relationship
between international capital flows and emissions is attributed, in addition to allo-
wing results to be obtained with a regionalized approach. The authors find that there
is a causal relationship between FDI flows to high-carbon economic sectors and the
increase in CO2 emissions, although this relationship is not verified in other sectors
of the economy. Another important conclusion was to point to the difficulty for the
underdeveloped countries to strengthen the environmental regulation or the capital
flows terms, since FDI in “dirty sectors” have a considerable share in total FDI
inflows – and the role played by international companies in the domestic economies
also did not contribute for more control taking place.
Gonzalez-Perez et al. (2011, 2020) and Gonzalez-Perez (2022) analyzed the link
between FDI and pollution within the corporate governance literature by considering
corporate social responsibility (CSR) as a business strategy for multinational com-
panies to adapt their external environment and improve economic performance.
Therefore, the companies sought to appear responsible for better work conditions
and also environmental regulation. In this regard, companies investing abroad via
FDI should indirectly improve the environmental regulation in order to give the
multinational companies a good reputation within the local society, government, and
other institutions. Therefore, there is a concern with the CO2 emissions as a good
“doing business” practice, which leads the companies to seek sectors not intensive in
CO2 emissions or pressure for good environmental actions and practices.
Ceretta et al. (2020) found an alternative approach to analyze the relation between
FDI and pollution. Most of the discussion, as explored before, did not consider the
carbon emissions in the energy production process and its relation to economic
growth. The authors argue that if the effects of FDI on GDP are considered as an
important way to measure the relation between economic development and
pollution, then the discussion should consider the energy sources of that process.
This would require extending the analysis to the use of carbon or renewable sources
– one of the most important points in the environmental agenda for the new century.
The authors argue that the studies which sought to relate economic growth and CO2
emissions did not distinguish, among the variables, the use of renewable and
nonrenewable energies, considering instead total energy consumption. In this
respect, the objective was to qualify this relationship by considering the different
energy sources while adopting a panel data approach with threshold, including as
variables the emission of carbon dioxide, consumption of fossil fuels, renewable
energy consumption, and GDP per capita based on purchasing power parity as a
proxy for economic growth. Based on an extensive review of the literature, the
authors argue that, despite the different methods and data used, there is a positive
relationship between economic growth and an increase in CO2 emissions, in which
the choice of more or less sustainable production modes is related to the costs
involved between these options. In more general terms, there would be a “balance
point” between sustainable and fossil sources that does not inhibit investment or
growth in the case of underdeveloped countries. Regarding methodological aspects,
the authors used a longitudinal data panel covering the following variables: carbon
dioxide emissions, consumption of fossil fuels, consumption of renewable energy,
and GDP per capita based on purchasing power parity, and including 37 countries
(European countries, China, Brazil, the United States, and South Africa), which were
analyzed for the period between 1996 and 2013. The results of the study were
presented by organizing those countries into groups defined by the level of their
GDP per capita. Over time, the change of countries from one group to another attests
to the development process they went through and, above all, that the relationship
between the variables used could potentially change from one group to another. As
for their findings, in the case of low GDP per capita countries, the relationship
between the use of fossil fuels and carbon dioxide emissions was more pronounced
than in other groups, so that, in these countries, the consumption of fuels from
nonrenewable sources is the main cause of CO2 emissions; in the second group,
economic growth is the main cause.
Overall, the literature on FDI and pollution adopts different methodologies and
econometric techniques, but without reaching a definitive consensus (see Table 2).
The only consensus, perhaps, is the imperative need to attract international capital
flows to stimulate economic development and advance the economic structure
towards a higher economic complexity. This chapter contributes to the debate on
FDI and pollution by evaluating the data from a regional perspective over a recent
period in order to qualify the costs or benefits for the environment resulting from a
development strategy supported by international capital flows.
Globalization, neoliberal social and economic reforms, and new instruments of
financing the development process in many developing countries allowed compa-
nies, led by their business strategies, to reorganize the economies, resulting in an
increase in economic growth. Economic growth increases, ceteris paribus, CO2
emissions and energy demand by a scale effect. Additionally, the underdevelopment
of these countries and their lack of financial capital increases their dependence on
Table 2 Selection of empirical papers analyzing the impact of foreign direct investment on the environment
878
Independent variables
FDI
per
sector
Dependent Fixed Unemployment Human Population Energy (%
Study Countries Years Methodology variable FDI GDPpc GDPpc2 capital rate capital density use GDP) Income
Sapkota 14 Latin 1980–2010 Panel data CO2 x x x x x x x x
and American emissions
Bastola countries (metric
(2017) tons per
capita)
Blanco, 18 Latin 1980–2017 Panel The growth x x x
Gonzalez American Granger of per
and Ruiz countries causality tests capita CO2
(2013) a (metric
tons per
capita)
Tang and Vietnam 1976–2009 Multivariate CO2 X X X X
Tan cointegration emissions
(2015) and Granger
causality
Shahbaz 99 countries 1975–2012 Panel data CO2 X X X
et al. (low, mid, and emissions
(2015) high income)
Soares 30 developing 1990–2014 Panel data CO2 X X X
et al. countries emissions /
(2019) GDP
Ceretta 37 países 1996–2013 Threshold CO2 X X
et al. (europeus, panel data emissions
(2020) Brasil, China,
Estados
Unidos e
África do Sul)
J. Swart et al.
foreign investment inflows to avoid balance of payment restrictions and an interrup-

tion of the economic growth process. In other words, the questions mentioned before
refer to the economic development pattern available to the underdeveloped countries
pursuing social and economic development during the “Global Era.”
Shahbaz et al. (2015) endorses these structural perspectives and argue that in the
late 1980s, when neoliberal social and economic reforms took place in the interna-
tional economy, the term now often used “globalized economy” was also created.
The investment decisions and business strategies were oriented by a wide under-
standing of how the “new economy” should be organized, i.e., globally, and the
outsourcing mindset reorganized the FDI inflows, destabilizing the economies, once
organized in a “national” framework. At the same time, the financial development
allowed new instruments that increased the volume of capital available to the
companies. According to the authors, GDP per capita growth, energy demand and
CO2 emissions rose as FDI reached more countries in various regions (Asia Pacific,
Middle East, Latin America, among others). The relation between FDI flows and
increase in emissions was a matter of time to be noted.
The economic growth and possibilities opened by FDI flows created a depen-
dence on the national economies to maintain the country’s attractiveness to inves-
tors, while the neoliberal reforms led to a more open economy in commercial,
financial, and technological ways. The authors endorsed the pollution haven hypoth-
esis by linking the economic development pattern to the government’s tendency to
make the environmental regulation less rigid, considering the evidence discussed by
Xing and Kolstad (2002) and He (2006). Thus, based on the literature, there are still
open questions with respect to the link between FDI inflows and pollution. However,
this chapter combines the different papers that have addressed this topic to analyze it
from a Latin American perspective.
Methodology
Based on the literature summarized in Table 2, this chapter uses more recent data for
Latin American countries only to review the findings in the literature. To determine
the effect of FDI inflow on CO2 emissions, this chapter uses panel data analysis for
Latin American countries, for the period 1990–2019. Figure 3 illustrates the rela-
tionship between these two variables for the countries in the sample. This chapter
considers all Latin American countries with more than half a million inhabitants in
2015, which results in a selection of 24 countries (Table 3). Table 3 shows that these
countries are diverse when considering the level of CO2 emissions, the level of
development, and the inflows of FDI. In 2018, Haiti had the lowest level of CO2
emissions per capita (0.30 metric tons), which was more than 40 times lower than
that of Trinidad and Tobago (12.78 metric tons). In 2018, Haiti was also the poorest
of this sample of countries, with a GDP per capita 21 times smaller than Puerto Rico,
the wealthiest country in this sample. In terms of FDI inflows, Haiti was also one of
the worst performing countries in our sample, receiving approximately 37 times less
FDI (as percentage of GDP) than Guyana, in 2018. For the empirical analysis, this
880 J. Swart et al.
Fig. 3 CO2 emissions against FDI inflows: Latin American countries, 1990–2019. (Source:
Authors’ own figure, based on data from World Bank (2022) World Development Indicators)
chapter excluded 3 of the 24 countries (Cuba, Puerto Rico, and Venezuela) from the
dataset because of insufficient data. This resulted in a panel with data for 21 countries
and 30 years.
Table 4 presents the nine variables included in the empirical model. Most vari-
ables have been included following Sapkota and Bastola (2017) for the same reasons
as presented in their paper. Accordingly, this chapter lists the expected signs of the
variables below; refer to their paper for a more in-depth elaboration. Additionally, in
this chapter, the empirical analysis also controls for three additional variables:
Table 3 Countries in the dataset: CO2 emissions, GDP per capita, and FDI, in 2013 and 2018
CO2 emissions Foreign direct
(metric tons per GDP per capita investment, net inflows
capita) (constant 2015 US$) (% of GDP)
Country 2013 2018 2013 2018 2013 2018
Argentina 4.34 3.99 14,072 13,112 1.78 2.26
Bolivia 1.76 2.00 2831 3291 5.71 0.75
Brazil 2.40 2.04 9248 8582 3.04 4.08
Chile 4.72 4.62 13,333 13,901 7.98 2.61
Colombia 1.67 1.60 5867 6272 4.24 3.38
Costa Rica 1.64 1.65 11,090 12,505 6.29 4.84
Cuba 2.42 2.20 7318 8041 – –
Dominican Rep. 2.11 2.36 6187 7998 2.55 3.21
Ecuador 2.51 2.31 6084 5952 0.76 1.29
El Salvador 1.03 1.06 3591 3920 1.11 1.59
Guatemala 0.86 1.11 3802 4160 2.87 1.26
Guyana 2.61 3.13 5505 6179 4.81 24.66
Haiti 0.26 0.30 1360 1413 1.12 0.66
Honduras 1.06 1.02 2228 2475 5.78 5.99
Jamaica 2.65 2.90 4884 5044 3.82 4.92
Mexico 3.95 3.74 9283 9946 3.99 3.08
Nicaragua 0.74 0.81 1916 2086 8.79 6.43
Panama 2.77 2.43 12,695 14,868 8.33 8.45
Paraguay 0.81 1.21 5130 5871 0.81 0.82
Peru 1.66 1.70 6030 6574 4.88 2.91
Puerto Rico – – 29,426 29,753 – –
Suriname 4.18 3.61 9673 9020 3.63 3.28
Trinidad &Tobago 16.79 12.78 18,336 16,457 4.14 2.96
Uruguay 2.17 1.89 15,168 16,038 1.72 2.75
Venezuela 6.32 4.78 – – 0.58 –
manufacturing (% of GDP); electricity from dirty sources; and trade openness. The
reasons for including these three variables are described below and lead to
10 hypotheses.
Foreign direct investment – This is the main variable that this chapter intends to
test; the expected sign of it is ambiguous. On the one hand, FDI can bring new
technologies and processes that are cleaner and therefore reduce pollution
(a negative sign for the FDI coefficient); on the other hand, FDI can come to Latin
America to take advantage of laxer environmental regulation and as such result in an
increase in pollution (a positive sign for the FDI coefficient). Which of the two
effects prevails can be determined empirically.
H1a: FDI improves the environment if FDI facilitates the adoption of cleaner
technologies.
H1b: FDI is detrimental to the environment if FDI inflows take advantage of laxer
environmental regulations in the target country.
882
Table 4 Variables used in the empirical analysis: 21 Latin American countries, 1990–2019
Variable
code Variable name Description Data source Mean Std.dev. Min Max
CO2 Carbon dioxide CO2 emissions (metric tons per capita) World Bank 2.550 2.660 0.025 17.735
emissions (2022)
GFK Gross fixed capital Gross capital formation (constant 2015 US$) World Bank 3.56e+10 6.86e+10 5.49e 3.81e+11
formation (2022) +08
Unemp Unemployment rate % of total labor force (modeled ILO estimate) World Bank 7.381 3.941 1.58 20.52
(2022)
HK Human capital Adjusted net enrolment rate, primary (% of World Bank 92.604 6.808 58.112 100
primary school age children) (2022)
GDPpc GDP per capita GDP per capita (constant 2015 US$) World Bank 6978.344 5577.093 1134.138 30375.84
(2022)
Dens Population density Population density (people per sq. km of land area) World Bank 99.463 115.343 2.597 431.441
(2022)
Energy Energy use Energy use (kg of oil equivalent per capita) World Bank 1331.504 2047.655 188.949 15108.69
(2022)
Manuf Manufacturing Manufacturing, value added (% of GDP) World Bank 15.961 7.207 2.631 48.443
(% of GDP) (2022)
Dirtyelect Electricity from Electricity production from oil, gas, and coal World Bank 45.322 28.576 0 100
dirty sources sources (% of total) (2022)
Note: All World Bank (2022) data was retrieved from the World Development Indicators
J. Swart et al.
Gross fixed capital formation – Expected sign is positive: more capital implies,
ceteris paribus, more energy and thus more pollution. In the regressions, we divide
this variable by 109, so the data is in billions of constant 2015 US$.
H2: An increase in gross fixed capital formation has a detrimental impact on the
environment.
Unemployment rate – There are two opposing effects, making the effect from a
theoretical perspective ambiguous. On the one hand, the effect would be positive
if, as a result of the high unemployment rate, the government devotes less
resources to the environment. On the other hand, the expected sign would be
negative if the unemployment rate pushes labor tax down and, to compensate,
environmental taxes go up, increasing the cost of pollution. Despite these two
opposing effects in the literature, we expect that for Latin American countries, the
first effect prevails, and the expected sign is positive. The reason is that overall, in
Latin America, there is a critique about the insufficient attention paid by policy
makers to the environment.
H3a: An increase in the unemployment rate improves the environment if it results
in a lower labor tax and as a result higher environmental tax.
H3b: An increase in the unemployment rate is detrimental to the environment if
the government focuses on labor policies to the detriment of the environment.
Human capital – Expected sign is negative: more human capital implies, ceteris
paribus, more skills to implement environmental-friendly institutions, technologies,
and processes. This variable has been linearly interpolated, as often done in the
literature.
H4: An increase in human capital improves the environment.
GDP per capita – We test for the EKC by including the quadratic term. In this
case, we would expect a positive sign for the linear term and a negative sign for the
quadratic term. This variable is taken in natural logarithmic form.
H5: Economic development has a detrimental impact on the environment at low
levels of economic development. After a threshold level has been reached, economic
development results in an improvement in the environment.
Population density – The sign can be either negative or positive, depending on
which of these two effects prevails: (i) (negative) higher population density increases
opposition to polluting firms and (ii) (positive) in areas with higher population
density it becomes more difficult to keep track of all polluting activities.
H6a: Higher population density improves the environment if it implies more
opposition to polluting firms.
H6b: Higher population density is detrimental to the environment if it creates a
hurdle to control all polluting firms.
Energy use – Expected sign is positive: more energy use implies, ceteris paribus,
more capital-intensive industries and, therefore, more pollution.
H7: An increase in energy use is detrimental to the environment.
Manufacturing (% of GDP) – We add this variable to capture the composition
effect on the environment from economic activity. The variable GDP per capita
already takes into account the scale effect, but it does not control for the composition
of the economic activities, which can be more or less focused on clean/dirty goods.
884 J. Swart et al.
The composition effect refers to changes in the mix of economic activity, such as
specialization in cleaner or dirtier goods. We follow Swart and van Marrewijk (2011)
and take the value added of manufacturing as a percentage of the GDP to control for
this effect. The expected sign is positive.
H8: An increase in manufacturing is detrimental to the environment.
Electricity from dirty sources – We add this variable to capture the technique’s
effect on the environment from economic activity. This effect concerns the use of a
cleaner or dirtier technology. The percentage of oil, coal, and gas in electricity
generation is a fairly direct measure of this effect (Swart and van Marrewijk
2011). The expected sign is positive; that is, the more intensive the use of electricity
from dirty sources, the more pollution there will be.
H9: An increase in electricity from dirty sources is detrimental to the
environment.
Trade openness – We add this variable to take into account the extensive literature
on the impact of trade openness on the environment. In the literature, the sign of the
coefficient has been both positive and negative. Managi et al. (2009) find that for
non-OECD countries, the sign is positive, such that trade openness is worse for the
environment. We will test whether this holds for our sample of Latin American
countries.
H10: An increase in trade openness is detrimental to the environment for coun-
tries who specialize in the production of products which are polluting.
To test the hypotheses about the signs of the control variables, this chapter
follows the literature (see Table 2) and considers a panel data model. Equation (1)
describes the panel data model:
CO2it ¼ αi þ β1 FDIit þ β2 unempit þ β3 HKit þ β4 GDPpcit þ β5 GDPpc2it

þ β6 densit þ β7 energyit þ β8 manuf it þ β9 dirtyelectit þ β10 tradeit
þ β10 GFKit þ eit ð1Þ
In Eq. (1), i is an index for country, and t is an index for time; the first term on the
right-hand side of the equation, αi is a variable that captures unobserved heteroge-
neity for country i; and εit is the error term. Equation (1) is the starting equation;
however, because of collinearity reasons, we drop the variables energy and unem-
ployment, reducing our model to Eq. (2).
CO2it ¼ αi þ β1 FDIit þ β2 HKit þ β3 GDPpcit þ β4 GDPpc2it þ β5 densit

þ β6 manuf it þ β7 dirtyelectit þ β8 tradeit þ β8 GFKit þ eit ð2Þ
Regarding the estimation procedure, this chapter uses a Hausman test to choose
between a random and a fixed effect model. The chapter also takes into account the
possible endogeneity of FDI and unemployment (Sapkota and Bastola 2017) by first
empirically testing whether this is indeed an issue within our dataset. For this
purpose, this chapter conducts the Davidson and Mackinnon test (Davidson and
Mackinnon 1993), which suggests using the one-period lag for both of these vari-
ables. The test indicates that these variables can be taken as exogenous (we can reject
the null hypothesis of endogeneity), and therefore, the second step, which would
have been to use the lag variables as instruments and use the instrumental variable
approach, is not presented.
Table 5 presents the main results. Models (1a) and (1b) consider all variables as
motivated previously, except variable energy, which is highly correlated with GDP
per capita (0.8478) and variable unemployment. Models (2a) and (2b) remove the
variable GFK for similar reasons. The variable GFK is correlated with education
Table 5 Fixed effects and random effect model, Latin American countries, 1990–2019
Fixed effect Random effect Fixed effect Random effect
Variables (1a) (1b) (2a) (2b)
FDI 0.005 0.004 0.012** 0.010**
(0.004) (0.004) (0.004) (0.004)
HK 0.004** 0.004** 0.004* 0.004*
(0.002) (0.002) (0.002) (0.002)
GDPpc 3.659*** 3.389*** 3.170*** 2.945***
(0.763) (0.743) (0.897) (0.859)
GDPpc2 0.270*** 0.257*** 0.250*** 0.238***
(0.044) (0.043) (0.052) 0.0499
Dens 0.002** 0.002** 0.004*** 0.003***
(0.001) (0.001) (0.001) 0.001
Manuf 0.017*** 0.016*** 0.016*** 0.0152***
(0.004) (0.004) (0.004) (0.004)
Dirtyelect 0.010*** 0.011*** 0.011*** 0.012***
(0.001) (0.000) (0.001) (0.001)
Trade 0.003*** 0.002** 0.002** 0.001*
(0.001) (0.001) (0.001) (0.001)
GFK 0.001*** 0.001***
(0.000) (0.000)
Unemployment 0.007 0.005
(0.004) (0.004)
Constant 14.954*** 12.172*** 10.862*** 9.795**
(3.434) (3.172) (3.840) (3.637)
Wald Chi2 60345.86 1648.05 151.70 1250.40
(0.000) (0.000) (0.000) (0.000)
R2 0.7989 0.8030 0.6900 0.7326
Hausman FE 12.92 40.09
vs. RE (0.000)
D-M exogeneity 0.034 2.423
(0.967) (0.5058)
Note: Dependent variable is CO2 emissions per capita. The table presents the coefficients and the
standard errors, the latter in between brackets. ***, **, and * indicate significance at 1%, 5%, and
10% level, respectively
886 J. Swart et al.
(0.311), GDP per capita (0.3979), and trade (0.358). For both models, the preferred
one is the fixed effect (based on the Hausman test), but present the random effect
model for completeness. Table 6 presents a few variations of the fixed effect model
by doing a stepwise reduction in the control variables. The final column in Table 5
restricts the inclusion of the FDI variable while controlling for the scale (GDP per
capita), composition (manufacturing), and technique (dirty electricity) effects.
The results in Tables 5 and 6 are overall in line with the literature and the
expectations presented before. The expected sign for FDI was ambiguous in the
literature; our findings indicate that FDI has contributed to pollution in Latin
American countries (Hypothesis H1b). FDI can take advantage of laxer environ-
mental regulation and, as such, result in an increase in pollution (a positive sign for
the FDI coefficient). This result matches the one found by Sapkota and Bastola
(2017) and therefore offers more support for the need to establish policies and
mechanisms to avoid attracting FDIs that are polluting or, alternatively, to provide
incentives for greener types of foreign investment.
Table 6 Fixed effects with less control variables, Latin American countries, 1990–2019
Variables Fixed effect (3) Fixed effect (4) Fixed effect (5) Fixed effect (6)
FDI 0.012** 0.014** 0.014** 0.014**
(0.004) (0.004) (0.003) (0.005)
HK 0.004* 0.003
(0.002) (0.002)
GDPpc 3.170*** 2.889** 3.258*** 4.200***
(0.897) (0.9226) (0.900) (0.898)
GDPpc2 0.250*** 0.240*** 0.260*** 0.309***
(0.052) (0.053) (0.052) (0.052)
Dens 0.004*** 0.004*** 0.004***
(0.001) (0.001) (0.001)
Manuf 0.163*** 0.011** 0.011** 0.011**
(0.004) (0.004) (0.004) (0.004)
Dirtyelect 0.011*** 0.012*** 0.012*** 0.010***
(0.001) (0.001) (0.001) (0.001)
Trade 0.002**
(0.001)
GFK
Constant 10.862** 9.385* 10.751** 14.896***
(3.840) (3.943) (3.875) (3.861)
Wald Chi2 151.70 150.45 174.60 196.04
(0.000) (0.000) (0.000) (0.000)
R2 0.690 0.438 0.435 0.600
D-M exogeneity 0.109 0.203 0.223 0.175
(0.741) (0.652) (0.637) (0.676)
Note: Dependent variable is CO2 emissions per capita. The table presents the coefficients and the
standard errors, the latter in between brackets. ***, **, and * indicate significance at 1%, 5%, and
10% level, respectively.
The estimated coefficients that match the expectations presented before were for
the variables: human capital (negative – Hypothesis H4), dirty electricity (positive –
Hypothesis H9), trade openness (positive – Hypothesis H10), gross fixed capital
formation (positive – Hypothesis H2), and population density (positive – Hypothesis
H6b). In the case of trade openness, the results in this chapters reinforce the findings
from Managi et al. (2009) that trade openness is detrimental to the environment,
suggesting, according to Hypothesis H10, that Latin American countries specialize
in products that are more polluting. As for FDI, this calls for policy action to consider
this side effect of economic integration into the world market. Policy action does not
mean moving towards more autocracy but simply implementing stronger environ-
mental policies to counteract the environmental problems which come along with
more integration. Like FDI, trade openness can be beneficial to the economy by
increasing competition, creating jobs, and fostering technological progress; how-
ever, it can also result in carbon leakage from developed countries with stronger
environmental regulations to developing countries with laxer environmental
regulation.
For population density, this chapter finds that the estimated coefficient is nega-
tive, suggesting that higher population density decreases pollution. This could be
because, for example, the society in a more populated area has more opposition to
pollution from firms. Finally, we found a U-shaped curve for GDP per capita, which
is in contrast with other papers in the literature (no evidence for Hypothesis H5).
This could be a result of the different sample sizes included in this chapter. Using
Model 1a, the turning point in the GDP per capita and CO2 emission curves would be
around an income level of approximately US$876, which is well below the income
level of all countries in the sample adopted in this chapter. In this sense, these
countries would be in the upper part of the curve, in which more development leads
to more pollution.
Overall, reestimating the panel data model with this more recent data and
controlling for additional variables shows that the results are in line with expecta-
tions. For the ambiguous variable, mainly FDI, but also trade openness, the findings
show that both are detrimental for the environment in Latin America. The next
section discusses this finding in light with the efforts by Latin American govern-
ments to achieve the Sustainable Development Goals by 2030.
Conclusion
This section presents a brief discussion of the findings from sections “SDGs, Foreign
Direct Investment, and the Environment” and “Methodology” in light with the
efforts by Latin American governments to achieve the Sustainable Development
Goals by 2030, which have been included in the national government’s planning.
In the current context, a fair environmental balance needs to be developed in favor
of human life with dignity and for the benefit of the whole society. A key challenge is
that the efforts to combat climate change and the investments related to it also benefit
the poor (UNSDG 2018). Therefore, the paradigm of environmental depredation
888 J. Swart et al.
needs to be modified to a new development model where the environment is

preserved for current and future populations through a balance between environ-
mental resources and the needs of human life.
Developing countries, in particular, are more exposed to the risk of environmental
degradation because the social and economic challenges they face are higher. This is
the case for all Latin American countries analyzed in this chapter. Latin American
countries still have a large contingent of people who are living in poverty and/or
whose elementary needs have not yet been met. These strong social demands tend to
hamper the arguments for restricting economic growth in favor of the environment.
At the same time, this is a region that is highly dependent on the environment. The
environment is important in Latin America either because of the natural resources
and the economic wealth attached to it or because of the importance of conserving
biodiversity and nature as they impact the climate, the intensity and frequency of
rainfalls, the quality of soil, and so on.
It is in this context that the debate on the relationship between FDI in Latin
American countries and their effects on the environment must be inserted, especially
when based on the SDGs, as this type of investment can bring ambiguous results on
the goals set by the UN. Nonetheless, despite making explicit reference to FDI only
once in the SDGs target, the SDGs are clear in calling for more sustainable action
from all countries and stakeholders. Target 12.6 is emphatic and asks countries to
encourage transnational companies to act more sustainably.
Whether countries and transnational corporations are following and taking the
SDGs into account is something that still needs to be further investigated. A study
carried out by Aust et al. (2019) sought to analyze how FDI impacted the achieve-
ment of the SDGs on the African continent. The results show that FDI generally has
a positive impact on the SDGs. However, this result is obtained with a negative
relationship between FDI and the possibility of achieving the goals of SDG 13 (Cli-
mate Action). This last result is counterbalanced by the positive results of FDIs in
some areas, such as renewable energy, drinking water, basic infrastructure, and
sanitation, making the result positive in the aggregate of the SDGs.
This chapter focused on the relationship between FDI flowing to Latin American
countries and their impact on CO2 emissions. The results indicate that FDI has
contributed to pollution in Latin American countries (a positive sign for the FDI
coefficient), and one possible explanation is that FDI can come to take advantage of
laxer environmental regulation. These results are overall in line with the literature.
This scenario suggests that the choice of strategy by governments with regard to
achieving the goals of the SDGs is not trivial. Some of the SDGs are linked to
economic growth and others to the environment; however, their implementation
should take each other into account. This chapter shows that according to the
literature, and to the updated empirical analysis from sections “Methodology” and
“Results and Discussion” that Latin American countries have not been successful as
of yet. Therefore, if Latin American countries intend to fulfill all SDG targets by
2030, they need to revise the way they attract FDIs.
This can be done, for example, through: policies that avoid attracting polluting
FDIs; incentives for greener types of foreign investment; and with compensation
policies, that is, FDI policies have the function of carrying out compensatory
measures that mitigate the results in relation to the environment. These policies
should provide ways of continuing to foster FDI while simultaneously reducing the
damage pointed out in relation to the environment.
Finally, one last reflection and some questions that the chapter raises are: if these
policies above mentioned are effectively implemented, can this not result in carbon
leakage from Latin American countries to other, more backward countries (e.g.,
some countries on the African continent)? In other words, given that the SDGs aim
to improve the planet as a whole, to what extent do policies applied in a set of
countries transfer the pollution problem to other countries? Are these policies then
desirable? SDG17 calls for more global partnership, and as such, a final question is:
would it be possible to elaborate a global strategy for FDI that contains a parameter
on the maximum tolerable levels of environmental degradation? This chapter shows
that these questions need urgent answers in order to improve the benefits of FDI in
developing countries.
Cross-References
▶ Governance of Climate Justice: Taxation Transfers and Green Bonds

▶ Structural Change and Goal 9 in Latin America: Challenges and Bottlenecks
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Informal Circular Economy in Mexico
Moises E. Manzanares-Manzanarez ,
María Concepción Martínez-Rodríguez , and
Miguel Alvarado Cardona
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 892
Informal Circular Economy in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 893
Waste Generation and Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 893
Increase in Waste Generation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 894
Waste Management in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 896
Circular Economy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 897
Circular Economy in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 900
Tianguis in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 901
Recycling in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 902
Informal Recycling in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 905
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 908
Abstract
Throughout the pandemic, there was an increased urban solid waste generation
because of the lifestyle change brought on by a rise in consumption regime that is
unsustainable, mainly operating under a linear economy, and so we must change
towards a circular economy. The circular economy interferes with the object’s
design, inducing it to use renewable energies, avoid using toxic substances,
reintegrate waste into its biogeochemical cycles, or extend its life-use for a longer
time, thereby preventing environmental impacts from extraction to final disposal
waste.
For Mexico, the concept of a circular economy is new. Still, the action of
keeping products in use is not, with businesses dedicated to renting, maintaining,
repairing, reusing, recycling, renovating, and sharing objects with the community
M. E. Manzanares-Manzanarez · M. C. Martínez-Rodríguez (*) · M. Alvarado Cardona

Instituto Politécnico Nacional, Centro Interdisciplinario de Investigaciones y Estudios sobre Medio
Ambiente y Desarrollo en la Maestría en Ciencias en Estudios Ambientales y de la Sustentabilidad,
e-mail: mmanzanaresm1400@alumno.ipn.mx; mcmartinezr@ipn.mx; maalvarado@ipn.mx

https://doi.org/10.1007/978-3-031-16017-2_48
892 M. E. Manzanares-Manzanarez et al.
for decades; there is even a word from Nahuatl to refer to markets where you can
buy secondhand things, tianguis. However, these businesses have threats and
weaknesses, such as not giving guarantees, objects or repair parts of doubtful
origin, and low-quality repairs. That’s why it is necessary to understand how the
informal circular economy works in Mexico; the present work proposes to
describe it.
Keywords
Circular economy · Mexico · Repairing · Recycling · Market · Environmental
impacts · Solid waste · Disposal waste
Introduction
The present work seeks to describe the informal circular economy situation in
Mexico, showing that there is an everyday infrastructure that prolongs the object’s
life-use; this “informal activity” is due to the lack of economic resources to be able to
acquire new products and due to the need to prolong the service of the object, among
other reasons. The work development starts from a contextual journey through waste
generation, the problem with waste management, the strategies to solve this problem
throughout history, and the effects of the COVID-19 pandemic, as well as the
increase in the waste disposal situation due to the generation of new additions to
cope with COVID-19 and the exaggeration in consumption patterns due to confine-
ment. It also analyses waste management in Mexico regarding waste disposal and the
need to implement actions to counteract it. It also considers how the circular
economy at an international level has been interpreted as a strategy to reduce the
generation of waste and the extraction of materials, with measures that prolong the
useful life of the object, such as the R’s (rethink, redesign, reduce, reuse, reuse,
repair, recondition, recycle, recover). Finally, the aim is to study how these activities
in Mexico have become trades that commonly operate in informality due to the
bureaucratic situation. It is also described how Mexico is a privileged place in terms
of location and economic activities such as manufacturing to develop the circular
economy, as well as the identification of sustainable development objectives, which
can be met with the circular economy transition. The last chapter describes the
informal circular economy activities, such as secondhand sales, recycling, and other
actions, in the flea markets and the perception of that sector of the society with the
highest purchasing power, which can be a barrier to formalizing these businesses. As
well as a description of recycling in Mexico, identifying the scavengers as the main
actors, their organisation, the conditions to which they are exposed and how their
leader can manipulate them to achieve political or social objectives. The waste
management situation in Mexico is complicated; there are interests in specific sectors
that seek to benefit from this. So it is necessary to pursue what limits the waste
management situation and improve it, reconcile the parties involved, and make them
aware of the benefit that good agreements will bring to comprehensive waste
management.
Informal Circular Economy in Mexico 893
Informal Circular Economy in Mexico
Waste Generation and Management
Waste generation has accompanied humanity since its origins. When the population
was small and nomadic, the waste generated decomposed naturally due to its
composition having a higher organic percentage distributed wherever it moved.
Agriculture appeared around 10,000 years ago, at the same time as permanent
settlements were generated and population density grew, as the waste generation
did, which management represents a final disposal problem (Martín Medina 1999).
When defining waste, we must consider the following two dimensions:
1. It does not mean that waste does not have value. On the contrary, the objects
considered as waste have a social and economic value and complex symbolic
relationships, and social practices are woven around them.
2. Producing waste is part of living beings’ activities, and all waste, like any
organism or matter, is subject to the deleterious effects of the environment
(Guzmán and Macías Manzanares 2011).
Throughout history, three main ways of waste disposal developed. The first form
of removal consisted of leaving waste on the house’s ground or streets and letting the
wind, rain, or some other external factors take the waste away; this final disposal
type has grown in Manhattan, New York, where the waste level on the street is
currently four meters higher than in the seventeenth century (Rathje 1990). Another
record shows another waste disposal type in the Minoan civilization of Crete. In the
years 3000–1000 BC, waste was placed in large pits and covered with soil at
different intervals (Priestley 1968). The Greeks also used this technique, establishing
the first “municipal” garbage dumps. Around 500 B.C., in Athens, a law required its
inhabitants to take their solid waste at least one mile outside the city walls (Martín
Medina 1999). This is the predecessor of the sanitary landfill and is currently the
most common form of final disposal used. The third waste disposal method is the
recovery and productive use by reusing or recycling them. The reuse and recycling
of waste materials have a long history. In the Aztec capital of pre-Hispanic Mexico in
the sixteenth century, it was forbidden to throw garbage in the streets, people were in
charge of sweeping it, and offenders were penalized (Vizcaíno 1975). Motolinía
referred to Mexico Tenochtitlan streets as the cleanest and most swept, that “there
would be nothing to trip over and that, although the sole was so delicate, the foot
would not receive any detriment in walking barefoot” (Salviani de Boseck and
González 2009).
The waste management problem is caused mainly by two closely related
phenomena:
1. The human expansion expressed in occupation, exploitation, and species pre-

dominance in practically all the ecosystems and corners of the planet
2. The industrial-capitalist production-consumption logic
In a certain sense, “the garbage problem” appears as one of the most significant
emblems of contemporary civilization, which, unlike pre-modern or ancient socie-
ties, is global due to its scope and interrelationships of a financial, political, and
cultural nature (Guzmán and Macías Manzanares 2011).
Increase in Waste Generation
The current COVID-19 pandemic began in late December 2019 and was subse-
quently declared a global public health crisis on January 30, 2020, by the World
Health Organization (WHO 2020a).
The social perception of the pandemic in environmental matters tends to be
positive with border closures and the decrease in vehicle fleet due to the COVID-
19 contingency experienced by most countries. As a result, clearer skies, cleaner
rivers and beaches, and improved air quality were observed (Singh et al. 2022), and
it was even possible to watch animals came closer to cities.
The growth rate of confirmed COVID-19 cases was above 1000% in most
developing countries as of May 1, 2021, indicating a possible increase in the number
of face masks, approximately above 10 million daily, because its use was made
mandatory, even fining the population that did not use them (Adelodun et al. 2021).
The crisis triggered by the COVID-19 pandemic has changed the dynamics of
waste generation worldwide, creating a need for attention. COVID-19 restrictions on
public places and activities such as employment, schools, and recreational activities
have increased household waste and decreased industrial and commercial waste as
people spend more time at home, considerably changing the characterization and
waste generation (Moonsammy et al. 2021). Furthermore, the high demand for
personal protection and hygiene products leads to increased urban solid waste
production (MSW) and decreased recycling efforts (Thomson 2020). The recycling
suspension has been done to separate MSW manually or requesting to do it from
home could spread the virus faster, there are studies on the persistence of SARS-
CoV-2 in different materials that make up the waste, such as plastic or steel, where it
persists up to 72 h (Zou et al. 2020).
The increase in waste generation, recycling reduction, and poor waste collection
practices can negatively impact the environment in the medium or long term and can
cause concern (Zambrano-Monserrate et al. 2020). As a result, the restaurants had to
change their dynamics. When they were restricted in their operations, they opted for
a delivery system for their products, preferring to use single-use disposable packag-
ing materials, thus avoiding and minimizing virus transmission with personal or
reusable containers (Naughton 2020); these contributed to the increase in waste
generation. The lockdown influenced waste generation due to the individual con-
sumption in online shopping, home, office, and food intake (Sharma et al. 2020), as
well as the panic buying of necessities and excessive storage of cold chain perish-
ables and non-perishables.
The waste dump load increased with plastic-based masks, disinfectants from
plastic bottle tissues, and used surgical masks. The WHO model estimates a demand
of 1.6 million per month for protective eyewear, and the need for laboratory gloves
was 76 million. In contrast, the global market for medical masks was 89 million per
month during the COVID-19 response (WHO 2020b). Residues in the USA peaked
at about 20% higher than usual, with an increase of more than 30% in some regions
observed by SWANA in late April 2020 (SWANA 2021).
A substantial increase of approximately 3.4 kg per person per day has been
reported, and waste generation by people who have had COVID-19 has also been
reported, with an estimate of around 2.0 at 2.2 kg per capita per day in developing
countries. In Mexico, it was not significantly different; a generation of 2.23 kg per
capita per day has been reported (Singh et al. 2022).
Without any personal protective equipment, there is a risk to the informal
workers’ health in the collection, separation, and categorization of recyclable
waste generated. In this process, workers can find an economic resource (Cruvinel
et al. 2019; Moonsammy et al. 2021) but also hazardous waste. Moreover, this
activity has a socially and economically negative stigma and is often associated with
poor working conditions, poverty, child labor, and social rejection (Aparcana 2017).
Developing countries face a higher risk of contamination from waste and sewage,
with a deficiency in comprehensive waste management. They are disposed of
through poorly operated sanitary landfills, mostly at disposal sites, without safety
equipment. In final disposal, primary separators and animals can function as disease
vectors can be found (Singh et al. 2022). Solid waste management involves a
significant investment of capital and administration, so its management has often
not been sustainable since the government is often unable to live up to the respon-
sibility of waste management (Serge Kubanza 2021; Moonsammy et al. 2021).
Therefore, it is necessary to understand the socioeconomic dimension behind the
solid waste sector, including households with their contribution to the prevalence of
final self-disposal of waste (burning or burying it) that occurs to a greater extent in a
lack of waste management and informal recycling, even more so in a pandemic
context like the current one (Kulkarni and Anantharama 2020). Situations have been
reported where the lack of urban solid waste comprehensive management is related
to the possible spread of the pandemic and its potential to become a severe problem,
such as the lack of comprehensive waste management in hospitals in Aligarh, India
(Alam et al. 2019).
The pepena (waste separation) is the most critical activity in prioritizing recycling
in waste management, but, above all, it constitutes a labor force that is at the service
of the management systems; however, because it is not recognized, it remains
outside the garbage governance and escapes the adjustment that COVID-19 imposes
on waste management (Jiménez-Martínez 2020). At the international level, limited
recycling infrastructure and a lack of regulation are perceived, with a lack of
incentives and programs that encourage this practice. Moreover, due to the pan-
demic, it can be observed that activities such as reuse, recycling, or upcycling that
are carried out by the informal sector and with the conditions described above can
lead to a possible contagion and spread of COVID-19 through contact with surfaces
with this virus (Moonsammy et al. 2021).
Waste Management in Mexico
Like the world trend in the last century, Mexico has been predisposed to increased
waste due to products and services’ greater accessibility. In the case of electronic
waste generation in Mexico, in 2012, a per capita generation of 2.52 kg/inhabitant/
year was reported, with generation estimates of 22 thousand tons per year in total
(INECC 2012). In addition to this, a particular management of waste, such as
electronic waste, is operated by the municipal cleaning system in conjunction with
urban solid waste. However, lacking a specialized infrastructure for electronic waste,
some places lack collection and final disposal of hazardous and hospital waste, so
their removal is done jointly: household and commercial waste (PAHO and WHO
2005). This lack may be due to the extensive responsibility established in Mexican
legislation applications, such as the General Law of Prevention and Integral Man-
agement of Residues (LGPGIR, by its Spanish initials), by manufacturers and
distributors, the government, and the public electronics users (Kulkarni and
Anantharama 2020). And the situation regarding electronic waste generation does
not seem to cease because this sector is constantly growing. The computer
manufacturing market has shown significant trends from 3,500,000 units to
21,096,000 units from 1998 to 2008, leading to a growth of 600% (Kulkarni and
Anantharama 2020).
One of the significant problems for final waste disposal is that the sites occupy
large land extensions, and the ground must have specific characteristics. Therefore, it
is identified that one of the actions that help to counteract poor waste disposal could
counteract this since the main problems associated with space and contamination of
final disposal sites are generated by PET (Romero-Hernández et al. 2009).
Regarding waste collection, the coverage percentage of the collection service
differs according to the geographical area. States such as Colima, Aguascalientes,
Chihuahua, D.F., Nayarit, and Quintana Roo have 100% collection coverage; in
contrast, Baja California Sur, Guerrero, and Puebla maintain a coverage index that
serves less than 50% of their population (Jiménez Martínez 2015); even in 10% of
the country’s municipalities, this service is not offered. Due to the lack of collection,
it is estimated that 16.13% of the waste generated is disposed of in uncontrolled final
disposal sites or is directly disposed of in ecosystems (SEMARNAT 2019). And
despite the increase in waste generation, there is an absence of adequate final
disposal sites, which has pressured officials to examine the different solutions or
ways to solve the contamination problem caused by poor urban solid waste disposal.
However, due to poor waste management orientation, there is a bias that does not
allow them to make informed decisions about the technologies and the selection of
the most appropriate management processes in the Mexican context, considering
social, political, economic, and environmental criteria (Taboada-González et al.
2014). Culture can also influence the percentage of corruption, clientelism, and
cronyism if an economic crisis is perceived, among others (Guzmán and Macías
Manzanares 2011).
As mentioned above, Mexico has extensive environmental legislation regarding
waste management; Dr. María Cristina Cortinas Durán has collaborated in the
formulation of the LGPGIR and has reported that both legislation and policy in this
area encourage the prevention of waste generation, waste reuse, and recycling and
places important limitations on incineration and final waste disposal (Cortinas 2001).
In addition, the Mexican Environmental Protection Legislation has a general legal
framework at the federal level for prevention and waste management, which is based
on the Political Constitution of the United Mexican States. This framework includes
Mexican laws, regulations, and official standards that apply to the territory
(SEMARNAT 2008), such as the General Law for Ecological Balance and Environ-
mental Protection, the Law for the Prevention and Integration of Waste Manage-
ment, the Law on Use of Financing Renewable Energy and Energy Transition,
the Waste Prevention and Management Law for the State of Baja California, the
Environmental Protection Law of the State of Baja California, and the Law for the
Promotion and Development of Bioenergy (Taboada-González et al. 2014).
Circular Economy
Humanity has been related to nature in different ways, for which there have been
different conceptualizations of raw material administration; three other humanity-
resource relationships have been described in an economy based on biology.
Georgescu-Roegen describes the bioeconomy type “I,” which refers to decrease
and recognizes that we must return to past actions where our impact was minor; type
“II” refers to science technology, which describes that through advances we will be
able to circumvent all the adverse effects on the environment; and type “III” is based
on biomass and seeks to make a biogeochemical cycle analogy and reintegrate them
so that the processes keep circulating. The circular economy is born from this
philosophical conception of the relationship we must have today concerning natural
resources to generate the most negligible negative impact on the environment
(Veraart and Blok 2021).
The circular economy has been viewed as a new topic. However, several of its
activities have been carried out throughout human history, such as material reduc-
tion, reuse, repair, reconditioning, recycling, and recovery. The circular economy has
deep-seated origins and cannot be traced back to a single date or author. Some works
affirm that the circular economy concept had roots in Japan in 1870, given the lack of
landfill space due to the rocky topography and the limited amount of metals and
minerals (Velvizhi et al. 2020). However, the term circular economy and its concep-
tualization were given to Pearce and Turner in 1990 in their work entitled “Sustain-
able Economic Development,” which described the economy and ecology
relationships (Heshmati 2017; Harris et al. 2021; Mhatre et al. 2021). Despite
occupying the term circular economy for the first time, there is a problem with its
conceptualization today. The interpretation given to the circular economy depends
on the sector that addresses it – academia, industry, government, or the general
public; some see the circular economy as a model to ban the extractive industry, as
a possibility to do greenwashing, or as a strategy of small reduction actions or even a
strategy to collect more taxes (Niskanen et al. 2020). Kirchherr, in 2017, makes a
circular economy conceptualization based on the analysis of 114 definitions in

155 articles and finds that 60% of the definitions are based on the conceptualization
of the R’s according to the author, is the number of R’s that define, there have been
38 R’s have been reported (Reike et al. 2018). These R’s are actions which reduce
waste generation; among them we can find: reject, rethink, reduce, reuse, repair,
renew, remanufacture, repurpose, recycle, recover, and others. China has been the
first country to begin transitioning to circular economy since establishing the 3R’s as
pillars.
Another current view sees the circular economy as a systematic process that must
be approached from the design, for example, observing what will happen to the
product when it becomes waste and trying to ensure that it can be repaired and
quickly assembled and disassembled and that the parts can be maintained or
reintegrated into natural systems. It also seeks to reduce or eliminate the use of
toxic substances in manufacturing and to have an infrastructure that prolongs the
life-use and reintegrates the components to the natural systems (Kirchherr et al.
2017).
Today the most accepted definition is the one coined by the Ellen Macarthur
Foundation:
A circular economy is an industrial system that is restorative or regenerative by intent and

design. Replaces the concept of "end of life" with restoration, shifts to the use of renewable
energy eliminates the use of toxic chemicals, which impair reuse, and targets waste elimi-
nation through the superior design of materials, products, and systems, within these business
models. (Ellen MacArthur Foundation 2013)
The Ellen MacArthur Foundation approaches the circular economy as a system-

atic process, without excluding the conceptualization of the R’s, which are taken up
in its definition of the technical regenerative phase. It establishes the different actions
to prolong the object’s life-use. The R’s mentioned above are rank in order of least to
most impact and functional preservation from a repair to a reconditioning of an
object piece, to use the material and finally from use of its properties as a substance
(Ottoni et al. 2020).
The circular economy has been taken at a general level as a possible solution to
extracting raw materials and waste generation (Velenturf et al. 2019); however,
society has developed under a linear economy based on removing the raw material,
manufacturing a product, putting it to use, and disposing of it, almost wholly
devaluing the raw material (Hahladakis et al. 2020). We have extracted the raw
materials more easily accessible, using large amounts of energy and economic
processes, with high environmental impacts that could be reaching the physical
limits of our planet in terms of pollutant emission and raw material extraction
(Robaina et al. 2020).
The transition to the circular economy proposes efficiency in consumption,
reducing waste, and maintaining the value of materials for as long as possible
(Bravi et al. 2019). Likewise, it seeks to decouple economic growth from consum-
erism, helping to reduce the exploitation of finite natural resources derived from the
projection of economic development of the world middle class (Burgon 2016).
Compliance with the Sustainable Development Goals (SDGs), goals with an

environmental impact adopted by 193 UN member states in September 2015,
includes several relevant resource and waste management plans, which can improve
directly or indirectly the said management (Hahladakis et al. 2020).
The author Brandão et al. (2020) identified the SDGs that can be met by making a
successful transition to the circular economy:
Circular economy practices can help meet several SDGs, including SDG 6 (Clean Water and
Sanitation), SDG 7 (Affordable and Clean Energy), SDG 8 (Decent Work and Economic
Growth), SDG 12 (Responsible Consumption and Production), SDG 13 (Climate Action),
SDG 14 (Life Below Water), and SDG 15 (Life on Land). (Brandão et al. 2020).
In particular, of the SDGs mentioned above, some authors point out expressly that
two SDGs, i.e., SDG 12 (Guarantee sustainable consumption and production pat-
terns) and SDG 14 (Conserve and sustainably use the oceans, seas and marine
resources), can be pillars for circularity and improvement in plastic waste manage-
ment (Hahladakis et al. 2020). It should be noted that object extension will bring
about a decrease in extraction and final disposal. Mexico has a lack of comprehen-
sive waste management. The transition to a circular economy can bring more
important indirect benefits than those related to the type of extraction and final
disposal, avoiding negative environmental impacts on soil, air and water bodies,
and social benefits.
Despite its benefits, the circular economy is not the solution to all environmental
problems; the circular economy is not the only nonlinear model that exists. We can
also find cleaner production; eco-design; design for reassembly; socially responsible
entrepreneurship; reverse logistics; closed-circuit, regenerative economy; symbiosis
and industrial ecology, from cradle to cradle; and ReSOLVE (for its acronym in
English: Regenerate, Share, Optimize, Loop, Virtualize, and Exchange) among
others (Dieleman and Martínez-Rodríguez 2019; Sehnem et al. 2019; Mhatre et al.
2021). This also involves reducing, reusing, recovering, recycling and promoting the
raw materials regeneration, trying to recover resources at their highest quality to
maintain their useful life (Burgon 2016) and adopting waste as a primary resource
(Palafox-Alcantar et al. 2020) and using renewable energy as the only source and
preventing harmful materials from leaking into the environment (Burgon 2016).
The circular economy cannot ensure a 100% zero waste or zero-emission gener-
ation scope or guarantee sustainability; since physical and chemical limitations in the
processes and products prevent this, it is necessary to maximize resource use
(Brandão et al. 2020). Raw material extraction and waste generation can be
explained by the first law of thermodynamics, in which raw materials are neither
created nor destroyed and only become waste (Heshmati 2017). In the biodegrad-
ables use case, the product lifetime was shortened and, consequently, raw material
consumption and final disposal increased (Chen 2021). Some authors argue that
alternatives to plastic, such as bio-based, compostable or biodegradable objects, still
face questions about the availability of raw materials, whether they will be cheap
enough, or if the market and their environmental impact will be able to accept them
once they replace plastic (Tsai et al. 2020).
The circular economy is not exempt from negative environmental or the so-called
rebound effects, which are positive actions that trigger negative impacts; this hap-
pens due to the excessive energy consumption and the great use of transport in
circular activities because of the relentless search to keep an object in use for a longer
time and not ensuring whether the actions implemented are sustainable or not
(Salvador et al. 2020). Moreover, according to authors Murray, A. and Skene, the
circular economy is thermodynamically naive and will inevitably have knock-on
effects, undermining environmental benefits (Niskanen et al. 2020).
One of the social benefits of the transition to the circular economy is informal
sector regulation and formalization. The authors highlight the importance of includ-
ing the informal sector in the circular economy in large cities of developing countries
because they have the experience and empirical knowledge regarding waste man-
agement (Velvizhi et al. 2020). China’s pioneering government in the transition to a
circular economy has included the informal sector. They consider that this sector has
historically played an essential role in facilitating reuse, recycling in the collection,
final waste disposal, and secondhand markets. Still, recently the industry has dete-
riorated due to a reduction in profits and greater regulation; some regulations have
been favorable since the primitive recovery processes that they carried out entailed
risks due to the exposure to and release of heavy metals in the soil and rivers. They
even mentioned that excluding them from the recycling market would be very
counterproductive. For a correct inclusion, it is suggested to develop creative
businesses based on market models where the interested parties reach agreements
for effective reverse logistics, including the local culture (Joensuu et al. 2020). The
informal sector has developed a complex material supply chain that lacks systemic
planning. The circular economy’s lack of knowledge is a crucial obstacle to its
promotion. However, collaborations in this sector can be made through networks,
routes, and dissemination of information (Salmenperä et al. 2021). It is worth
mentioning that the transition to the circular economy, including the informal sector,
can bring with it a lack of reliable data and an adequate system for the reverse
logistics of waste (Ottoni et al. 2020).
Circular Economy in Mexico
The general economic conditions, cultural characteristics, history, educational sys-

tem, and learning capacities of a country strongly affect and determine its ability to
innovate, change, and adapt to new requirements, opportunities, and challenges,
such as the circular economy. Mexico is a highly heterogeneous and multilayered
country with one foot in modernity and the other in a pre-modernity. Challenges for
Mexico include a wasteful and unionized education system, extreme poverty, ram-
pant corruption, rampant organized crime, chronic tax evasion, clientelist gover-
nance at the state and municipal levels, and the overregulation of the Mexican
market. In addition, governments are often incompetent and corrupt, which is
supposed to be enforced by the copious regulation. In response to this, many
companies choose to operate within the informal economy, and the Mexican econ-
omy informality is widely seen as a significant factor in the country’s lack of
competitiveness (Dieleman and Martínez-Rodríguez 2019). These conditions make

the transition to a formal circular economy complicated.
However, Mexico City’s geographical location is favorable. The average flight
time from here to economic center cities such as New York, Los Angeles, Rotterdam,
Yokohama, Rio de Janeiro, Shenzhen, and Shanghai is 14.4 h. The average flight
time from European and Asian cities to other major economic centers is between
20 and 25 h. Mexico predominates in the manufacturing sector, complemented by
tourism, mining, agriculture, real estate, and construction. The manufacturing indus-
try produces a significant part of the world’s automobiles, trucks 5.4%, light vehicles
8.1%, televisions 4.2%, cell phones and communication equipment 3.9%, auto parts
and accessories 5.7%, and computer parts 5.2% (Pérez 2015).
Mexico has many trades dedicated to maintaining, repairing, reusing, and
recycling objects. Francis Alÿs, a Belgian artist, lived in Mexico, making many of
his works related to waste management, the secondhand things sold in Mexico City’s
tianguis, on the maintenance and repair trades. He even carried out experiments of
leaving seven small metal sculptures in the waste and finding two statues in the city’s
tianguis; this exercise tried to measure the informal recycling effectiveness (Alÿs
2006).
“Informal” businesses have also been seen on social networks where there are
groups to sell secondhand objects or the Facebook Marketplace tool where second-
hand things and services that prolong objects’ life can be offered. This indicates that
Mexicans have included in their daily activities extending objects’ useful life
because most Mexicans are constantly connected through Facebook, WhatsApp,
Instagram, and other social networks (Dieleman and Martínez-Rodríguez 2019).
In Mexico, activities have been developed that prolong objects’ life in an informal
way and from the need to keep the thing in service, as they do not have the economic
resources to acquire a new object.
Tianguis in Mexico
In Mexico, the tianguis has been a custom since before the conquest; it was the
established form of commerce. There were even rules of only making exchanges
within the tianguis. In the Tlatelolco tianguis, the largest tianguis in the Aztec
capital, they were described in 1554 by Cervantes de Salazar as activities that
prolong objects’ life-use such as shoemakers, tailors, gunsmiths, and other trades
that repaired and maintained objects (Villegas 2010).
The tianguis are commonly itinerant markets installed and uninstalled in strategic
locations in Mexico cities. This tianguis has been perceived as a commercial center
for low-income people of continuous agglomeration, physical contact, and people
mixture, typical of popular cultures. It is perceived both in bodily closeness, as in the
“lack of limits” itself, the jokes to strangers, the compliments, and, in general, the
easy confidence, so widespread in the daily life of tianguistas that it offends certain
consciences. It is even perceived with disgust as a sign of distinction between
“educated” people and the “popular” classes. It has been mentioned that social
sectors with a high purchasing power distance themselves from these sites because
of their clean and dirty definition since they perceive it as a place with a “lack of
hygiene.” Also, because of the indiscriminate mixture of disparities, they break the
classificatory schemes of “everything in its place” of modern thought. To this must
be added the “mixture of bodies” of some tianguis where one has to pile up what for
the upper classes of Mexican society represents the “lowest,” the poor, the “prietos”
and “indios” (Zepeda et al. 2013).
The tianguis have been perceived as “poor consumption” places dedicated to the
“secondhand cultures” within the tianguis. It focuses on studying the consumption of
the “second,” which consumes merchandise discarded by others or uses pieces of
objects to generate new ones, collage, use, repair, and self-repair. Driven by neces-
sity, the people break with the hegemonic life narrative regarding things: purchase,
spoilage, disposal, even reaching a consumption of purchase, out of fashion, and
disposal. In the tianguis, everything is saleable and reusable, even garbage. Thus,
armies of “tilichentos,” “chachareros,” or people who sell what they find at home
give them or get on the street and meet each tianguis setting defying this first
“mainstream” cycle of consumption (Zepeda et al. 2013).
There is a culture of recycling, reuse, repair, and reconditioning, almost inherent
to the tianguis, which seems not to be generated by some ecological awareness but
by a “need” to extend merchandise’s proper life cycle. Certain alternative forms to
the exchange system are considered “proper” to capitalism. People in the tianguis are
not usually fully aware of ecological practices, reuse function, appropriation, and
recycling of objects, but this is an important aspect that should not be left behind:
“unconscious” environmentalism could not be left behind unsaid. The lack of
discourse does not annul the environmentalist effects of this popular environmen-
talism in some tianguis practices. The rationality of recycling, reuse, and reduction in
flea markets is against a series of irrational representational assumptions about the
merchandise life-use. Representations such as the “social value” of buying new and
fashionable; “the quality” that implies acquiring goods of certain materials and not of
others; and the supposed obsolescence of technologies and the “asepsis” that a
particular product must have can be considered mere rituals of innovation in
items’ social system. Recycling, reuse, reconditioning, reduction, repair, and reno-
vation are present in the tianguis in examples such as the sale of bags made of towels,
glass cups made of beer containers, piggy banks made of soda or beer cans, quilts
made with hundreds of “pieces” of fabric discarded by the textile industry, or the
extensive use of “tin rings” (Zepeda et al. 2013).
The most common reuse or secondhand sale practice is used clothing because the
tianguis serve as a market where clothing from outlets or with factory defects is sold
at a low price. These clothes are bought primarily in stores in the USA and are
transported in large compacted quantities called “pacas” (Zepeda et al. 2013).
Recycling in Mexico
Recycling is an activity that was born with humanity because it requires less time
and effort to recover materials or substances from by-products than to extract raw
materials and remake an object. For example, less energy is needed to melt and
recycle metals than mine. Archaeological evidence shows that waste and non-useful
metal objects were recycled in 3000 BC, shortly after metallurgy began (Martín
Medina 1999).
In Mexico, recycling is not a new issue; it has existed since the Aztecs practiced
intensive recycling before pre-Columbian times. In the Aztec capital, human excre-
ment was collected from the latrines and transported in canoes to the chinampas
(agricultural plots that the Aztecs built on existing lakes and, adding organic waste,
create a kind of artificial islands so that they received water continuously from below
and the sides), where it was used as fertilizer along with other organic waste. Human
excrement was in high demand because it was used for tanning hides. In the organic
waste case, the Aztecs raised dogs, called itzcuintli, for human consumption, feeding
them a diet based on food waste such as rotten meat or hard tortillas (Braby 1968).
Recycling was maintained during the colonial era. The recovery of rags to recycle
them and turn them into paper has existed in Mexico since the seventeenth century,
and the people who recovered them were also known as “traperos.” They collected
mainly linen and cotton rags found in the streets and garbage dumps and sold them to
intermediaries or directly to paper mills (H Lenz 1990).
As Medina mentioned in 1997, recycling developed informally, due to the
migration phenomenon to the big cities from the villages in search of opportunities,
due to the inability of local economies to create enough jobs, forcing many individ-
uals to seek income sources outside the formal economy (M. Medina 1997a). The
economic dynamic broadly defines urban growth. While advanced technology is
increasing in the industry, critical migratory flows are generated, creating conflict
about the labor market, making it increasingly harder to get into it. The obligatory
result is the so-called urban informal sector (SIU). We locate activities as varied as
car washes and boleros as well as that of street vendors, acrobats and clowns in the
streets, and scavengers, among others (Lozano et al. 2009).
The waste material recovery to be recycled is one of those informal occupations
through which unemployed individuals in big cities can survive. Likewise, children
and the elderly also engage in informal recycling due to the economic situation. This
increase in material recovery also includes increased availability due to urbanization
and industrialization. Changes in the consumption habits of the population favoring
manufactured consumer products have generated increasing amounts of urban solid
waste and growing demand for cheap raw materials to manufacture these consumer
products, such as paper, metals, glass, and plastics (M. Medina 1997a).
Unlike countries with highly automated and regulated waste management sys-
tems, a guideline is enough to disable certain stages or stop practices. For example,
in Mexico, thousands of workers (formal and informal) handle waste to extract the
usable by-products from them and sell them in the recycling market to increase their
income, which is called scavengers (Jiménez-Martínez 2020). This allows only one
third of the group to have an 8-hour working day, 35% exceed the working day of
any other worker, 20% of these work 10 hours and 15% 9 hours (Lozano et al. 2009).
The informal sector in the developing countries’ economy is vital due to the number
of people. However, they are an activity of the poor and unemployed with meagre
qualifications, which increasingly allow themselves to be manipulated by the infor-
mal criminal sector (Florisbelados Santos and Günther 2001).
There are different types of scavengers, and it is essential to understand the

situation of each one since their contexts can be different there are scavengers:
(a) They work on their account, and sometimes they choose a group leader to
represent them before third parties.
(b) That they are employees of a cacique or leader.
(c) Those who work in municipal dumps.
(d) Those who work in their clandestine dumps.
(e) Those who are part of an independent union (Florisbelados Santos and Günther
2001).
The pepena has developed mainly in the surroundings of the final disposal sites,
whether they are operated by the clandestine municipality, where it has replaced
agricultural work and craft trades that did not provide sufficient resources for
sustenance. The incorporation of new generations is commonly observed; they are
generally enrolled in the business by family members or friends with more experi-
ence (Guzmán and Macías Manzanares 2011). To join as a scavenger in a final
disposal site, one must belong to a guild such as the Single Scavengers Union
(Guzmán and Macías Manzanares 2011).
Recycling materials has been gaining acceptance and popularity as an environ-
mental strategy to reduce waste that needs final disposal in landfills and reduce the
negative environmental impact of production and consumption activities through
which societies’ contemporary companies meet their needs (Martín Medina 1999).
In recycling, there are three types of economic sectors with similar structures:
(a) Formal sector: this sector’s activities respect fiscal, labor, and social laws in a
general way in all senses, complying with the regulations in force (Florisbelados
Santos and Günther 2001).
(b) Informal sector: not all laws are respected, mainly referring to tax issues, labor,
and workers’ social rights. The product or service is legal; however, its produc-
tion or marketing is illegal. For example, the problem with the scavengers is that
it is prohibited to hire them without giving them the minimum necessary benefits
such as a minimum wage average insurance, among others (Florisbelados Santos
and Günther 2001).
(c) Illegal informal sector: in this case, neither the tax, labor, nor social laws are
respected, in addition to the fact that the product (or service), production, and
marketing are illegal, as is the case with drugs and piracy. The way hazardous
waste is disposed of in final disposal sites (Florisbelados Santos and Günther
2001) or the way it is stolen and sold as second-hand or repaired or reused
objects, passing it off as recovered from waste.
In developed countries, informal recycling in the streets and final disposal sites
has decreased since the 1950s, as people’s economic conditions have improved and
social security programs have been established, as well as the health risks to people
that collect recyclables directly form the rubbish (Rathje and Murphy 1993). This
situation makes it visible that recycling has arisen out of economic necessity and
does not reduce negative environmental impacts, a similar situation in Mexico.
Informal recycling can contribute to achieving sustainable development.
Supporting and promoting informal recycling in Latin America would be a step in
the right direction (Martin Medina 1999).
Informal Recycling in Mexico
In Latin America, most cities do not collect all of the solid waste generated; even the
lack of 60% waste collection has been mentioned. Only a fraction of waste receives
adequate final disposal. Its disposal in open-air “dumps” causes environmental
contamination and ecological and human health risks, such as deliberate or sponta-
neous fires; unpleasant odors; atmospheric pollution; proliferation of birds, rats,
cockroaches, flies, and other potentially disease-transmitting organisms; and forma-
tion of large amounts of toxic leachate (Martín Medina 1999).
In Mexico and Latin America, the management and disposal of MSW have
become a real problem, among other reasons, because:
1. The collection systems are deficient.

2. There are no solid waste separation habits in the citizenry.
3. Government agencies do not have well-established projects (INEGI 2005).
The informal recyclable material recovery occurs in each stage of generation,

storage, transportation, and disposal of solid waste:
(a) Separation of materials at source is common in areas of low-income group

settlements, where organic waste can be reused as pig feed or accumulated for
sale. For example, a common practice in Mexico is the accumulation of tortillas
and hard bread to use as ingredients in dishes such as chilaquiles and capirotada.
Some families are also dedicated to separating aluminum cans once the liquid
has been consumed and then selling them to be melted down and recycled
(Medina 1993).
(b) During waste collection, employees separate recyclable materials before placing
waste in vehicles. Material recovery is expected when open collection vehicles
are used; the scavengers separate them in these cases. These activities can
increase up to 100% of the scavenger’s income (González 1993).
In many Latin American cities, there are street buyers of various recyclable
material types, such as obsolete metal items (scrap), paper, cardboard, glass con-
tainers, and aluminum cans, with a predominance of metals, but mainly paper and
cardboard, and a growing increase in plastic recycling (Sáez and Urdaneta 2014).
Just as some people walk on the streets, the municipal collection system does not
regularly reach and collect all urban solid waste without separating it for a “volun-
tary fee.” In this way, it functions as a particular system that helps in waste
collection, where they split the materials to recycle them (Guzmán and Macías
Manzanares 2011). In addition, some buy products that can be repaired or
remanufactured, such as old mattresses, which can be fixed and sold again (Medina
1997b). Waste collectors are involved in recycling and as raw material recoverers for
further activities within the circular economy such as reduction, reuse, repair,
maintenance, and remanufacturing could come into play when companies rely on
this informal sector.
In most Mexican municipalities, the municipal administration does not charge for
the collection service or final waste disposal; however, many of the citizenry tip
garbage collectors and cleaning service workers. They collect an amount of money
which sometimes exceeds the amount that a legal service by the municipality would
cost. Occasionally, the garbage collector’s union of the final disposal site does not
allow the collectors to do the separation. They are forced to ask for a tip; sometimes,
the truck owner requests a fee from the volunteers who get in the car. Therefore, it
has been proposed to establish taxes or a direct budget on waste to pay for these
salaries and the infrastructure (Florisbelados Santos and Günther 2001). Today, the
budget set aside for waste management solves only 60% or 70% of waste collection
due to the high cost of fuel inputs and the few paid salaries. Added to this are the
unpaid wages, the sanitary landfill infrastructure, and maintenance (Sáez and
Urdaneta 2014), making the current budget insufficient for proper waste
management.
In Mexico, scavengers who work in open-air dumps (or in sanitary landfills where
their activities are permitted) have existed for more than a hundred years. Currently,
in Mexico City, there are more than 10,000 pepenadores (Castillo Berthier 1984).
Who are generally subject to economic and political control? The work carried out
by these individuals rescues essential resources and can be seen as an act that favors
environmental well-being. However, informal solid waste collection activities are
condemned by municipal authorities, who see them as hindrances to formal opera-
tions and threats to public health (Long 2000). Waste treatment in Mexico City is a
multi-million-dollar business for the caciques and intermediaries, but for the workers
at the bottom of this pyramid, such as the scavengers, it is not like that; they continue
to be poor/dependent. Waste collectors, for example, receive 5.55% of the price that
industries pay for recyclable materials (Salviani de Boseck and González 2009).
The work of the pepena constitutes a political force that knows how to negotiate,
and by doing so, it includes the support and political capital of various “represen-
tatives of the people” such as the deputies and officials of the municipal public
sanitation directorates (Guzmán and Macías Manzanares 2011). The existence of
political patronage relationships is ordinary in garbage dumps. The authorities
legitimize the leaders of the scavengers or caciques by granting them concessions
for the material recovery. The caciques operate in a monopolistic market (where
there is only one buyer, unlike a monopoly, where there is only one seller), which
translates into low prices and exploitation (Martín Medina 1999). There have even
been situations where the caciques become victims of drug traffickers who seek a
pact with the said guild to control the recyclable material market (Guzmán and
Macías Manzanares 2011). The caciques are commonly elected by the other
scavengers, called guilds or unions, which are not legally constituted. However, they
claim to defend collective labor rights through negotiation with the responsible
authorities (Guzmán and Macías Manzanares 2011). It is almost in charge of an
informal private company owned by the cacique that does not pay taxes nor social
benefits for its staff (Sentíes et al. 2000). The cacique acts as a representative of the
scavengers. Although, in theory, they retain the same rights as the others, there are
cases where the caciques do not represent the scavengers’ interests and even
discriminate against the opinion of other scavengers due to their educational level
or other reasons (Long 2000).
There are occasions when the scavengers pay a monthly rent of five thousand
pesos to the municipal cleaning department for access to the waste (Long 2000).
Mexican authorities ignore such exploitation, sometimes due to corruption or favors
from leaders. In Ciudad Juárez, there was a situation of scavenger exploitation until
1975. In this year the concessionaire tried to reduce the price paid for the recovered
paper and cardboard and announced that it would no longer buy other materials
(Martín Medina 1999). They even perceive that the city council exploits them
without established salaries, medical insurance, or other benefits. They also perceive
that society sees them as dirty and poor, not as people who reduce and recycle
garbage, a situation that an ordinary person would not do (Long 2000). These
situations can complicate and even eliminate recycling at these sites due to a conflict
of interest between various groups interested in the economic resource generated by
recycling. The pickers come to have complex conflicts with people or groups outside
their union. The shared nature of these conflicts is oppression, ignorance, poverty, a
lack of political will, and a lack of education (as a social transformation process)
(Long 2000).
When talking about the scavenger’s work, it is said that they significantly reduce
the amount of garbage that goes to the landfill undesirably. However, it has been
reported that this is not entirely true since they work with only a tiny portion of the
domestic waste collection due to the large amounts of waste and in a short time by
truck. Even those who claim that the scavenger idea is necessary for environmental
reasons are worthless and that they should not operate due to poor conditions,
exposure to disease, and exploitation (Long 2000).
Due to the vital link between the informal and formal sectors in garbage man-
agement and the figures that connect the garbage network with the political and
economic systems, it is inappropriate to think that just formalizing this sector would
be an immediate solution to problems of social equality. In other words, fully
standardizing municipal solid waste management could generate new sources of
perversion of the system (Salviani de Boseck and González 2009).
Due to the situation in which informal recycling finds itself in Mexico, it is urgent
to build public policies with a view from inequalities, which allows establishing
targeting strategies which arise from the recognition of differences and thus create
new territorial realities for waste management (Jiménez-Martínez 2020).
It should be noted that in Mexico, not all recycling is informal; there is also formal
recycling. Since 1994, solid waste selection and utilization plants with 5500 t/day
capacity have been installed (Sáez and Urdaneta 2014).
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Orthodox or Sustainable Economic
Recovery
Sazcha M. Olivera-Villarroel, Ivan Egido-Zurita, and

Alethea G. Candia-Calderón
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 914
Theoretical Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 915
From the Urgency of Economics to the Importance of Sustainability . . . . . . . . . . . . . . . . . . . . . . 915
The Symbiosis of Humanity with the Environment: The Economy . . . . . . . . . . . . . . . . . . . . . . . . 916
Economic Policy for Recovery Considering Climate Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 919
Methodological Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 920
Observation Unit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 920
Unit of Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 922
Applied Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 922
Results: Where and How Are We? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 924
Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 936
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 940
Abstract
The COVID-19 pandemic has caused a sui generis worldwide crisis, where the
economic recession was one of the earliest and direct health impacts. In addition
to being an unprecedented situation globally, the recovery form is uncertain. As
mentioned by António Guterres, Secretary-General of the UN, the usual
responses will not work, and creative responses are needed aiming at a more
sustainable and inclusive recovery. In this context, the present research aims to
analize public policies in Latin American and Caribbean countries to implement a
“green” recovery that aims not only to get out of the current economic crisis but
also to reduce the effects of climate change and avoid falling back into an
S. M. Olivera-Villarroel (*) · A. G. Candia-Calderón
Autonomous Metropolitan University – Cuajimalpa (UAM), Mexico City, Mexico
e-mail: solivera@cua.uam.mx
I. Egido-Zurita
Inter Alia SRL, Bolivia Lateinamerika-Gruppe e.V., Frankfurt am Main, Germany

https://doi.org/10.1007/978-3-031-16017-2_12
914 S. M. Olivera-Villarroel et al.
economy based on fossil fuels and environmental degradation, i.e., a recovery

oriented towards the decarbonization of the economy. For this purpose, five
sectors were considered – management of water resources, renewable energy,
management and treatment of waste, sustainable construction and management,
and recovery of oceans and basins – that have in common the intensive use of
labor and moderate investments. These sectors can contribute to the generation of
green jobs and development focused on fulfilling the sustainable development
goals (SDGs) and the agreed-upon planned national determined contributions
(NDCs). Macroeconomic analysis of investment estimation was used as the
primary study method. This analysis made it possible to estimate the investments
needed to recoup the jobs lost due to the pandemic and the possibility of greening
these jobs with the support of hindcasting techniques (or projections for the
future). The various scenarios and necessary actions were drawn up to cause
the Latin American economy to recover without neglecting sustainability in its
development.
Keywords
COVID-19 · Economic recovery · Sustainable Development Goals · Latin
America · Decarbonization
Introduction
The pandemic caused by the SARS-COV-2 virus has caused a sui generis worldwide
crisis and great uncertainty around the recovery (FMI 2020a, b). Of course, the
economic recession was one of the earliest and most direct health impacts. Indeed,
history shows us the social and political conflict processes caused by other pan-
demics. The epidemics of the beginning of the last millennium in Europe, for
example, brought with them the stigma of minority groups, the increase in anti-
Semitism, the limitation of freedom, and even the expropriation of property.
This health crisis found countries of the entire world highly connected and, to a
greater or lesser degree, economically interdependent, in what has been called
globalization. At the same time, also an unusual environmental crisis was caused
by climate change. For this reason, the problems generated by COVID-19 do not fall
into a single field, such as public health, nor to a sum of crises in several areas, such
as economy, climate change, or social conflict; instead, COVID-19 has caused a
systemic concern combining all these fields. This health crisis is especially true
because the data show that 60% of infectious diseases come from animals, and about
three-quarters come from wildlife. Furthermore, to show a solution tailored to the
problem, this study estimates the investment necessary to recover jobs lost due to the
pandemic and strategies to green these sources of employment. This recovery will
help generate an economic recovery, but it will also strengthen the sectors necessary
to mitigate the effects of climate change.
Orthodox or Sustainable Economic Recovery 915
For this purpose, this document is divided into six parts; on the one hand, an
analysis of the available literature was carried out on the importance of moving
towards a sustainable economy, the identification of the relationship between the
economy and the environment, and succinct analysis of the main actions developed
by world organizations to guide the development of mitigation strategies for the
effects of climate change. On the other, the macroeconomic approach was used to
estimate the investment necessary to recover the jobs lost by the sector of interest.
The Shapley method was used to generate the prioritization of economic activities.
Subsequently, a brief analysis of the investigation results was carried out. Finally, the
main conclusions and recommendations are described.
Theoretical Framework
From the Urgency of Economics to the Importance of Sustainability
The effects of the economic crisis resulting from COVID-19 in the social sphere will
aggravate current problems such as the increase in child labor, malnutrition and
nutrition-related mortality, food insecurity, unemployment; and it is expected that it
will cause a setback in the advances that were achieved to end poverty (CEPAL
2020; FMI 2020a).
The world’s governments implemented emergency measures both to reduce the
slope of the epidemiological curve and reduce the slope of the recession and
economic crisis (Gourinchas et al. 2021). Since March 2020, more than a thousand
measures have been implemented worldwide to expand social aid and protection in
200 countries (Molina et al. 2020). Direct transfer as basic temporary income (TBI)
is estimated to have helped 15% of the world’s population, with the difference that in
low- and middle-income countries, the per person distribution was between US$
7 and US $ 9, while it is between US$ 121 and US$ 123 per person in high-income
countries.
On the other hand, it should be noted that the economic recovery after each
economic crisis increased greenhouse gas emissions (GHG), one of the leading
causes of climate change (Hanna et al. 2020). The economic recovery caused by
the COVID-19 pandemic does not appear to be the exception. For this reason, with
the economic recovery initiatives, it is possible to fear the worsening of the situation
caused by climate change. Even more worrying is the link this climate crisis could
have with the health crisis.
Indeed, the link between the outbreak of this pandemic and the development
model, based on mineral extraction and fossil fuel resources, which is in force in
most countries of the world, has not been ruled out. For example, some evidence
shows a link between epidemics of animal transmission and extractive activities.
Even though there is no direct link between climate change and the emergence of
diseases, it has been proven that the effects of climate change worsen their spread
(Martins 2020). Indeed, the data mentioned above that 60% of emerging infectious
diseases (EID) originate from animals, most of which are wild. Such transmission
makes sense when the disproportionate way these animals interact with people and
groups of people is considered – in agriculture expansion, deforestation, hunting,
and animal trafficking, among others.
In this scenario, it is sensible to orient any economic policy of recovery, of any
scale, if not to stop, to reduce the effects of climate change. Otherwise, the counter-
productive effects could be much more severe for the population’s well-being. This
dilemma is not new and is like what Ralf Dahrendorf characterized as “perverse
alternatives” when he argued that three main development aims (creation of wealth,
social cohesion, and political freedom) were not necessarily compatible; instead,
they conflicted with each other (Dahrendorf 1995; Baldwin and Weder 2020). To a
considerable extent, economic recovery should be aimed at strengthening the con-
ditions so that the production of goods and services can guarantee decent employ-
ment, economic stability, and the generation of wealth and environmental and social
sustainability.
The Symbiosis of Humanity with the Environment: The Economy
Economic activities have a strong connection with the environment – agriculture and
electricity supply, among others – that begin to green up through recognizing their
relationships with the environment. Such is the case with construction or transpor-
tation. In this sense, actions in public policy focused on a “green” recovery, aimed
not only at getting out of the current economic crisis but also at reducing the effects
of climate change, are more than necessary. Furthermore, they require recognizing
the importance of economic, societal, and environmental interaction. Following the
ILO proposal (2016, p. 17), these interactions can be identified as:
1. Environment as an input: activities where natural resources are the primary raw material
of economic activity. The environment is prevalent in economic activities such as
agriculture, forestry, livestock, fishing, manufacturing, and mining.
2. Environmental management: Activities that focus on managing natural resources and
reducing negative impacts on the environment. It is seen in pollution control, natural
resource management, and the greening of products and services.
3. Reaction to environmental changes: Activities that adapt to climate change and other
environmental risks. The reaction includes protection through insurance against natural
disasters, reforestation and soil restoration, and constructions that help resist environ-
mental changes.
4. Environmental quality as a necessity: Some activities are susceptible to environmental
quality, such as ecotourism, which would cease to exist if the proper functioning of the
ecosystems is not maintained. (ILO 2016, p. 17)
From the functionalist approach, the environment fulfills specific functions, such
as:
1. The environment is part of the production function of many economic goods.

2. The environment acts, in effect, as a recipient of residues and wastes of all kinds,
resulting from productive activity as a consumptive of society.
3. Supplies natural assets (landscapes, parks, and others) whose services are demanded by
society,
4. Finally, it makes up an integrated system that supplies the means to sustain all kinds of
life. (Pearce in Olivera and Ferro, 2015, p. 38)
In an earlier analysis, Olivera and Ferro-Azcona (2015, p.12) establish the

folowing clasifications concerning the value of environment:
1. Use value refers to an asset’s value for its current or future use, direct or indirect.
The value is provided by the awareness of its existence and potential use.
2. Non-use value is the most controversial aspect since the person has a positive
utility without using the good. We can value a protected area in Africa, not
because we plan to use it or visit it, but because others could do it, which
makes us feel good (it generates a utility).
The four basic types of non-use value are:
(i) Existence value – the consumer obtains utility in knowing that something exists
(elephants in Africa).
(ii) Altruistic value – not derived from their consumption but from the fact of
knowing that someone else enjoys it; in other words, someone else’s utility is
within my utility function.
(iii) Legacy value – similar to the previous one but associated with the well-being of
the descendants. Legacy value has a remarkably close relationship with the
discount rate that society perceives.
(iv) Ethical or moral values – those made from an ethical, moral, and even religious
parameter or principle.
When these concepts are considered in the sectors studied, their usefulness for the
analysis is confirmed. For example, in the renewable energy sector, the supply of
electricity (production) has a relationship with the environment as an input, with use
value given that it uses components of this as raw material for energy generation and
with the non-use value in consumption (legacy value, due to the positive effects on
climate change that guarantees better options for future generations). The same
happens in the gas and water supply. However, the construction sector is the most
diverse. Different activities are derived from it that could be more directly oriented to
climate action or greening, such as reducing waste and pollutants (altruistic value)
and eco-techniques such as collectors, solar panels, water savings, and the efficiency
of heating and air-conditioning systems (use value), among others (Olivera and
Ferro-Azcona 2015).
Suppose we group each sector according to the type of employment generation.
These can be divided into (1) non-specialized green employment, referring to
unskilled labor used for agricultural work, forestry, or infrastructure generation;
(2) specialized services, referring to the design and implementation of machines,
Table 1 Link between the economy and the environment

Link economy Typology of
Sector Some green activities environment job
Agriculture and Forest management, forest Environment as an input; Unskilled
Livestock management and protected indirect use-value; green
natural areas, watershed and intrinsic existence value. employment
fisheries management Legacy and ethical/moral Monitoring
value in consumption and
certification
Electricity supply Renewable energies (wind, Environment as input and Unskilled
solar, bioenergy, geothermal, tangible asset. green
hydroelectric) employment
Energy efficiency Legacy and ethical/moral Specialized
value in consumption Services
Monitoring
and
certification
Gas and water Sewage treatment. Retaining Environment as an input, Unskilled
supply walls. Watershed arborization indirect use value Legacy green
and ethical/moral value in employment
consumption Monitoring
and
certification
Construction Eco techniques such as Management of the Unskilled
collector and solar panels, environment and reaction green
saving water, green buildings to Changes in the employment
(double glazing, insulation, environment.
building materials, and Legacy and ethical/moral Specialized
ventilation), waste reduction, value in consumption services
and environmental pollution. Monitoring
Efficiency of heating and air and
conditioning systems. certification
Transportation Public (massive) and Management of the Unskilled
and non-motorized transport. environment and reaction green
complementary Electronic transport to changes, in the employment
and auxiliary environment. Legacy and Specialized
activities ethical/moral value in services
consumption Monitoring
and
certification
Source: Self-elaboration based on ILO (2016)
computer/virtual/digital systems, and financial, legal, and sociopolitical advice; and

(3) monitoring and certification, which deals with specialized employment in climate
or energy efficiency issues. It would also generate a specialized certification system –
environmental ISO for each sector (see Table 1).
Economic Policy for Recovery Considering Climate Action
In light of international law and the United Nations conventions, its member states
assumed commitments to face the most relevant problems in the world. In this
context, the Sustainable Development Goals (SDGs) are a global vision of how
the world wants to see itself in 2030, that is, to guide any economic recovery policy
of any scale, at least to curb GHG emissions, to decrease the effects of climate
change. The SDGs give us a framework so that the economic recovery should be
oriented towards strengthening the conditions to produce goods and services while
guaranteeing decent employment, economic stability, the generation of wealth, and
environmental and social sustainability.
In 2016, Rockström and Sukhdev charted the link between the sustainable
development goals in a “Wedding Cake” (Fig. 1). They argued that if the bases
(biosphere) are neglected, the negative implications on the “Society and Economy”
levels are irreparable. The goals of the level of Society and Economy are not
innocuous to the biosphere goals but dependent on these.
Fig. 1 “Wedding Cake”. (Source: Rockström and Sukhdev (2016) The illustration above is free to
use under the Creative Commons license (CC BY 4.0), https://www.stockholmresilience.org/
research/research-news/2016-06-14-the-sdgs-wedding-cake.html)
The implications of this model for the design and implementation of economic
policies to recover from the COVID-19 crisis are decisive. They confirm more than
ever that sustainability is not an economic or environmental concept but of the entire
planetary system.
Parallel to the SDGs, nationally determined contributions (NDCs) were agreed
upon; the NDCs constitute the core of the Paris Agreement, considering compliance
with the United Nations Framework Convention on Climate Change (UNFCCC),
since it proved the principle of proportional contributions to the economic size and
responsibility in the emissions of the countries.
Following this principle, the NDCs in Latin America and the Caribbean (LAC)
are different because of their national circumstances and the way they were formu-
lated. Ecuador, for example, to ratify its planned national determined contributions
(NDCs) and establish its first NDCs, carried out a very well-structured participatory
process, in which 93 institutions and 891 people from the public and private sectors,
academia, civil society, and international organizations participated (Comisión
Europea/European Commission 2019; Samaniego et al. 2019). These are aligned
with their national plans and have varying degrees of depth in the fields of action
they have identified. For this reason, economic recovery policies can be deployed in
different sectors of each country.
Methodological Framework
Two areas of analysis were selected to achieve a systemic study of economic

recovery and climate action: on the one hand the geographical (countries) and on
the other the thematic (sectors). In this sense, for the analysis of the research, the
following elements are considered.
Observation Unit
A mixed criterion was considered by analyzing the countries: the GDP per capita and
the economically active population (EAP) structure were selected to study the
employment sector. It was shown that according to each country’s economic and
labor characteristics, there is a relationship between the sector’s employment gener-
ators. However, this relationship is called structural heterogeneity with low produc-
tion levels and sectors that generate surpluses but with little job creation. In other
words, a country is more heterogeneous because its workforce is concentrated in
sectors with a low production level. In the region, the persistence of structural
heterogeneity is a consequence of the concentration of technical progress in certain
strata, which leaves essential segments of the economy on the margins of the
modernization process. Since the incorporation of progress in most Latin American
economies has not been generalized or homogeneous, it has not spread to all sectors
and branches of economic activity in each country (Infante 2011). In this sense,
seven regions stand for the different structural heterogeneity levels (Table 2).
Table 2 GDP per capita and distribution of the EAP according to occupation sector for the selected
countries
% contribution to
GDP GDP of the
per % EAP % EAP % EAP agricultural Analysis
Country cápita agriculture industry services sector group
Bolivia 3552 28.2 22.5 49.3 12.25 High
(Plurinational
State of)
Brazil 8717 9.4 20.7 69.9 8.05 Low
Chile 13,457 9.1 20.7 69.2 9.21 Low
Colombia 6532 16.4 19.3 64.3 11.65 Moderate
Ecuador 6184 26.1 19.1 54.8 4.32 Low
Mexico 9863 12.9 25.3 60.2 7.21 High
Dominican 8282 9.8 19.4 70.8 4.76 Moderate
Republic
Latin America 8847 13.8 21.2 65 10.2 –
(weighted
average)
Source: Self-elaboration based on data from the World Bank and CEPALSTAT. 2019 data
(i) Countries that produce primary goods with a high structural heterogeneity. This
group includes Bolivia and Ecuador. These two countries have more than 25%
of their EAP in primary activities and per-capita income below $6200.
(ii) Countries that produce primary and secondary goods (industrialized) with a
moderate structural heterogeneity. The second group is Colombia and the
Dominican Republic, and both countries have middle-income economies and
similar EAPs in service and industrial sectors.
(iii) Countries that produce industrialized goods and services with a low structural
heterogeneity. The third group includes Brazil and Mexico, the two most
powerful economies in the region and the most populated countries in LAC.
Chile joins them as it has the region’s highest GDP per capita and an EAP
structure like Brazil and Mexico.
It was also found how these countries concentrated their NDCs and contributed to
the SDGs to link the economic situation to public policy-oriented climate action. As
shown in Tables 2 and 4, the central public policies promoted by the Bolivian
government are to eradicate hunger and poverty. It also emphasizes basic sanitation,
renewable energy, and caring for the environment. Ecuador, for its part, has as its
principle the eradication of poverty and the creation of actions to mitigate the effects
of climate change.
Colombia’s public policies revolve around creating decent jobs, fostering an
alliance to achieve all the SDGs, and specific climate actions. The Dominican
Republic also focuses on creating decent jobs, to a lesser extent in the coalition to
achieve all the SDGs, but with the same intensity as Colombia in climate action.
Chile directs its policies to aim at joint alliances to achieve the SDGs and
emphasizes actions to mitigate the effects of climate change. For its part, Brazil
has a system of policies aimed at developing terrestrial ecosystems and
non-polluting energy. Finally, Mexico does not present a solid preference for one
of the development goals. It is more homogeneous in its choice; it acts in all the
SDGs, where the SDG generation of sustainable cities and communities stands out.
Unit of Analysis
For the study, the critical sectors for reducing greenhouse gases (GHGs) with a
significant potential to create jobs are considered the unit of analysis. In addition to
being potential generators of positive externalities to the environment with the best
management of habitat conservation and ecosystem services, five sectors were
selected: agriculture (forest conservation), water, construction, transportation, and
electricity.
Applied Method
To estimate the investment necessary to recover the number of jobs lost due to the
pandemic, the number of jobs and the gross value of production by economic sector
(agriculture, water, forest conservation, construction, transportation, and electrical
energy) were obtained first. Given the disaggregation of the information, it was
impossible to access the gross fixed capital formation (GFCF) data by sector and
country. Therefore, it is assumed that the GFCF changes according to the return rate,
which varies from 0.05 to 0.5. In this sense, the GFCF is estimated by sector and
country as follows:
GFCFpi ¼ VBPpi TR
Where:
GFCFpi ¼ gross fixed capital formation of economic sector i and country p

VBPpi ¼ gross value of production of economic sector i and country p
TR ¼ rate of return
Subsequently, the direct employment coefficient was calculated with the sectoral
information on total employment and the GFCF, which measures each sector’s
employment requirement or the employment level per monetary unit of investment.
For this effect the following formula was used:
Npi
CEdi ¼
GFCFpi
Where:
CEdi ¼ coefficient of direct employment by country and sector.

Npi ¼ the level of employment in sector i.
GFCFpi ¼ gross fixed capital formation of economic sector i and country p.
The subscript d is indicative of the mean of direct employment.

This employment coefficient (CE) helps estimate the number of jobs generated by
sector i of the economy according to direct investment from the sector itself. The
GFCF is expressed in millions of dollars and the number of jobs generated for every
million dollars invested.
Once the employment coefficient has been calculated, the number of jobs lost due
to the pandemic is estimated. Since there are no fixed data, the estimated percentage
of the ILO was used in its report “COVID-19 and the world of work, 2020.”
According to an analysis for each economic sector, they estimate, the percentage
of jobs lost in the region is as follows: the agricultural sector has a calculated loss of
3% of the labor sources in this area; this percentage rises to 13%in the construction
sector; and the sectors most affected are service sectors with a loss of 18.3% of their
jobs. Based on these percentages, the job loss was estimated as follows:
NEPpi ¼ NEpi %EPPI
Where:
NEPpi ¼ number of jobs lost in sector i of country p

NEpi ¼ total number of jobs in sector i of country p
%EPpi ¼ estimated percentage of job losses in sector i of country p
Subsequently, following the formula, the investment needed for the recovery of
jobs is estimated according to sector and country:
NEPpi
IREpi ¼
CEdi=10
Where:
IREpi p ¼ investment needed to create jobs in sector i of country p

NEPpi ¼ number of jobs lost in sector i of country p
CEpi ¼ coefficient of direct employment by country and sector
Finally, to find the priority activities to be implemented by country, the relative

weights of each activity were calculated, using the Shapley decomposition – a
method that estimates the relative contributions of the various explanatory variables
and the contribution to the variance of each part of the index.
Olivera (2007) shows that the steps for estimating the weighting of the sectors,
using the Shapley method, are as follows:
1. An index is generated with average or equal weights.
1 1 1
Index ¼ comp1 þ comp2 þ comp3
3 3 3
2. In a second stage, the percentage of contributions of the variables that make up
the index to the total variance of the previously estimated index is calculated.
θ ¼ β 1 x1 þ β 2 x2 þ . . . þ β k xk
where θ is the index; βi represents the relative contribution of each component used
to the index, which is a first step that has the same value βi ¼ β_j and must add 1 to
maintain identity and consistency in the estimate of the decomposition to be devel-
oped (Shorrocks 1999); and x1, x2,. . ., xk represent the components of the index, and
then the partial R square for the variable xj can be calculated by the Shapley-Owen
decomposition (Zaiontz 2017):
R2 ðT U fxJ gÞ R2 ðT Þ
R2J ¼
k Cðk 1, jTj
TCV fxj g
where V ¼ {x1, x2, . . ., xk} and |T| ¼ the number of elements in some subset T of V.
Also, R2 (T ) ¼ the value of R squared for the regression of the components in T on
Ɵ, which will tend to value close to 1 in the case of applying the weighting of
indices. The method assumes that R2 (Ø) ¼ 0.
This method allowed the development of strategic planning for the future and
showed steps that the region should follow to achieve sustainable economic growth
considering the SDGs and NDCs.
Results: Where and How Are We?
Before the COVID-19 outbreak in the world, Latin America and the Caribbean
(LAC) was in an unfavorable economic situation due to the fall in the international
price of commodities, global financial volatility, and tension in international rela-
tions generated by international relations between the United States and China.
Indeed, the general growth of the region was less than 1% in 2019. Furthermore,
30% of its population was in poverty, had a GDP per capita of 8847, and a Gini index
higher than 0.46 (Banco Mundial 2020a).
At the same time, it must be recognized that Latin America is a heterogeneous
region with countries that have a GDP per capita below the US $ 4000, as in the case
of Bolivia, Ecuador, or Haiti, where close to 30% of people in employment are in the
agricultural sector, with economies considered mono-producing, and more than 25%
of its populations with incomes below the poverty line. Then there are the middle-
income countries (Colombia, Dominican Republic), with Gini inequality indices that
vary between 0.43 and 0.50. Economies are characterized by the production of
primary goods for export and products for consumption in the domestic market. In
addition, they are characterized by specialization in certain products and services.
Finally, LAC has upper-middle-income countries, such as Mexico, Chile, or Brazil,
with the strongest economies in the region with a per capita GDP of over US $ 8700.
Characterized by their manufacturing and raw materials export, they have a vast
industrial zone and are below the regional average for the population employed in
the agricultural sector (13.71%) (Table 3).
These characteristics of structural heterogeneity in the region mean that for every
million dollars invested in the sectors analyzed, the following are generated, on
average: 300 jobs in the case of the first group of countries (mono-agricultural
producers), 200 jobs in the second group (exporters of primary goods), and 100 hun-
dred jobs in manufacturing exporting countries. Regardless of the amount of labor
generated by this sector, a characteristic must be considered: most jobs are
low-quality work, low income, and without social protection.
Some specific sectors are labor generators. In effect, the sectors of transport,
telecommunications, and complementary activities generate an average of 20 jobs
for every million dollars of investment at the LAC level. Indeed, Mexico, Chile, and
the Dominican Republic are countries that generate more jobs in these sectors.
However, for every million invested in the construction sector, a little less than
one job is generated, while countries classified as mono-producers for every million
invested only develop one job. However, countries like Mexico and the Dominican
Republic generated up to four jobs on average. On the other hand, sectors such as the
supply of electricity, gas, and water, due to the type of activities they carry out, are
the ones that generate the least number of jobs, given that for every two million
invested, less than one job is created. However, these types of activities are known as
strategic sectors because of their contribution to GDP.
Based on these characteristics, a green economic boost strategy must be gener-
ated, emphasizing investment in both job-generating and surplus-generating sectors.
In other words, a system of incentives and disincentives must be installed, which
guides the operators of these sectors to move towards productive actions that
promote climate action or are at least climate neutral (Table 4). A greening effect
of the activities is necessary, be it the change of the energy matrix or sustainable
construction. Whatever the case, this change must be controlled to avoid urgent
growth without future (BID 2019a, b).
To the above scenario, the effects of climate change must be added, causing fires
in the Amazon, floods in Central America, drought in northern Mexico, hurricane
threats in the Caribbean, and others. The IADB projects that the impact of climate
change will cost approximately US $ 100 billion per year by 2050 (BID 2020). For
this reason, and as mentioned throughout the research, it is necessary to generate a
form of green economic recovery that helps flatten the health curve (number of
deaths from COVID), the economic angle, and the curve of the impact of climate
926
Table 3 General characteristics of the study countries

GDP Degree of
Territorial per % Poor population % Contribution structural
Country Population extension capita GINI (below the poverty line) Agriculture to GDP heterogeneity
Bolivia 11,513,100 1,083,300 3552 42.2 34.6 28.2 22.5 49.3
(Plurinational State
of)
Brasil 211,049,527 8,358,140 8717 53.9 25.4 9.4 20.7 69.9
Chile 18,729,160 756,108 13,457 44.4 8.6 9.1 20.7 69.2
Colombia 50,339,443 1,109,500 6532 50.4 27 16.4 19.3 64.3
Ecuador 17,373,662 248,360 6184 45.4 25.2 26.1 19.1 54.8
Mexico 127,575,529 1,943,950 9863 45.4 41.9 12.9 25.3 60.2
Dominican 10,738,958 48,310 8282 43.7 22.8 9.8 19.4 70.8
Republic
Latin America 646,430,841 20,038,832 8847 46.2 30.2 13.8 21.2 65
(weighted average)
Source: Elaboration based on data from the World Bank and CEPALSTAT. 2019 data
S. M. Olivera-Villarroel et al.
change. In this sense, the following section explains the close relationship between
the economy and the environment (Table 4).
(i) Countries that produce primary goods with a high degree of structural
heterogeneity
For the specific cases of Bolivia and Ecuador, the decomposition method found
agriculture as the primary sector to invest in, which is reflected in the NDCs of both
countries. Bolivia also incorporates forest management into its development agenda.
In this sense, and given the sector’s importance, it is necessary to make an average
investment of 13.6 and 26.3 million dollars for the Bolivian and Ecuadorian cases,
respectively. With this, it will be possible to generate large-scale sources of employ-
ment, depending on the investment activity. These can help to quickly and precisely
reduce GHGs, with tree planting, watershed management, forest fire reduction, and
climate-smart agricultural production.
Another priority activity within the NDCs is that of water resources, which ranks
second in the prioritization index since recent studies have found that the main effect
of climate change in the Andean region will be reflected in the increase in droughts
and the melting of the snow-capped mountains of the Andes (DW 2020). Likewise, it
is considered that access to water is one of the leading human rights. In that case, the
central government will have to generate public policies for the management of this
resource, with an investment of between 18 thousand and 26 thousand million
dollars in activities such as increasing the coverage of irrigation, basic sanitation,
water storage measures, diversification of drinking water sources, and above all
ensuring access for all inhabitants of both countries to drinking water to avoid water
stress and the lack of this resource in the future.
The diversification of electricity generation appears within the NDC for both
countries and is the third-place priority. Considering this sector is linked to the
change in the energy matrix, the jump to renewable energies brings many advan-
tages. The main one is the absence of polluting emissions, which makes this type of
energy a source that respects the environment, essential for sustainable development
in Bolivia and Ecuador. In the same way, by not consuming raw materials, the
operating cost of renewable energies is much lower than that of conventional
energies, and it is not exposed to variations in the price of oil or other raw materials.
In sum, apart from being an activity that generates surpluses and not labor, it must be
recognized that, from a social point of view, renewable energies favor local devel-
opment since they generate economic activity distributed in the place where they are
used, being particularly useful in rural electrification and in supplying other eco-
nomic activities in isolated areas. However, in some parts of the world, it has been
found that renewable energy kWh for kWh requires more labor than fossil fuel
electric power, particularly in Mexico and Brazil (Elkington 2018).
It should be noted that the construction sector no longer shares the same priori-
tization between countries since, for the Bolivian case, it appears in a lame fourth
place, while for the Ecuadorian case, it is in the fifth place. None of the countries
928
Table 4 Employment, the gross value of production, gross capital formation, COVID-19 job loss, direct employment requirement, and investment for job
recovery
Total
employment Employment/gross Estimation of the Investing to recover Investment
(number of accumulated capital number of jobs lost by jobs (in millions of Priority
Country Heading people) formation COVID-19 dollars) Index
Bolivia Agriculture, livestock, 1,699,830 374.1 50,994.90 13.63 0.92
(Plurinational hunting, forestry, and
State of) fishing
Electricity supply 66,507 0.1 12,037.73 12,112.41 0.7
Gas and water supply 40,762 0.3 7377.96 2480.85 0.69
Construction 410,863 0.38 53,412.19 13,931.62 0.68
Transportation and 1,982,889 0.64 358,902.91 56,234.73 0.63
complementary and
auxiliary activities
Brazil Agriculture, livestock, 8,634,279 116.36 259,028.37 222.61 0.78
hunting, forestry, and
fishing
Gas and water supply 489,974 0.06 88,685.28 140,443.27 0.47
Construction 6,748,136 0.13 877,257.68 690,327.95 0.44
Transportation and 38,594,277 0.63 6,985,564.14 1,117,376.94 0.06
complementary and
Chile Agriculture, livestock, 4,018,274 87.9 23,982.00 272.89 0.71
fishing
Construction 1,528,848 0.42 97,175.00 22,981.45 0.69
Transportation and 10,630,821 5.21 141,216.20 2708.25 0.66
complementary and
Colombia Agriculture, livestock, 1,699,830 202.6 120,548.22 59.5 0.86
fishing
Construction 410,863 0.08 198,750.24 241,074.01 0.61
Transportation and 1,982,889 0.73 1,924,178.60 263,208.52 0.54
complementary and
Orthodox or Sustainable Economic Recovery
Ecuador Agriculture, livestock, 2,396,431 272.72 71,892.93 26.36 0.92

fishing
Electricity supply 53,337 0.04 9653.95 25,840.98 0.7
Construction 530,857 0.05 69,011.41 138,164.40 0.66
Transportation and 543,224 0.08 98,323.54 125,580.76 0.65
complementary and
México Agriculture, livestock, 6,958,032 178.4 208,740.96 117.01 0.84
fishing
(continued)
929
930
Table 4 (continued)
Total
employment Employment/gross Estimation of the Investing to recover Investment
(number of accumulated capital number of jobs lost by jobs (in millions of Priority
Country Heading people) formation COVID-19 dollars) Index
Construction 4,572,025 5.64 603,398.64 10,689.46 0.32
Transportation and 2,950,518 31.64 4,144,248.04 13,097.46 0.25
complementary and
Dominican Agriculture, livestock, 424,140 99.34 12,724.20 12.81 0.78
Republic hunting, forestry, and
fishing
Electricity supply 50,496 0.05 9238.74 19,151.41 0.7
Construction 386,079 4.06 51,506.65 1268.89 0.66
Transportation and 358,790 28.46 348,712.97 1225.20 0.66
complementary and
Source: Elaboration with data from ILO (2020) and CEPALSTAT. The estimates of the loss of jobs by sector were made from ILO estimates for Latin America.
They estimate that for the second half of 2020, there was a loss of 18.1% of jobs in the service sector (tertiary) and 13% in the construction sector
considers this sector within its NDCs, and this occurs because this sector has a low
long-term employment generation factor.
However, it should be noted that it is a generator of transversal multiplier effects,
especially in cement production, glass, ceramics (both floors and brick), imported
steel, and other supplies. If these countries want to boost the sector and recover the
jobs lost by the pandemic, an average investment of 13 billion dollars is estimated for
the Bolivian case and an investment ten times more (130 billion dollars) for the
Ecuadorian case; these countries can invest in short-term projects, such as the
construction of retaining walls in the maintenance of bridges, roads, and primary
infrastructure, among others. These projects will help support the cities adequately
and generate many jobs quickly. In addition, the sector can develop medium-term
projects with the construction of works aimed at adapting to climate change, such as
the construction of urban waste plants, water treatment plants, and dams, among
others.
In the fifth place, for the Bolivian case, and in the fourth place, for the Ecuadorian
case, is the transport sector that allows us to face two major problems that afflict the
largest cities of both countries; we are talking about air pollution due to GHGs
emitted by motor vehicles and traffic congestion caused by the high number of cars
and poor road distribution. A fixed transport system must be developed to decrease
traffic, with electrical energy that helps reduce atmospheric pollutants and GHGs.
An example of the generation of massive and sustainable media is that of Ecuador
and the development of its first metro line in Quito or the ten cable car lines
implemented in La Paz, Bolivia, which supplies better mobility and reduces the
GHGs of these cities.
Finally, the last of the sectors chosen is the urban waste management sector. Apart
from the fact that this sector affects all the cities of the country and generates soil and
water pollution, it is considered last, since it does not follow the immediate gener-
ation of sources of work, one of the conditions imposed on the chosen sectors, given
that medium- and long-term studies and construction of recycling plants are needed
for their execution. However, this does not mean that the sector is dismissed; it is
linked to the quality of life in urban areas, impacts employing the least qualified
workforce, and can be associated with medium- or long-term electricity generation
(Table 5).
(ii) Countries that produce primary and secondary goods (industrialized) with a
moderate structural heterogeneity
For Colombia and the Dominican Republic’s specific case, the agricultural sector
is the primary sector to intervene and be incorporated into the NDC for both
countries. This sector proved to be especially important for the Colombian case
since this country is the leading exporter of coffee in the region, a result reflected in
the contribution of the 4% that this product makes to the Colombian GDP and the
cultivation of coffee. In Colombia, it covers 877,144 ha in 600 municipalities and
22 departments, encompassing more than 550,000 coffee-producing families, which
implement a mixed agricultural system that combines coffee with livestock, plantain
Table 5 Sectors that include adaptation elements in the NDC
Country Energy Agricultural Forest Land- Biodiversi Industry Transport Fishing Infrastruct Hydric Risk Housing Health Tourism Coastal Cities
use ty ure resource manageme zone
change nt
and
forestry
Bolivia
(Plurinational
State of )
Brasil
Chile
Colombia
Ecuador
Mexico
Dominican
Republic
Source: Self-elaboration based on the Samaniego et.al (2019)
crops, or corn, among other agricultural activities (FNCC 2018). In this sense, it is
estimated that the investment that must be made to recover the number of jobs lost
due to the pandemic is 59 million dollars for the Colombian case. This investment
should aim to improve practices related to coffee growing and post-harvest pro-
cessing that can reduce the environmental footprint of this product, directing its
efforts to climate-smart agriculture.
In the case of the Dominican Republic, agricultural activity is centered on two
crops, sugar and rice, which in 2012 represented 11% of GDP and about 15% of
Dominican jobs. But for some time now, this contribution was decimated due to, on
the one hand, natural disasters that, according to the World Bank estimates, in the last
20 years, the Caribbean countries have each annually spent between 1% and 9% of
their GDP to deal with the effects of meteorological hazards, and many of these
expenses fell on small farmers, and, on the other hand, the change in consumption
habits of the European market has caused the region’s traditional imports – sugar,
bananas, cocoa, and rice – to contract (Banco Mundial 2013). According to esti-
mates, if the number of jobs lost due to COVID is to be recovered, the Dominican
government will have to invest 12 million dollars in improving the response to
disasters, especially that which helps small farmers increase productivity and reduce
vulnerability to boost climate-smart agriculture.
The second priority sector in both countries is water and gas supply. An exciting
analytical element is that this sector does not appear marked in their NDC for the
Colombian case; however, it is a priority for the rest of the countries. This element
can be interpreted considering the geographical characteristics of Colombia, given
that it has a per capita availability of water resources of 45,408 cubic meters, well
above the world average of 8209 (Ministry of Environment and Sustainable Devel-
opment 2020). However, regardless of the relative advantage of this country, it is
necessary to remember that one of the main consequences of climate change is the
increase in droughts, so investment in this sector should not be neglected.
The case of the Dominican Republic is the opposite of that of Colombia. This
country has 2378 cubic meters of water per inhabitant, a figure well below the world
average, which means that several cities, such as Santiago and Greater Santo
Domingo, have a high degree of water stress. In addition to the above, it is added
that the most substantial number of water sources is underground (60%), which does
not supply human consumption and the demand of agricultural areas. In addition,
apart from the fact that 85% of the homes in the Dominican Republic have access to
running water, 79.2% (1,665,009 households) buy water in bottles and 12.3%
(258,488 households) from delivery trucks, according to the Third Socioeconomic
Study of Households (3ESH 2018). These indicators show the level of vulnerability
of the DR, so it is necessary to invest in wastewater treatment plants, fluvial water
storage, and desalination plants and the diversification of its water sources (surface
sources), to avoid water stress and a lack of coverage in areas of greater vulnerability.
The electric power supply sector, in addition to being in the NDCs of both
countries, is the third priority sector for Colombia and the Dominican Republic,
given that the change of the energy matrix is a latent need for all the countries in the
region. Colombia got a relative advantage by positioning itself as one of the
countries with the cleanest electricity generation matrix in the world. As of
December 2018, the installed generation capacity in the National Interconnected
System was 17,312 megawatts (MW). Of this installed capacity, 68.4%
corresponded to hydraulic generation, 30% to thermal generation (13.3% with
natural gas, 7.8% with liquid fuels, and 9.5% with coal), and approximately 1%
with nonconventional renewable energy sources (FNCER) (wind, solar, and bio-
mass) (BID 2020).
The construction sector varies according to the country; for the Colombian case, it
is in the fourth place, while for the Dominican case, it is fifth. In the Colombian
NDC, the term “Infrastructure” is inserted as an active sector, in the sense that it is
considered a transversal sector that can help in the achievement of many other
projects connected with the rest of the sectors without neglecting the development
of sustainable housing constructions. In the Dominican case, this sector is not
inserted in its NDCs; it should not be forgotten that it is a transversal sector that
can help achieve the aims of the other sectors. With an estimated investment of
around 1200 million dollars, the Dominican Republic can not only recover the jobs
lost to COVID, but it could also invest in a more efficient water storage system or in
desalination plants themselves that will help combat the problem of water shortage.
Finally, the transport sector is positioned in the fourth place in the Dominican
Republic; it should be noted that its most populated city (Santo Domingo) has an
integrated public system, which consists of three metro lines and one cable car;
however, the problem does not revolve around the public system, but around the
transport system destined for tourism. Furthermore, if it is considered that the
tourism sector in the Dominican Republic is currently one of the most substantial
supports in its economy, the contribution of the same in the GDP of the country is
more than 16%. For this reason, the Dominican government incorporated this sector
into its NDCs. With an average investment of 1225 million dollars, transportation
systems for tourists could be improved, switching to cleaner energy.
In the case of Colombia, the transportation sector ranks fifth among its most
prominent cities (Bogotá, Cali, and Cartagena) with massive public systems. These
continue to use fossil fuels; a clear example of this is the bus system of rapid transit
(BRT) “Transmilenio” which is the primary mass transport in Bogotá and uses diesel
as fuel, which does not help to reduce the GHGs of the city. So with an average
investment of 263,208 million, the bus fleet system could be diversified by changing
the fuel type and even taking advantage of many cyclists in the city. It is possible to
construct more cycle lanes and thus generate an environmental awareness in its
population.
(iii) Countries producing industrialized goods and services with a low structural
heterogeneity
Given that the fastest recovery with a minor investment is in the agriculture
sector, all countries with low levels of structural heterogeneity will have this sector
as their priority investment activities. In the case of Mexico, with 117 million dollars,
it will recover the more than 208,700 jobs lost. This investment should implement
climate-smart agricultural practices to reduce GHGs and generate better production
with resilient systems. As for Chile, this country, within the framework of its NDCs,
is committed to the sustainable management and recovery of 100,000 hectares of
forest, mainly native, which will represent the capture and reduction of greenhouse
gases by around 600,000 tons of CO2 equivalent per year, starting in 2030 (FAO
2018); in this order of ideas, with an average investment of 272 million dollars, Chile
should invest in afforestation and care programs for endemic plants.
Brazil, since 2010, through the implementation of the Low-Carbon Agriculture
Program (ABC), supplied incentives and resources to rural producers to adopt more
sustainable agricultural production techniques. The idea was that agricultural and
livestock production should be more efficient, giving more significant benefits to
producers and more food to the population while simultaneously protecting the
environment – the program aimed to reduce CO2 emissions by around 38% by
2020 (FAO 2012). This program is uncertain in its NDCs, so with an average
investment of 222 million dollars, it should be taken as the primary strategy for
the development of sustainable agriculture, including the restoration of another
15 million hectares of degraded grasslands by 2030 and the improvement of 5 million
hectares of crops before 2030 (FAO 2018).
The water and gas supply sector is placed second. As mentioned above, these
sectors are essential not only because of their capacity to generate surpluses or jobs
but primarily because water forms the liquid element for the survival of people. In
this sense, all the countries incorporated this sector into their NDCs. In this sense,
Mexico, within its NDCs, committed to guaranteeing the integral management of
water in its different uses (agricultural, ecological, urban, industrial, and domestic).
These goals can be achieved with an average investment of 72,363 million dollars,
which can be invested in specific programs for the relocation of infrastructure that is
located in high-risk areas in priority tourist destinations and will implement restora-
tion actions for unoccupied sites, will incorporate criteria adaptation to climate
change in public investment projects that consider construction and maintenance
of infrastructure, and will guarantee the treatment of urban and industrial wastewater,
ensuring the quantity and good quality of water, in human settlements with more
than 500,000 inhabitants (FAO 2018).
Concerning Brazil and its NDCs, it takes electricity management as its primary
sector. It is committed to promoting new clean technology standards and energy
efficiency measures to improve low-carbon infrastructure. For this purpose, with an
average investment of 685,693 million dollars, Brazil will be able to recover the
number of jobs lost and collaborate with reducing GHG by decarbonizing its energy.
Another sector that appears to be reflected in the NDCs of Brazil is the transport
sector. It is estimated that with an average investment of 1,117,376 million dollars,
Brazil will be able to promote further efficiency measures and improvement of
transport infrastructure, especially public transport in the urban areas, which will
cause, on the one hand, the reduction of GHGs and, on the other hand, more efficient
road management.
Chile, for its part, has different socioeconomic characteristics from other coun-
tries in the region, as it has the highest GDP per capita in LAC. It belongs to the
category of high-income countries according to the World Bank; in addition, it has
the most favorable external debt rating on the continent. Its economic system is
based on services (63.9% of GDP), mining (14.2% of GDP), and exports. This
country, having such unique characteristics, focuses its efforts on agriculture,
followed by the transport sector, gas and water supply, construction, and finally
electricity. Likewise, the country within its NDCs focuses its public policies on
achieving green (sustainable) cities, so it is not surprising that the water and transport
sectors, in this case, occupy more privileged places than the rest of the countries
analyzed.
Concerning the construction sector and considering that this country invested
many efforts to develop green cities and sustainable infrastructure (agreements
within its NDCs), it made Santiago de Chile the most sustainable city in Latin
America (Mercados 2016). Now, due to the pandemic, this sector presented a loss
of more than 97 thousand jobs, so it is estimated that with an investment of 22,981
million dollars, Chile can recover these jobs and at the same time continue to
advance in the achievements obtained, not only for its largest city but also for the
entire country. On the other hand, a factor to consider is that it is not possible to
generate sustainable cities without thinking about transport; in this sense, as MMAA
(2020) mentions:
Santiago shows significant advances in the use of bicycles and the generation of safe
pedestrian spaces. The public bicycle system of several communes, the start of constructing
a wide network of bicycle lanes, and the pedestrianization of roads in the city center are
significant. After a dreadful start, the Trans-Santiago system has merged itself as the broadest
and best-served integrated system (buses, metro) in Latin America and emerging countries.
(MMAA 2020)
Therefore, with an investment of two billion dollars, Chile can quickly recover
lost sources, strengthen its public system, generate more and better cycle paths, and
change the fleet of public motorized vehicles that use fossil fuel for a new line with
renewable power. This same line must be followed by the energy sector, which, with
an investment of 116,403 million dollars, will be able to generate the much-desired
process of decarbonizing the energy matrix since, currently, electricity stands for
only 22%. At the same time, the rest corresponds to biomass (15%) and fossil fuels
(63%) (MMAA 2020). However, if this qualitative leap is achieved, it will imply an
actual reduction in GHGs.
Discussion
As mentioned above, given the economic and social crisis that the region and the
entire world are going through, in general, there is a prevailing need to generate
economic recovery mechanisms, but not in extractive sectors, which are destined to
disappear in the medium term, but in green sectors which help to flatten the
economic and environmental curve. In this sense, and given the little information
available, it was decided to take as the leading green activities those whose infor-
mation is available in all the study countries, and that follows the premise of being
green job generators. Figure 2 shows agriculture, energy management, transporta-
tion, construction, and garbage management.
The link corresponding to agricultural activities is the most intensive sector in
unskilled labor since 200 jobs are generated for every million invested. In addition,
according to ILO estimates, on average, this sector accounts for 16% of the green
jobs generated in the region (ILO 2016). These jobs range from forestry, control, care
of protected areas, and beach cleaning. All these sources of employment and creating
unskilled jobs prevent biodiversity loss and improve soil retention.
Activities related to renewable energy management are considered to generate
surpluses and not labor. However, within the framework of the change in the energy
matrix, employment in renewable energies has had considerable growth in recent
years (ILO 2016). By 2019, 51.7% of the energy produced in Latin America was
renewable, and more than 65% of their energy is renewable in Brazil and Colombia.
However, this sector has a minor job creation for every two million dollars invested.
On average, for Latin America in 2019, only one was created. However, if we
analyze the total number of green jobs, this sector accounts for 19% of green jobs
in LAC, according to ILO estimates.
Even so, the investment analysis must be carried out differentially by country.
Indeed, although it seems that electricity coverage is complete in all Latin American
countries, there are countries like Bolivia, where, despite the public investment in the
energy sector generated in recent years, electricity coverage is not 100%. This
country has 86% coverage in rural areas and 95% in urban areas. These data must
Job type
SPECIFIC
ACTIVITY
ACCORDING TO OUTCOME
ECONOMIC
SECTOR
Investment
Massive unskilled
Climate-smart employment, indirect
agriculture, use value • Avoid
afforestation, biodiversity loss
oceanography, Reforestation, climate- • Avoid soil
and watershed smart agriculture, retention losses
management cleaning beaches and
oceans
Employment of
Specialized Services
Monitoring and
Renewable certification Lower GHG
energy Electrical infrastructure, emissions
management change of the electrical
matrix (wind and solar
power plants, among
others)
Employment of
specialized services, Reduction of
monitoring and water stress.
Water resources certification Increased
management Electrical infrastructure, storage and use
change of the electrical of drinking
matrix (wind and solar water
power plants, among
others)
Massive unskilled
employment,
employment of
specialized services, GHG reduction
monitoring and and better road
Transport certification management in
Sustainable public massive cities
transport system
(trolleybuses)
Massive unskilled
employment and
Thermovaluation -
Management specialized services
Recycling plants
and treatment of
garbage Less greenhouse
Development of gases
medium technology
projects
Fig. 2 Selected activities, employment they generate, investment projects, and expected results.
(Source: Self-elaboration)
be sorted out and ensure that the entire population has access to electricity. In
addition, among the advances made by Bolivia, it is highlighted that, after a
substantial investment in changing the energy matrix, it now generates 69 MW
with hydroelectric plants, 27 MW through wind energy, 5 MW from solar energy,
and 37 MW in a generation of biomass. These advances must be supported and
promoted to a green economic recovery (Banco Mundial 2020b).
The water resources management sector is considered one of the most important
since water affects all aspects of development and is related to most SDGs. In
addition, due to population growth, the intensive use of this resource, the more
significant variability of rainfall, and climate change combine in an unfavorable
framework for sustainable development and economic growth (Banco Mundial
2020b). Furthermore, given the characteristics of Latin America and the Caribbean,
where only 35% of the population has improved sanitation systems, it is necessary to
invest in this type of wastewater treatment, river water storage, and desalination
plants; diversification of its water sources (underground and surface sources); and
socialization campaigns for the rational use of this resource, among others, to avoid
water stress and a lack of coverage in areas of greatest vulnerability.
The transport sector can help combat two main problems in the region’s medium
and large cities, poor air quality and the excessive increase in the region’s number of
vehicles in use, causing road congestion and poor traffic control. On the one hand, it
must be recognized that automobiles are one of the primary sources of air pollution.
For example, Mexico City contributes 52% of PM10 particulate emissions, 55% of
PM2.5 particulate emissions, and 86% of carbon monoxide and nitrogen oxide
emissions. At the regional level, on the other hand, it is estimated that transport
contributes to a substantial part of anthropogenic GHG emissions since it is 15% of
global GHG emissions and 23% of GHG emissions from fossil fuels in 2009 (BID
2013; page 23).
In addition, the volume of cars bought, their use, and the level of emissions
derived from them are greater than expected from the region’s population and gross
domestic product (GDP) levels. As LAC countries modernize and develop, trends
suggest that this will be accompanied by an increase in the acquisition and use of
automobiles. If current trends continue, by 2030, LAC countries will approach the
level of motorization that existed in Europe in the 1960s but with more urban regions
with populations above five million inhabitants than those in that continent then or
today (BID 2019a; page 13). In this sense, the need for investing in creating public,
massive, integrated, and above all sustainable systems that contribute to the ordering
of traffic and the reduction of GHGs stands out.
Finally, waste management is a crucial activity of the green economy because of
its capacity to generate jobs and its implications for issues such as health and safety
(ILO 2016). In the selected countries, it can be found that the Dominican Republic
has the best identification of waste since only 10% of its destruction is not catego-
rized. At the same time, Bolivia has the lowest waste sorting capacity, with 22.7% of
unsorted waste. Plastic stands for 10% of destruction, as does paper (this percentage
shows a more significant deviation in the cases of Bolivia and the Dominican
Republic, given the variation in their waste selection capacities).
Given the population density of each country, it is not surprising that Brazil
generates more than 79 billion tons per year, while Bolivia generates 2 billion tons of
garbage per year. However, in the trash for Latin America, the garbage that reaches a
waste treatment landfill or is recycled fluctuates between 5% and 30%. Therefore, it
is necessary to invest in creating more and better recycling and thermo-recovery
plants, which will create more jobs due to their capacity to generate large-scale labor
requirements and reduce environmental pollution.
All these activities contribute to the economy by creating jobs, generating
surpluses, and reducing GHGs. However, a strategic plan must be drawn up by the
country, in which economic recovery measures are incorporated according to the
specific needs of each one. In this sense, with the help of the Shapley decomposition
method, seen in section “Applied Method”, and with the use of multiple criteria that
consider, on the one hand, the number of jobs created, the investment made, and the
benefits for growth in the medium term, it was possible to find priority activities. In
addition, these results were related to the adaptation sectors of the NDC that each
country had adopted before the pandemic to generate a strategy more strongly
associated with the region’s demands.
History shows that each economic crisis brought an increase in greenhouse gas
emissions. Given that countries were betting on a desperate recovery instead of a
sustainable recovery, however, and because of climate change that the world is going
through, we cannot fall back into this historical error. Therefore, and considering the
nationally determined contributions (NDCs), the Sustainable Development Goals
(SDGs), the Paris Agreement, framed in compliance with the United Nations
Framework Convention on Climate Change (UNFCCC), should be needed for the
governments of the region generates an “environmentally intelligent” recovery that
is committed to the conservation of the planet and long-term sustainable
development.
The pandemic surprised the region with a socioeconomic crisis: GDP growth of
less than 1%, more than 30% of its population living in poverty, a GDP per capita of
$8847, and a Gini index greater than 0.46. It developed a productive infrastructure
and managed extreme weather events (keeping walls, watershed management, and
forest fires, among others). With the agreements mentioned above, the economic
recovery strategy must be prepared with a view to sustainable development with the
generation of green jobs that help reduce the effects of the crisis caused by COVID-
19. It is considering generating a story that places the economy of the countries
analyzed on a path of lower GHG emissions.
Green jobs can be generated with reasonable investments if the ideal activities are
chosen, such as tree planting, watershed management, forest fire reduction, climate-
smart agricultural production, increased irrigation coverage, basic sanitation, storage
measures of water, diversification of drinking water sources, the creation of a public
system based on electric transport such as trolleybuses, and the design of recycling
plants, among others.
These actions help generate new sources of employment and mitigate the effects
of the economic crisis; they also contribute to the economy’s greening and guide the
country towards climate resilience by supporting the most vulnerable municipalities.
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Sustainable Treatment and Reuse of Water
Using Decentralized Systems
Rakesh Govind
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 944
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 945
Biological Wastewater Treatment Steps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 946
Decentralized Versus Centralized Wastewater Treatment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 946
Sustainable Design of Treatment Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 947
Filtration of Wastewater . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 949
Wastewater Aeration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 949
Suspended vs. Immobilized Biomass . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 953
Disinfection of Treated Water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 955
Treatment of Nutrients . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 956
Types of Biofilms in Bioreactors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 960
Decentralized Treatment Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 962
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 965
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 966
Abstract
Currently natural freshwater resources around the globe are threatened by popu-
lation growth; worsening food crisis, which battles bioenergy for land and water
resources; and climate change that is disturbing the overall water balance.
Skyrocketing energy prices have forced public and private response, and the
same is beginning to happen with water. Public utilities are discussing how to
restructure water rates to better reflect true costs without causing public harm.
There is an impending water crisis, which will threaten crops and cause popula-
tion movements as water refugees away from places of water scarcity and famine.
One of the solutions to this impending crisis is on-site treatment of wastewater
with the goal of reuse as irrigation water to promote agriculture and prevent
R. Govind (*)
Chemical Engineering Department, University of Cincinnati, Cincinnati, OH, USA
e-mail: govindr@ucmail.uc.edu

https://doi.org/10.1007/978-3-031-16017-2_59
944 R. Govind
famine. This on-site treatment is possible with decentralized treatment systems

instead of large collection systems and centralized wastewater treatment plants.
Sustainable, decentralized treatment requires treatment using minimal energy
consumption with high treatment efficiencies. In this chapter, a low-energy
consuming method for aeration using micro-nanobubbles will be presented,
which when used with a high surface area biomedia allows efficient treatment
in a compact design. The use of self-cleaning filters and membranes allows the
treatment system to operate unattended and deliver clear treated water with
non-detect suspended solids, BOD, and COD less than 10 mg/L with total
nitrogen less than 5 mg/L.
Keywords
Sustainable · Decentralized · Wastewater · Treatment · Micro-nanobubbles ·
Biomedia
Introduction
Decentralized treatment is treatment of wastewater at or near the source(s) of

pollution with the goal of reusing the treated water, either for local agriculture or
for other uses at or near the source(s) (Lens et al. 2001). The goal is reducing net
water consumption and allowing treated water to replenish the groundwater table.
The conventional approach has been to combine wastewater from several sources
(hundreds and thousands of houses, industries, etc.), transport the combined, large
flow through a network of underground sewer pipes and then treat the water in a
large, centralized treatment plant, and then discharge the treated water into a river
that eventually takes the water into the ocean. This allows groundwater to end up as
salt water resulting in the global decline of groundwater levels. Even with the
emergence of large-scale weather events, such as hurricanes, due to climate change,
most of the storm water runoff ends up in a river, which takes it back into the ocean.
The traditional decentralized treatment system is a septic tank, which does not
treat the wastewater, but merely separates the solids and allows the wastewater to be
treated by soil bacteria when it is applied to a drain field. With 40% of US population
residing in rural areas, sewage treatment relies mainly on the septic tank, and the
effluent is discharged locally in a soil field. The main issue is the clogging of the
drain field over time either due to the formation of biomat and/or in recent years due
to the gradual deposition of microplastics, present in sewage water. Due to the global
accumulation of plastics, there is the increasing presence of microplastics (plastic
particles typically less than 5 microns in size) in our food supply, which are not
filtered out by traditional septic tanks. When the water from the septic tank is applied
to a soil drain field, it results in the accumulation of these microplastics on the soil
surface, gradually decreasing water permeation rate into the ground and eventually
clogging up the soil drain field in a few years. In 2014 a national survey in the USA
had reported that there were more than two million failed soil drain fields. Untreated
Sustainable Treatment and Reuse of Water Using Decentralized Systems 945
wastewater from these failed fields has been contaminating drinking water wells for
decades, which is jeopardizing the health of millions of people that rely on well
water for their daily needs.
We need to emulate nature which has a water balance cycle, from evaporation and
natural transpiration from trees and vegetation to clouds, and then into rain, which
regenerates the water in the soil resulting in more biomass growth. Wastewater
treatment also needs to follow a circular economy from extraction, converting into
wastewater after usage, followed by treatment and reuse. Decentralized treatment at
the source is a necessary technology to emulate the natural water cycle, thereby
building a circular water economy.
Background
In several European countries, such as Germany and the Netherlands, decentralized

treatment systems for 1000 people have been deployed that incorporate reuse of
water, energy, and resources (Tervahauta et al. 2013; Mueller 2014). The potential of
centralized and decentralized wastewater management was studied in Bangkok
(Suriyachan et al. 2012) and it showed that the decentralized approach was econom-
ical and conducive to sustainable urban growth. It also demonstrated that
decentralized treatment was cost-competitive, since it had short sewer lines and
simpler technology, which was easy to maintain. Treated water was used locally,
mainly for irrigation (30–100%), while only 5% of treated water from centralized
treatment was recycled and reused.
Currently both centralized treatments using large-scale wastewater treatment
plants and decentralized systems, such as a septic tank, coexist, with the
decentralized approach being used mainly for rural areas and centralized treatment
for high population density areas. However, in recent years we have realized that
using a network of underground sewer pipes and a large-scale centralized treatment
plant was one of the biggest blunders of mankind. Centralized treatment has resulted
in a large, expensive-to-maintain, sewer pipe network and created a non-sustainable
issue of declining groundwater level, since treated water is generally discharged into
a river, which eventually converts into salt water in the ocean.
In the USA, about 60 million people use some form of on-site wastewater
treatment systems, of which about 20 million use the conventional septic tank
system (Bradley et al. 2002; Ahmed et al. 2005). In Australia, about 12% of the
population uses septic tank systems (Ahmed et al. 2005), while in Turkey, about 28%
of municipalities are served by septic systems (Engin and Demir 2006).
Traditional decentralized treatment system is a septic tank. Septic tank is a
primitive technology which simply separates the solids, allows the wastewater to
biodegrade anaerobically in the tank to some extent, and then depends on the soil
bacteria in the drain field to treat the wastewater, before it reaches the groundwater
table. It is incapable of treating nutrients (nitrogen and phosphorus) adequately,
which has resulted in contaminating nearby water bodies, such as lakes and rivers,
resulting in toxic algae blooms. With increasing ambient temperatures, due to
946 R. Govind
climate change, the occurrence of toxic algae blooms has increased worldwide,
resulting in beach closures and threatening drinking water supplies.
In recent years, on-site aerobic systems have also been used as decentralized
treatment, for single-family houses and subdivisions. While these systems can treat
the organic load in the influent wastewater, they usually don’t effectively reduce
nitrogen and phosphorus, resulting in the discharge of nutrients that cause algal
blooms in nearby water bodies. They are also unable to filter out microplastics,
present in domestic wastewater, which eventually clog up the soil drain field.
Biological Wastewater Treatment Steps
Biological wastewater treatment processes in the following sequential steps

(Tchobanoglous et al. 2009; Chen and Chen 2013; Bodik and Kubaská 2013):
1. Preliminary Treatment: sedimentation, screening, filtration of large solids, flota-

tion and skimming, and flow equalization.
2. Primary Treatment: chlorination, ozonation, neutralization, coagulation, settling,
adsorption, and ion exchange.
3. Biological Treatment: This can be further classified as aerobic and/or anaerobic.
Aerobic biological treatment includes activated sludge, trickling filters, oxidation
ponds, lagoons, and aerobic digestion. Anaerobic biological treatment includes
anaerobic digesters, septic tanks, and lagoons.
4. Tertiary Treatment: This includes disinfection with chemical agents, settling,
coagulation and clarification with chemicals, filtration, softening, activated car-
bon treatment, ion exchange, and membrane separation.
Decentralized Versus Centralized Wastewater Treatment
Centralized treatment using an elaborate network of underground sewer pipes

(collection system) followed by a large, central, wastewater treatment plant was
the biggest blunder of mankind. It has resulted in the decline of groundwater levels
around the globe, including many countries, which suffer from water scarcity. It
poses the greatest impediment to water reuse, since piping the treated water back to
the users would be uneconomical. In addition, maintaining the vast network of sewer
pipes is very expensive and has resulted in raw wastewater leaking into the ground
and contaminating drinking water wells, with adverse health implications for mil-
lions of people.
Decentralized treatment which treats the wastewater at or near the source allows
water reuse, at least as non-potable water, thereby preventing the decline of ground-
water levels, reduces the net consumption of freshwater, and avoids the high
installation and maintenance costs of a large collection system. With the growth of
wireless connectivity and sensors, these decentralized treatment systems can relay
their alarms to a central location, which allows low-cost maintenance of the
DECENTRALIZED
CENTRALIZED TREATMENT +
TREATMENT AND CENTRALIZED
MONITORING MONITORING
Fig. 1 Centralized treatment and monitoring versus the future of wastewater treatment, which is
decentralized treatment and centralized monitoring
decentralized treatment systems by a single company or entity. Hence, the world

should move from centralized treatment to decentralized treatment with centralized
monitoring, as shown in Fig. 1.
Sustainable Design of Treatment Process
Although septic tanks have major limitations in terms of their capabilities and mainly
rely on the soil drain field to treat the wastewater, they fulfill a major advantage of
decentralized treatment, which is to recycle the water back to the groundwater
aquifers, thereby perpetuating the availability of freshwater. Septic tanks are passive
systems requiring no electrical power connection. However, aerobic systems use
electrical power to run blowers (aerators) which provide dissolved oxygen for
biotreatment of the wastewater. More advanced treatment systems, such as mem-
brane bioreactors, use electrical power to not only aerate the water but also to operate
pumps for pumping the water through membranes. In remote areas, and in many
underdeveloped countries, with unreliable electric power availability, treatment
systems which require power cannot function effectively.
Use of solar power for treating wastewater is necessary for global application of
any decentralized treatment systems. This approach does not sacrifice treatment
capability and uses sustainable power for its operation.
Constructed wetlands are considered sustainable, decentralized treatment systems
that are being used all over the world. These systems have benefits of low capital and
operating costs, less infrastructure, simple design, and ease of operation. However,
they require more land space (2 m2 per population equivalent in warm weather
conditions and 12 m2/population equivalent under cold climate conditions) and
produce biomass which has to be periodically removed and handled, limited nutrient
treatment, and no disinfection capability (Mander et al. 2001; Masi et al. 2013).
Another approach is nature-assisted treatment which uses solar-powered aeration
with sprinklers and algae cultivation to enhance dissolved oxygen levels, lower
biomass production, and increase nutrient treatment levels. However, any treatment
948 R. Govind
depending on nature will be inherently slow and require more land space. In
addition, these systems are unable to handle industrial discharges which often
contain toxic metals and other impurities.
Membrane bioreactors (Meuler et al. 2008) which combine biological treatment
with membranes, for separation of solids, have emerged as an effective treatment
system for wastewaters. By retaining the biomass within the bioreactor, using
membranes to permeate only water from the reactor, they operate at a significantly
higher biomass concentration, which decreases the residence time needed to treat the
wastewater and increases the biomass retention time, to enhance aerobic digestion of
the biomass. However, synthetic membranes require periodic chemical cleaning to
maintain an acceptable water flux through the membrane. Another issue with
membrane bioreactors is limitations of oxygen transfer at high biomass
concentrations.
Membrane aerated biofilm reactors (MABRs) (Syron and Casey 2008; Li et al.
2008a; b; Sahu et al. 2009) represent a new technology for aerobic wastewater
treatment. Oxygen diffuses through a gas permeable membrane into the biofilm
where oxidation of pollutants, supplied on the biofilm side of the membrane, takes
place. While these biofilm reactors exhibit high oxygen transfer rates, they are
limited by the transport of the substrates (contaminants) into the biofilm. In addition,
the membrane supporting the biofilm can also clog due to the production of
extracellular polysaccharide secretions.
Sustainable design requires that the energy consumption for wastewater treatment
is minimized. In a typical wastewater treatment plant (WWTP), there are three stages
of treatment and the percent energy consumption in each stage is shown in Fig. 2
(Tchobanoglous et al. 2003). The first stage is physical treatment, in which the
suspended solids are separated from the wastewater. This stage consumes about
25% of the total energy consumption. The second stage is biological treatment which
includes aerobic and anaerobic treatment, which converts the organic matter to
carbon dioxide, methane, and ammonium nitrogen to nitrogen gas and nitrates/
nitrites. This stage consumes about 60–70% of the total energy consumption. The
final stage is sludge handling and dewatering, which consumes 4.1–13.9% of the
total energy consumption.
Fig. 2 Percent energy

consumption in a typical
wastewater treatment plant
(WWTP)
Clearly, there is a substantial potential for energy reduction in the treatment

process and it is well known that energy consumption for treatment per unit volume
of wastewater decreases with increasing influent water flowrate. However, this does
not account for the fact that smaller-scale wastewater treatment systems, as in the
decentralized approach, can use renewable energy much more easily than large-scale
wastewater treatment plants.
Filtration of Wastewater
Filtration of suspended solids and biomass is essential for wastewater treatment. In

the case of decentralized treatment, self-cleaning filters exhibit low pressure drop
and can function without manual intervention. Self-cleaning is achieved either
mechanically, using a rotating brush, or by backflushing with filtered water. Two
kinds of filter screens are used in self-cleaning filters: (1) thin screen with straight
openings from one side to the other side and (2) porous material with tortuosity of
pores within the material. Porous material screens are difficult to clean since the
material within the tortuous pores is difficult to dislodge. Backflushing usually
allows water to flow through the open pores and does not dislodge the material
within clogged pores, which gradually allows the filter material to clog. Thin screens
with straight openings can be cleaned mechanically using brushes on the dirty side of
the screen, since water backflushing tends to flow water through the open spaces
rather than clean the openings which are clogged. Additional advantage of using
brushes to clean screens with no pore tortuosity is that it can remove biofilms which
tend to grow on the screen, when the filter is not being used.
Wastewater Aeration
Aeration is essential for biological treatment of wastewater under aerobic conditions

and its goal is to maximize the concentration of dissolved oxygen in the aqueous
phase. There are two main kinds of aeration systems: (1) natural aeration, which uses
no energy and relies on oxygen transfer as the water moves through atmospheric air,
and (2) engineered aeration, which can be of several kinds: (1) basin aeration,
(2) surface aeration, and (3) in-line aeration. Furthermore, aeration can be achieved
with either ambient air or with higher concentrations of oxygen separated from air.
Surface aeration often is unable to oxygenate the entire water column, unless the
basin is shallow, which makes the footprint of the aeration basin very large. This
stratification of oxygenated water at the top results in anoxic conditions at the bottom
of the basin, resulting in the formation of methane gas, especially in lagoons, where
low water velocity creates sedimentation of the suspended solids. Settled solids
begin to accumulate at the bottom. Lagoons must be dredged when the sediment
thickness increases, and this waste sludge, often rich in nitrogen and phosphorus, has
to be treated before disposal.
950 R. Govind
The most used aeration method is basin aeration, wherein ambient air is bubbled
from the bottom of the basin. Oxygen in the air bubbles dissolves into water as the
bubbles rise through the water column. To achieve higher levels of oxygen transfer
into the water, greater basin depths are used, which reduces the surface area of the
basin. Fine bubble aeration is used to increase interfacial surface area between the air
bubble and water. However, basin aeration requires the diffusers to be periodically
cleaned, to maintain their higher oxygen transfer efficiency. Coarse bubble aeration
is often used with fine bubbles to allow the water column to mix, in order to prevent
stratification in the basin. Major disadvantage of bubble aeration using deep basins is
the high cost of air compression, which makes aeration for biological treatment one
of the highest energy consuming steps in wastewater treatment.
The oxygen transfer efficiency is measured in clean water, defined as standard
oxygen transfer efficiency (SOTE), and the fouling potential of the aerators is
defined by a parameter α, which is 1.0 for clean water. The actual oxygen transfer
efficiency (OTE) is defined as the product of this parameter α with SOTE, measured
in clean water. Table 1 lists the values of OTE versus bubble diameter. These values
show that while ultrafine bubbles have a higher SOTE/ft compared to larger size
bubbles, their fouling parameter, α, is also lower, which gives a lower OTE and the
energy consumption to generate ultrafine bubbles is also higher than for larger size
bubbles.
In recent years aeration using microbubbles and nanobubbles or micro-
nanobubbles (MNBs) has been developed and applied for wastewater treatment
(Attard et al. 2002; Chu et al. 2007). The critical diameter separating bubble swelling
and shrinkage is about 50–65 μm, as shown in Fig. 3 (Fine Bubble Technology
2021). Bubbles larger than the critical value will swell, while smaller bubbles will
shrink. Furthermore, the surface charge of the MNBs prevents them from coalescing
to form larger bubbles. The bubble rise time for different size air bubbles is shown in
Fig. 4. As the bubble diameter decreases below 30 mm, the bubble rise velocity
decreases dramatically, thereby increasing the bubble’s residence time from a few
Table 1 Oxygen transfer efficiency (OTE) versus bubble diameter in basin aeration
Typical SOTE OTE ¼ α x Energy consumption
Diffuser type (%/ft) α (SOTE)/ft SOTE (%) multiplier
Coarse 0.90 0.75 0.675 1
bubble
(>4 mm)
Medium 1.40% 0.60 0.84 0.756
bubble
(2.5–4.0 mm)
Fine bubble 2.1% 0.49 1.03 0.476
(1–2.5 mm)
Ultrafine 2.6% 0.3 0.78 1.243
bubble
(0.5–1.5 mm)
Bubbles Microbubbles Nanobubbles
STABLE (DAYS/MONTH)
50 - 65 µm
1mm 100 µm 10 µm 1 µm 100 nm 10 µm 1 nm

GROW AND RISE BUBBLES SHRINK
GAS TRANSPORT > SURFACE TENSION SURFACE TENSION > ELECTROSTATIC REPULSION
Fig. 3 Stability of various air bubble sizes in wastewater
Fig. 4 Rise velocity for micro- and nanobubbles in water
minutes to hours and even days. This increases oxygen transfer from the air bubble
into the water phase.
However, since air has an oxygen concentration of 21%, and mass transfer
coefficients for oxygen and nitrogen are very similar, after oxygen in the bubble
has been utilized, these nanobubbles of nitrogen serve no function in the bioreactor.
In fact, they pose several disadvantages in a bioreactor system. Firstly, nanobubbles
are capable of shearing biofilms from the surface of the biomedia, and the function-
ing of a bioreactor is based on the existence and maintenance of active biofilms.
Secondly, the presence of nitrogen bubbles decreases the bulk density of water,
which causes activated sludge flocs to float rather than remain immersed in the
wastewater. Flotation of activated sludge also occurs due to surface attachment of
nanobubbles to the microbial flocs. This also inhibits biological degradation in a
suspended culture treatment system, like activated sludge basins.
Hence, the optimum bubble size for aeration is in the range of microbubbles,
1–100 μm range, which have a reasonable liquid residence time, ability to coalesce
due to low surface charge, and ability to deliver oxygen from the air at high oxygen
transfer efficiencies.
Liquid mixing is also an important aspect of bioreactor effectiveness, and micro-
bubbles do not possess sufficient drag to effectively mix the wastewater in the
952 R. Govind
Fig. 5 Air/water ratio needed for biodegradation and limit for venturis
bioreactor. The most effective method of mixing the liquid in a bioreactor is to use
recycle flow, since it can be scaled up easily for large flow treatment systems. In-line
aeration achieves this goal of recycling water from the bioreactor and aerating this
flow before it re-enters the bioreactor.
The most common way of in-line aeration is achieved by using a venturi (Dong
et al. 2012; Levich 1962), which creates a negative pressure when water flows
through a narrow region, as described by the Bernoulli equation. In a venturi
in-line aeration system, air is introduced into the throat of the venturi, where the
water velocity is high, and air is drawn in due to the negative pressure created by the
high water velocity. However, the main issue with venturi aeration is the air-water
ratio which can be achieved. Biological treatment requires a specific air/water ratio
as shown in Fig. 5. This calculation assumes air at 1 atm, 25 deg C, various influent
BODs in mg/L, and 25% oxygen absorption efficiency. Clearly, for an influent BOD
of 500 mg/L the air/water ratio required is 6.65, which is much greater than air/water
ratio which can be achieved using a venturi which is typically less than 2.0. Hence,
venturis alone cannot be effectively used for wastewater aeration since they are
unable to provide sufficient dissolved oxygen in the water.
Microbubble generation using microporous membranes is a simple, energy-
efficient method for generating microbubbles wherein a high gas/liquid ratio is
required for biodegradation of wastewater, as shown in Fig. 4. Bubble size depends
on the shear stress exerted by the liquid flow and the hydrophobicity of the
membrane (Liger-Belair et al. 2004; Kukizaki and Goto 2006; Kukizaki and Wada
2008; Liu et al. 2012). This method allows the air/water ratio to be controlled
independently, and the microbubbles can be generated in-line, thereby allowing
the recycled liquid to mix the bioreactor. Furthermore, the gas and liquid-phase
pressure drops are small, compared to other methods of microbubble generation such
as venturi, high pressure dissolution, etc.
Suspended vs. Immobilized Biomass
Wastewater treatment in domestic WWTPs is usually conducted using an activated

sludge process, which uses suspended cultures. The main disadvantages of
suspended cultures are low biomass concentration, typically 2,000–3,000 mg/L,
high impact of biocidal chemicals, washout of the suspended biomass at high
water flowrates, and net generation of biomass, which is either digested subsequently
in aerobic digesters or used to generate biogas. Immobilized biomass or biofilms
allow a substantially higher concentration of active biomass, typically
10,000–50,000 mg/L, less adverse impact of biocidal chemicals (Patil et al. 2006),
no washout of the active biofilms, and robust performance even at low operating
water temperatures. Immobilized biomass or biofilms are achieved using biomedia,
which presents a high surface area for active biofilms to attach and grow on its
surface. Various kinds of biomedia have been used, such as plastic pieces of various
shapes and sizes, open-cell polyurethane foam pieces, porous ceramic media, and
even rocks. Biomedia can be used as moving media in the water phase or in a static
packed bed with trickling flow of wastewater.
Flexible polyurethane foams have gained relevance as microbial carriers for their
good mechanical properties, high porosity, large adsorption surface, resistance to
organic solvents and microbial attack, easy handling, allowing biofilms to slough off
the surface, and cost effectiveness (Syron and Casey 2008). In general, the high rates
of sorption of positive charge and hydrophobic character of the polyurethane foam
allow interaction with most microbial cell surfaces (Patil et al. 2006; Afghan et al.
1984; Wang et al. 2009).
The main issue with open-cell polyurethane foam is its ability to get clogged with
suspended solids, typically present in wastewater. To protect the open-cell foam, it is
enclosed in a spherical, plastic mesh which protects the foam structure from large
biomass flocs and other suspended solids. Figure 6 shows a photograph of such a
piece of Biomesh Biomedia™, which consists of the plastic mesh that encloses a
Fig. 6 Photograph of Biomesh Biomedia and the formation of aerobic and anoxic zones within the
open-cell foam piece, inside the plastic mesh
954 R. Govind
Table 2 Characteristics of Biomesh Biomedia

Biomedia characteristics
Material Non-toxic polypropylene, black
Bulk density with no biofilms 3.5 lbs/ft3
Surface area for biofilms 2,200 ft2/ft3
Diameter 2 inches
Maximum temperature 140 deg F
Typical volume % in bioreactor 10–25%
BOD oxidation rate 0.45 lbs BOD5/ft3.day
Ammonium nitrification rate 0.02 lbs NH4-N/ft3.day
Denitrification rate 0.05 lbs NOx-N/ft3.day
piece of open-cell, polyurethane foam. The foam piece provides a very large surface
area for immobilization of active biofilms, and the main characteristics of this
biomedia are given in Table 2.
One of the central issues with any biomedia, whether stationary or moving, is
clogging due to biomass growth (Govind 2009). Most plastic medias currently on the
market clog due to biomass growth. Also, the surface area in a biomedia can be
subdivided into two types: (1) protected and (2) unprotected. Protected surface area
represents surface area in a biomedia in which the biofilm is not subjected to any
action which may slough off the biofilm from the biomedia. The outside surface area
of any biomedia, which is subjected to either water velocity that exerts frictional
force on the biofilm or where the biomedia can rub against each other to abrade the
biofilm off the surface, is the unprotected surface area. Biofilms in the protected
areas of the biomedia tend to grow significantly thicker, while biomedia’s surface
area in unprotected areas is unable to sustain any active biofilms. This allows
the biomedia to begin to clog in the protected areas while having no biofilm in the
unprotected areas, and this significantly reduces the total effective surface area of the
biomedia.
Determining the maximum biofilm thickness is critical for any biomedia (Govind
2009), since it determines the opening size for the protected areas. The maximum
biofilm thickness must be 50% or less than the size of the openings in the protected
areas of the biomedia. Using F as the influent flowrate in million gallons per day,
Cin mg/L as the maximum influent soluble BOD in most domestic wastewater
treatment applications, 0.8 as the fraction of volatile suspended solids to the mixed
liquor suspended solids, and Y (lb/lb) as the biomass yield, the total amount of
biomass that will result from complete treatment of this wastewater is given by the
following equation:
Rate of biomass growth ðlbs=dayÞ ¼ ðF x Cin x Y x 8:34Þ=0:8

¼ 10:425F x Cin x Y ð1Þ
For steady state to be achieved in the bioreactor, the rate of growth of biomass
must be equal to its decay rate. When this steady state is achieved, the biofilm
thickness would have attained a constant value. This also assumes that there is no
removal of biofilms due to slough-off from the protected areas of the biomedia.
At this steady-state condition, the decay rate of biomass is given by the decay
rate, which is in the range of 0.025–0.075 day1, with an average value of
0.06 day1. Using this average decay rate and W lbs as the total amount of biomass
in the bioreactor, we get the following equation when biomass growth and decay are
equal:
0:06 x W ¼ 10:425 x Cin x Y ð2Þ
This gives the total amount of biomass in the bioreactor, W lbs, as follows:
W ðlbsÞ ¼ 173:75 x Cin x Y ð3Þ
Using density of water (62.5 lbs/ft3) as density of biomass, we get the total
volume of biomass in the bioreactor VB (ft3) as follows:
VB ft3 ¼ 2:78 x Cin x Y ð4Þ
If the fractional protected area of the biomedia (protected area/total surface area)
is AB, and Atot is the total surface area of all the biomedia pieces in the bioreactor,
then the maximum biofilm thickness is given by the volume of biomass divided by
the total protected area, i.e.,
Maximum biofilm thickness ðftÞ ¼ VB ft3 =ðAB x Atot Þ

¼ 2:78 x Cin x Y=ðAB x Atot Þ ð5Þ
The above equation gives the maximum biofilm thickness since we are assuming
that all biomass growth is on the biomedia and there are no suspended cultures in the
liquid phase. Clearly, if the maximum opening size dimension t (ft) is less than or
nearly equal to the maximum biofilm thickness, then the biomedia will clog.
t 2:78 x Cin x Y=ðAB x Atot Þ Biomedia will clog ð6Þ
t >> 2:78 x Cin x Y=ðAB x Atot Þ Biomedia will not clog ð7Þ
Disinfection of Treated Water
The goal of disinfection is to destroy and/or inactivate pathogenic organisms to

minimize the spread of waterborne diseases. The dose of a disinfectant chemical, CT,
is defined as its concentration in water multiplied by the contact time between the
disinfectant and wastewater. A very high concentration of disinfectant in contact
with the pathogen for a very short time may result in the same effectiveness as a low
concentration of disinfectant in contact with the wastewater for a long time. Patho-
gens are usually associated with solids, and with effective separation of total
956 R. Govind
suspended solids, most of the pathogens are removed from the wastewater. When the
treated water is discharged into a soil drain field, any residual of a chemical
disinfectant is undesirable, since it prevents the active bacteria in the soil from
effectively treating the water. However, with the use of advanced decentralized
treatment systems, which effectively treat the wastewater before discharge, disin-
fectants such as chlorine, which can maintain a residual concentration, can harm the
natural biota in the soil drain field.
The disinfectant chemical which has several advantages over other chemicals,
such as chlorine, peracetic acid, etc., is ozone. Ozone can be produced on-site with
oxygen from ambient air. The disinfecting mechanisms of dissolved ozone in water
include direct oxidation/destruction of the cell wall; damage to the cell constituents,
such as nucleic acids; reactions with radical by-products of ozone decomposition,
such as hydrogen peroxide and hydroxyl; and breakage of nitrogen-carbon bonds
leading to depolymerization. Ozone eventually decomposes to oxygen and water,
leaving no toxic by-products.
For decentralized treatment, ozone is a better disinfectant than UV light since UV
light requires a high degree of filtration to separate the suspended solids. Typically,
the concentration of ozone generated from dried, ambient air is in the range of
30–60 mg/L in air. At maximum water temperature of 35 deg C the solubility of
ozone from an ozone/air mixture will be in the range of 2.57–5.15 mg/L, compared
to 8.37–16.7 mg/L at 10 C. Hence, water temperature has a significant impact on
ozone solubility in water. At higher temperature ozone absorption is substantially
reduced.
The disinfection effectiveness of ozone compared to other chemicals has been
summarized in the literature (Hoff 1986). For E. coli reduction by 99%, the CT value
(concentration in water in mg/L x time in minutes) is 0.02 at a pH of 6–7 (Hoff
1986), which is the pH of treated water. Earlier the ozone concentration of 3.15 mg/L
was calculated in the treated water after ozone absorption, for 10% ozone absorption
efficiency and 5 gms/h ozone generating capacity operating at 80% of this generating
capacity. Hence, to kill 99% of the organisms typically present in wastewater, the
time needed will be 2.0/3.15 ¼ 0.64 min.
Treatment of Nutrients
Several of the 17 Sustainable Development Goals (SDGs) are related to managing

nutrients in wastewater. Nutrients (nitrogen and phosphorus compounds), normally
present in domestic wastewater, when released into water bodies result in the growth
of toxic algal blooms. Nutrients also stimulate eutrophication in lakes and rivers, and
ammonium nitrogen in wastewater can deplete water bodies of dissolved oxygen,
resulting in fish kills. Eutrophic conditions are a major risk to human health,
resulting from consumption of shellfish contaminated with algal toxins or direct
exposure to waterborne toxins. Algal blooms have caused major problems in water
bodies used to supply drinking water, since chlorine, used to disinfect drinking
water, reacts with organic compounds to form disinfection by-products, which are
potential carcinogens and regulated by the U.S. Environmental Protection Agency.
The release of nutrients from decentralized systems, such as a septic tank and
even on-site aeration units, has been well documented. While treatment of nutrients
in centralized treatment systems has been well studied and will not be reviewed here,
application of these technologies for decentralized systems is usually difficult and
uneconomical.
As discussed earlier, the use of moving biomedia with high surface area enables
simultaneous nitrification and denitrification. In the Biomesh Biomedia, the inner
section of the spherical biomedia with open-cell foam inside operates under anoxic
conditions due to the inability of dissolved oxygen to penetrate through the aerobic
section, near the outer surface of the biomedia. In the aerobic section, ammonium
nitrogen is converted to nitrates and nitrites, while in the anoxic section, within the
moving biomedia, nitrates and nitrites are converted to nitrogen gas. This simulta-
neous nitrification and denitrification, which occurs when using Biomesh Biomedia,
enables the ammonium nitrogen to be converted to nitrogen gas.
The second strategy which can be employed in decentralized treatment systems is
the use of adsorption and chemical complexation to remove ammonium nitrogen,
nitrates, nitrites, and phosphates. Recovery and recycle of nutrients is essential since
it creates a circular economy. Furthermore, adsorption and chemical complexation
can remove nitrogen and phosphorus compounds from wastewater to very low
levels. Biological nitrification and denitrification and treatment of phosphates by
polyphosphate-accumulating organisms (PAOs) can reduce nitrogen and phosphorus
levels, but achieving very low concentrations is difficult without advanced controls.
In decentralized treatment systems, adsorption and chemical complexation are the
lowest cost technologies and allow recovery and reuse of the nutrients.
Magnesium salts have been extensively used to remove phosphorus from waste-
water. Water-insoluble magnesium salts, such as magnesium and cerium carbonates,
have been used to complex phosphates in wastewater streams. Blast furnace slag
(BF slag) is an industrial by-product from steel plants derived from the slag forming
minerals, mainly limestone, during iron production in the blast furnace (Tossavainen
2005). The cooling process of the molten slag affects the properties of the solidified
slag. Cooling by water results in an amorphous and glassy slag, whereas a slow
air-cooled slag is a half crystallized, rock-like material (Tossavainen 2005). Both
adsorption and precipitation mechanisms contribute to the phosphorus sorption by
BF slag. Khelifi et al. (2002) found adsorption processes to account for about 20% of
the total removal of phosphate. When metals of the BF slag were washed away with
HCl and distilled water, the phosphorus retention capacity was drastically reduced.
Johansson and Gustavsson (2000) investigated crystalline and amorphous BF slags
and found that the major mechanism for phosphorus retention was the precipitation
of hydroxyapatite. However, Grüneberg and Kern (2001) performed sequential
extraction tests showing that the major fraction of the absorbed phosphorus was
defined as readily available, loosely bound phosphorus or phosphorus associated
with free Ca or Mg carbonates. Johansson (1999) reported similar results.
958 R. Govind
Wollastonite is a calcium metasilicate (CaSiO3) with a theoretical composition of

48.3% calcium oxide and 51.7% silicon dioxide (Rieger and Virta 1999). Wollas-
tonite belongs to the pyroxenoid group, often appearing with a needle-shaped
structure (Loberg 1980; Bates and Jackson 1984). It is built up by Si-O tetrahedra
and Ca atoms situated inside the tetrahedra (Deer et al. 1992).
The attraction mechanisms for positively charged ions to wollastonite have not
been thoroughly described. However, Xie and Walther (1994) studied alkali and
alkaline earth metal-bearing silicates, e.g., wollastonite, and found that cations (e.g.,
Ca2+) were released when added to pure water, leaving a negatively charged mineral
surface. In the same study, silicon (Si4+) of wollastonite was released into solution,
also contributing to the negative surface of the wollastonite. The negative wollas-
tonite surfaces attracted positively charged ions such as H+. Cations such as K+, Na+,
and Ca2+ as well as NH4+ were adsorbed to the wollastonite surfaces and exchanged
H+, which was most easily bound to the negatively charged surface (Xie and Walther
1994).
Wollastonite has been investigated regarding its adsorption of positively charged
metal ions (Panady et al. 1986; Livergren 1997; Sharma et al. 1990; Singh et al.1988;
Yadava et al. 1991). Lind et al. (2000) studied the adsorption of ammonium in
human urine on wollastonite, with about 50% of the ammonium in the solution being
adsorbed to the wollastonite. In addition, wollastonite has been investigated regard-
ing removal of phosphorus. Wollastonite was suggested as a filter material for
phosphorus removal in constructed wetlands in surveys (Brooks et al. 2000; Hill
et al. 2000). Palacios and Timmons (Breck 1974) obtained promising results when
investigating wollastonite as a filter material to treat recirculating water in an
aquaculture.
Clinoptilolite is a natural zeolite that belongs to a group of hydrated aluminosil-
icate minerals containing alkali and alkaline earth metals. The chemical formula of
clinoptilolite is (Na,K,Ca0.5,Mg0.5)6(AlO2)6(SiO2)3024H2O (Breck 1974).
Clinoptilolite has a structure consisting of a three-dimensional framework of SiO4
and AlO4 tetrahedra, with the Si4+ or Al3+ ions located at the centers of the tetrahedra
(Curkovic et al. 1997). Substituting aluminum for silicon in the mineral lattice of
clinoptilolite creates a negative charge of the lattice balanced by positively charged
ions, such as sodium, calcium, and potassium (Passaglia and Sheppard 2001). These
ions are located in the relatively large cavities of the outer framework and are
exchangeable by other cations (Passaglia and Sheppard 2001). Furthermore,
clinoptilolite has an ion-sieving capability, since the framework structure forms
narrow ring channels with dimensions of 3 x 4.4 Å and 3.5 x 7.9 Å (Curkovic
et al. 1997). The positively charged ions located within the clinoptilolite framework
can be replaced relatively easily with other positive ions, known as “ion exchange”
or “cation exchange.” The concept “adsorption” can be used for the same phenom-
enon, referring to positively charged ions that can be adsorbed to the negatively
charged surfaces of the clinoptilolite. The term adsorption is connected to “desorp-
tion,” since the adsorbed ions can be removed/desorbed by other ions.
Ames (Vaughan 1978; Ames 1960) conducted experiments to rank cations
according to their affinity to clinoptilolite and developed the following order:
Csþ > Rbþ > Kþ > NH4 þ > Ba2þ > Sr2þ > Naþ > Ca2þ > Fe3þ > Al3þ
> Mg2þ > Liþ
As can be seen by the above affinity sequence, clinoptilolite has a high affinity for
ammonium in solutions as studied by, e.g., (Ames 1967; Jørgensen et al. 1976, 1979;
Hlavay et al. 1982). The ammonium adsorption capability of clinoptilolite makes it
interesting for wastewater treatment applications (Kithome et al. 1998; Koon and
Kaufmann 1975; Liberti et al. 1981; Chmielewska-Horvathova et al. 1992; Brooks
et al. 2000; Green et al. 1996; Beler-Baykal and Guven 1997; Nguyen 1997; Beler-
Baykal 1998; Lahav and Green 1998; Nguyen and Tanner 1998). Many factors
influence the adsorbed amount of ammonium on clinoptilolite in practical applica-
tions. Studied aspects are the origin and clinoptilolite concentration of the ore sample
used (Beler-Baykal and Inan 2005; Townsend and Loizidou 1984), transformation of
the clinoptilolite to a homoionic form (Jørgensen et al. 1976; Kithome et al. 1998;
Chmielewska-Horvathova et al. 1992; Green et al. 1996), grain size (Vaughan 1978;
Jørgensen et al. 1979; Beler-Baykal and Guven 1997), hydraulic load
(Chmielewska-Horvathova et al. 1992; Green et al. 1996; Beler-Baykal and Guven
1997; Nguyen 1997), ammonium concentration (Jørgensen et al. 1976, 1979, Hlavay
et al. 1982), competition with other cations (Kithome et al. 1998; Ames 1967;
Mondale et al. 1995; Demir et al. 2002), occurrence of suspended solids and organic
matter in the wastewater (Jørgensen et al. 1979; Weatherley and Miladinovic 2004),
pH (Hlavay et al. 1982; Kithome et al. 1998), temperature (Kithome et al. 1998; Liu
and Lo 2001), and scale of system (Jørgensen et al. 1979).
Desorption of ammonium ions from the clinoptilolite is of interest to enable
recovery of the ammonium ions or make the exchange sites available for new
ions. Another method for desorption of ammonium ions is chemical regeneration
with NaCl brine solutions, as studied by, e.g., (Kithome et al. 1998; Atkins and
Scherger 1997; Koon and Kaufmann 1975; Jørgensen et al. 1979), and means that
adsorbed ammonium ions are desorbed/exchanged by Na ions when the regeneration
solution is flushed through clinoptilolite. Chemical regeneration can be combined
with nitrification to desorb ammonium ions, called biological regeneration (Atkins
and Scherger 1997).
More than 200 reactive filter systems using Filtralite P have been constructed in
Norway during recent years, which makes it probably the most used reactive filter
material in full-scale applications. About 70–80 compact reactive filter systems with
Nordkalk Filtra P have been built in Finland during the last 2–3 years. A reactive
filter system with blast furnace slag for small-scale wastewater treatment was
constructed in Luleå in 2005 (Semmens and Porter 1979). A larger reactive filter
system to treat urine separated wastewater was built in 2003 at a highway rest stop
with toilet facilities in Ångersjön, Hudiksvall. In one of the treatment lines, a filter
bed with blast furnace slag for phosphorus sorption was located after a limestone
filter (Rastas 2006). In Turkey, a reactive filter bed using blast furnace slag and
planted with Phragmites australis to treat domestic wastewater (3 m3/d) was built in
2001 (Stråe 2005). In a Canadian system designed for about 100 persons, blast
960 R. Govind
furnace slag was investigated at an experimental plant with reactive filter beds to
treat lagoon and wetland effluents (Korkusuz et al. 2005). In New Zealand, a pond
system for a population of about 6,000 was upgraded in 1993 with steel-melter slag
filters to increase the phosphorus removal (Cameron et al. 2003).
The phosphorus treatment efficiencies of large Norwegian filter bed systems
using about 40 m3 of filter material have been high. Systems using porous filter
materials with high phosphorus sorption capacity have consistently removed more
than 90% of phosphorus for more than 10 years. These systems were designed with a
total surface area of 7–12 m2/person (Shilton et al. 2005). The compact filter systems
built in Finland using Nordkalk Filtra P reduced phosphorus concentrations of the
wastewater by more than 90% during a period of 1–2 years. In these systems, a 1 m3
tank filled with the Nordkalk Filtra P was loaded with wastewater from one family
(Jenssen et al. 2005).
Types of Biofilms in Bioreactors
There are several types of bioreactors which have been used for wastewater treat-
ment. While the various types of bioreactors will not be reviewed here, the use of
immobilized biomass for decentralized treatment is preferred since it has a smaller
footprint (significantly higher concentrations of active biomass), less net generation
of waste sludge due to higher sludge retention times, and ability to withstand the
presence of biocides in the influent wastewater. However, immobilized biomass
bioreactors can be either liquid phase filled, with moving biomedia, or a trickling
filter, with a packed bed of biomedia and gravity-driven trickling flow of wastewater
through the packed bed.
From a biofilm point of view, bioreactors can be described in terms of the biofilm
characteristics, as shown in Fig. 7. In Fig. 7(a), biomedia in the liquid phase supports
the active biofilm, and the contaminant, dissolved oxygen, and nutrients diffuse from
the bulk liquid phase into the biofilm. This situation occurs in liquid-phase
Fig. 7 Biofilm characteristics in various bioreactors

bioreactors with either moving or stationary biomedia. In this case, there is a

maximum thickness of biofilm which can be achieved, since the organic contami-
nants and dissolved oxygen are being consumed as a function of increasing biofilm
depth, and at maximum biofilm thickness, the organic contaminant(s) and/or
dissolved oxygen concentration is reduced to zero. In Fig. 7(b), there is trickling
flow of wastewater on the surface of the active biofilm, supported by the biomedia.
This is the case in trickling filters and packed bed bioreactors, in which the dissolved
oxygen in the trickling flow of wastewater, contaminants, and nutrients simulta-
neously diffuse into the biofilm. The biofilm thickness is also limited as in the case of
Fig. 7(a). In Fig. 7(c) the wastewater flows on the biofilm side, which is supported on
a porous membrane, and the oxygen, present in air, dissolves into the liquid phase
present in the biofilm through the porous membrane. This occurs in Membrane-
Aerated Biofilm Reactor (MABRs), wherein dissolved oxygen and contaminant(s)/
nutrients diffuse into the biofilm in opposite directions. This results in thicker
biofilms, since dissolved oxygen diffuses on the back side of the biofilm which is
supported by the porous membrane. In this case, the maximum biofilm thickness is
mainly limited by the diffusion flux of the contaminant(s) through the biofilm.
Figure 7(d) shows a moving biomedia bioreactor except in this case aeration is
achieved using micro-nanobubbles, rather than standard aeration. Microbubbles in
the size range of 1–100 microns have a significantly higher surface area than fine
bubble aeration and this allows a significantly higher oxygen transfer rate into the
biofilm. In addition, nanobubbles, which are less than 1 micron in diameter, stay in
the water for days and attach themselves to the biofilm surface, since the buoyancy
force is cancelled by their weight, and they have a hydrophobic surface, which
enables them to adsorb on the biofilm’s surface.
Treatment of contaminants in the bulk liquid phase, as in Fig. 7(a), is limited by
the mixing of the liquid, which controls the mas transfer rates from the bulk liquid
phase into the active biofilm, and the concentration of dissolved oxygen in the bulk
liquid. However, in this case, the liquid residence time in the bioreactor can be
designed since it depends on the volume of liquid in the bioreactor and the influent
wastewater flowrate. By increasing the size of the bioreactor, the liquid residence
time in the treatment system can be designed and implemented.
When the wastewater is trickled down the bed of biomedia, as shown in Fig. 7(b),
the liquid residence time is limited by the time it takes for the liquid to trickle down
by gravity through the biomedia packing. To increase this liquid residence time in
the packed bed, the recycle of the effluent flow from the bottom of the packed bed to
the spray heads located at the top is conducted at the expense of electric power
consumption by the recycle pumps. A high recycle ratio, which is the ratio of the
recycle flowrate divided by the influent flowrate before addition of the recycle flow
stream, makes the packed bed behave hydrodynamically as a completely mixed,
liquid-phase bioreactor. However, the thin flowing liquid film on the surface of the
biomedia, with immobilized active biofilms, allows higher mass transfer rates than in
the moving bed bioreactor. In traditional trickling bed bioreactors, the air movement
outside the trickling liquid film is achieved by natural convection caused by a
temperature difference between the ambient air and the wastewater. However, in
962 R. Govind
summertime, when the wastewater coming into the trickling beds is warm, this
temperature difference is small, which causes stagnant air within the trickling flow
bioreactor, causing poor oxygen transfer into the water.
The advantage of the membrane-assisted biofilm reactor (MABR) is the avail-
ability of dissolved oxygen due to diffusion across the porous membrane and the
high surface area of the membrane pores. However, aerobic biofilms produce poly-
saccharides (slime) which is likely to clog the membrane pores over time. The
second big advantage is the power consumption needed to provide adequate
dissolved oxygen in the wastewater. In moving biomedia bioreactors, wherein the
biofilm immobilized on the biomedia’s surface is completely submerged in the
liquid, aeration consumes a significant amount of energy, as shown in Fig. 1, since
ambient air has to be compressed in order to bubble it at the bottom of the bioreactor.
In trickling beds, although air flows under natural convection, the recycle of the
liquid consumes energy. However, in a MABR system, air flows on the other side of
the membrane at very low pressure drop and the liquid trickles down under gravity or
at a small pressure difference. When micro-nanobubbles are generated at low energy
consumption using porous membranes, high rates of oxygen transfer are achieved,
with no membrane clogging issues as in the MABR case.
The rate of biodegradation depends on three factors: (1) concentration of contam-
inant(s), (2) concentration of dissolved oxygen, and (3) concentration of nutrient(s).
This is shown in Fig. 8. In the figure corresponding to Fig. 7(a), (b), and (d), the
concentrations of the contaminant(s), nutrients, and dissolved oxygen are high at the
liquid-biofilm interface and declines within the depth of the biofilm. This results in a
high biodegradation rate at the liquid-biofilm interface and declines as the concentra-
tions of the contaminant(s), nutrients, and dissolved oxygen decrease with increasing
depth of the biofilm. In a MABR system, the highest concentration of dissolved
oxygen is when the concentration of the contaminant(s) and nutrients is lowest, as
shown in Fig. 8 corresponding to Fig. 7(c), which gives a lower biodegradation rate,
since this rate is the product of all three concentrations. In Fig. 8 corresponding to
Fig. 7(d), using micro-nanobubble aeration, higher rates of biodegradation are
achieved at the liquid-biofilm interface compared to cases in Fig. 7(a) and 7(b),
since the dissolved oxygen concentration is higher compared to fine bubble aeration
in moving bed bioreactors and in trickling filters. The rate of biodegradation in the
MABR system depends on the product of decreasing contaminant(s) and nutrient
concentrations and varying dissolved oxygen concentration, as shown in Fig. 8.
Sustainability requires low energy consumption and high biodegradation rates
which can be achieved in a moving bed bioreactor system using high surface area
biomedia and micro-nanobubble aeration.
Decentralized Treatment Process
A compact, decentralized treatment process has been developed for single-family

homes and subdivisions in the USA using micro-nanobubble aeration, recycle of
water to mix the bioreactor, and Biomesh Biomedia™ to immobilize the active
Fig. 8 Concentration profiles for contaminant(s), nutrients, and dissolved oxygen as a function of
biofilm thickness for cases shown in Fig. 7
biofilms (Attard et al. 2002). A schematic of the decentralized, sustainable waste-

water treatment system is shown in Fig. 9. Influent wastewater from a single-family
house flows by gravity into the treatment system, which consists of a 1,730-gallon
standard septic tank, with 1,500 gallons capacity for water. It has two baffles, the first
baffle that has opening below the water surface but well above the bottom of the tank
and a second baffle which has openings only at the bottom of the baffle. In the first
compartment, influent wastewater from the house with solids enters the tank and the
solids begin to settle down. This compartment is anoxic to allow the biosolids to
break down slowly. Water from the first compartment then flows into the second
compartment, which is aerated with micro-nanobubbles and has moving biomedia.
Biological treatment of the organic load and conversion of ammonium to nitrates and
nitrites occur in this compartment.
Micro-nanobubbles (MNB) are created by using a membrane generator which
takes air from the blower and water from the pump, located in the third compartment,
and creates an air-water flow with the air present as micro-nanobubbles. This
air-water mixture is then introduced into the bottom of the second compartment
using eductors. The liquid flow flowing through the eductors mixes the water in this
compartment and the micro-nanobubbles provide dissolved oxygen. The use of
eductors prevents any possibility of fouling, as occurs in the case of membrane
diffusers.
964 R. Govind
Fig. 9 Sustainable biotreatment system for wastewater
Moving biomedia is the Biomesh Biomedia, described earlier in this chapter,

which provides a very high surface area for the active biofilms to grow and
biodegrade the contaminants. This media allows simultaneous nitrification and
denitrification, as explained earlier in this chapter. This allows the ammonium
nitrogen in the influent to be converted to nitrogen gas. The inner section of this
moving media also produces volatile fatty acids, which allows the growth of
polyphosphate-accumulating organisms (PAOs) which sequester phosphates.
As explained earlier, biological treatment of nutrients is unable to achieve very
low levels of total nitrogen and phosphorus, especially in decentralized treatment
systems. Further removal of nutrients will be achieved by adsorption and chemical
complexation in the second tank.
Water from the third compartment is also pumped through a self-cleaning filter
with a 50-micron screen which has a slowly rotating brush inside to keep the screen
free of any solids and biofilms. The solids swept from the surface of the screen fall
back into the first compartment and filtered water flows into a stainless-steel mem-
brane. This membrane has an average pore size of 5 microns and is periodically
backflushed by a reversible pump. Filtered water through this membrane then flows
into the second tank.
The second tank, which is 200 gallons in volume, is a field in the lower section by
an adsorbent, which is capable of adsorbing and chemical complexing nutrients and
Table 3 Summary of field performance of sustainable treatment system

Wastewater parameter Influent Effluent
Single-family house
Average daily flowrate 500–700 gallons per day Same as influent
BOD5 510 mg/L 10 mg/L 9.8 mg/L 2 mg/L
TSS 310 mg/L 12 mg/L Non-detect
Ammonium-N 65 mg/L 4.7 mg/L <2 mg/L
Nitrates/nitrites 34 mg/L 3.2 mg/L <1 mg/L
Phosphates 12 mg/L 2 mg/L <5 mg/L
RV park
Average daily flowrate 3000 gallons per day Same as influent
BOD5 1530 mg/L 15 mg/L 9.8 mg/L 2 mg/L
TSS 745 mg/L 15 mg/L Non-detect
Ammonium-N 120 mg/L 9.10 mg/L <2 mg/L
Nitrates/nitrites 64 mg/L 5.2 mg/L <1 mg/L
Phosphates 32 mg/L 2 mg/L <5 mg/L
achieving very low levels of nitrogen and phosphorus. This media eventually after a
few years will get saturated and can be tilled into the ground as a fertilizer. This
allows the nutrients to be recycled back to the land, where they are needed for
growing food and other plants.
Above the adsorptive media is water which is recirculated by a second pump
through a membrane MNB generator in which micro-nanobubbles of ozone/air
mixture are created to disinfect the water. Disinfected water is also pumped out
periodically as treated water, which is free of organic contaminants, nutrients,
pathogens, bacteria, and viruses.
Field performance of the sustainable wastewater treatment system is summarized
in Table 3. Two sets of data have been presented: one of single-family homes and the
second set for recreational vehicle (RV) camps, where the influent wastewater
parameters are significantly higher. The field results show that the sustainable
treatment system is able to treat the wastewater adequately to allow the treated
water to be discharged into an existing water body.
Conclusions
Decentralized treatment is the future of wastewater treatment. While centralized

treatment dominates the current status of wastewater treatment, it has several
disadvantages, the most important being that it takes groundwater and eventually
discharges it into a creek or river, which ends up in the ocean. This converts
freshwater into salt water. This has resulted in the global decline of groundwater
levels. Currently, the most common decentralized treatment system is a septic tank,
followed by an aerobic treatment unit. These systems are unable to treat nutrients,
which is causing toxic algal blooms in water bodies, and are incapable of preventing
966 R. Govind
the release of microplastics into the receiving water bodies and/or the soil drain field,
causing it to clog prematurely. Sustainable wastewater treatment requires minimum
energy consumption and using renewable energy. In this chapter, an on-site,
decentralized, sustainable wastewater treatment is presented, which uses micro-
nanobubble aeration and high surface area Biomesh Biomedia to effectively treat
the wastewater. In addition, it uses self-cleaning filters and membranes to effectively
filter the water resulting in non-detect suspended solids and clear water with low
level of contaminants. It can be scaled up for on-site wastewater treatment for RV
sites, housing sub-divisions, etc.
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Innovative Approaches in Smallholder
Farming Systems to Implement
the Sustainable Development Goals
Ramgopaul Roop , Miles Weaver , Ana Paula Fonseca , and

Mohammed Matouq
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 973
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 973
SDGs Overview of Smallholder Family Farms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 974
Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 974
Social . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 975
Environment Versus Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 975
Economic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 976
Precarious Employment in Agriculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 977
Practical Implication Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 977
Latin America Caribbean (LAC) Agriculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 979
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 979
Agricultural Output . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 981
CARICOM Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 981
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 981
Food and Nutrition Security Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 981
Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 983
CARICOM Smallholder Family Farmers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 983
R. Roop (*)
Ro-Crops Agrotec, Caroni, Trinidad and Tobago
e-mail: rocrops@yahoo.com
M. Weaver
The Business School, Edinburgh Napier University, Edinburgh, UK
e-mail: m.weaver@napier.ac.uk
A. P. Fonseca
University of Dundee, Business School, Dundee, UK
e-mail: a.fonseca@dundee.ac.uk
M. Matouq
Faculty of Engineering Technology, Chemical Engineering Department, Al-Balqa Applied
University, Amman, Jordan
e-mail: matouq@bau.edu.jo

https://doi.org/10.1007/978-3-031-16017-2_70
972 R. Roop et al.
CARICOM’s COVID-19 Food Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 984

Significant Regional Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 985
FAO BIOREACH Partnership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 985
IICA GCF CARICOM AgReady Project . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 985
CARDI Seeds and Planting Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 985
CTA Advancing Digitalization in Agriculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 986
CABA’s MSMEs Initiative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 986
Trinidad Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 987
Agricultural Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 987
The Case Study of Trinidad’s Model Farm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 988
Discussion and Implications for Policy and Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 990
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 992
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 994
Abstract
The identified 169 targets in the Sustainable Development Goals (SDGs) refer to
agriculture and smallholder farmers’ contributions toward eliminating human
hunger globally between 2015 and 2030. Notwithstanding the potential of small-
holder farming, the sector encounters substantial challenges, limiting its compet-
itiveness and sustainable capacity to reduce poverty. Worldwide, approximately
570 million small farms cultivate less than 2 hectares and comprise over two
billion people operating with traditional or informal tenure, generally in risk-
prone and marginal settings. These farmers and participants comprise approxi-
mately three-quarters (75%) of the underprivileged, hungry, and malnourished
people. Smallholder farmers lack resources, information, technology, and capital
assets, limiting their adaptive capacity to climate change and rendering them
inadequate to achieve sustainable production, which can contribute to their
decline.
Additionally, the impact of the COVID-19 pandemic has negatively
influenced food and nutrition security overall prospects by stalling efforts to
achieve ‘Zero Hunger.’ This chapter examines major agricultural activities in
Latin America and the Caribbean (LAC) region, which provided data on its
agricultural output, smallholder farms, climate action, and investment oppor-
tunities. The researchers implemented a qualitative method to gather data
using interviews, observations, and documentary analysis. The findings sug-
gest that innovative approaches implemented on a model smallholder family
farm on 1.5 ha of agricultural land (equivalent to 3 football fields) in Trinidad
could be a source of innovation for other farmers in different countries in the
region. The chapter provides information and discussion on the innovative
measures implemented in building resilience to climate change, which opens
new avenues for a sustainable smallholder farming system in the region to
achieve the SDGs.
Keywords
Sustainable Development Goals · COVID-19 pandemic · Smallholder farmers ·
Adaptive capacity · Climate change · Food and nutrition security · Zero hunger
Innovative Approaches in Smallholder Farming Systems to Implement. . . 973
Introduction
Background
The prominence of agriculture among the 17 Sustainable Development Goals

(SDGs) provides opportunities to implement innovative approaches in smallholder
farming to achieve food security in the Americas and Caribbean countries. It requires
applying education and training options for producers as essential technological
solutions to the current issues of mitigation and adaptation to the impacts of climate
change (Harvey et al. 2014). The 17 SDGs consist of 169 targets, with 232 indicators
referring to the challenges of small farms as a mainstay for implementation (Terlau
et al. 2018). Hong (2015) argues that efforts to end poverty (SDG 1) and hunger
(SDG 2) require developing socio-ecological resilient systems to combat changing
climatic events. These socio-ecological systems will help maintain and strengthen
the adaptive capacity of small farmers to climatic events such as unusual weather,
drought, floods, and other natural disasters toward achieving the SDGs (UN 2015).
However, despite best efforts to achieve the SDGs, the 2020 State of Food
Security and Nutrition report indicated that achieving Zero Hunger by 2030 is
off-target (FAO, IFAD, UNICEF, WFP, and WHO 2020). The report further states
that by 2030 over 840 million (10%) of the population will be affected by hunger and
starvation. Additionally, the COVID-19 pandemic expects to hamper efforts to
achieve zero hunger, which requires resetting goals for sustainable development,
including a pandemic world (Naidoo and Fisher 2020).
Most SDG targets relate to agricultural producers, including smallholder farmers,
as central to achieving food and nutrition security (Farmingfirst.org. 2013). The Food
and Agriculture Organization of the United Nations (FAO) identified five crucial
change agents to cope with food and agriculture challenges: smallholder farmers,
rural women, infrastructure investors, the most vulnerable, and policymakers
(Wolfenson and Rome 2013). SDG 2 (Zero hunger) projected a doubling of small-
scale producers’ productivity and incomes by 2030 by providing land tenure, inputs
supplies, knowledge sharing, financial support, marketing opportunities for primary
and value-addition products, and off-farm employment (UN 2015).
Smallholders comprise approximately 570 million farms amounting to nearly 90%
of the world’s farms not exceeding 2 ha and managed by a family or an individual that
relies mainly on individual or family labor and provides a livelihood for over two
billion rural people (Lowder et al. 2019). While smallholder farmers are essential in
achieving food and nutrition security, they remain a susceptible group among most of
the poor and hungry, whom development policies often neglect (Fan and Rue 2020).
The United Nations projected a world population growth of 9.6 bn by 2050,
which can exacerbate the poor and current hunger situation (UN News 2019).
Therefore, romanticizing a future with smallholder farmers in the fields toiling for
unproductive returns will create a catastrophe with hundreds of millions of people
living in poverty (Ritchie 2021). Conversely, this increased population expects to be,
on average, more affluent (Goal 8: Decent jobs and economic growth) due to an
increase in GDP with progress towards No Poverty, SDG 1 (FAO 2017). As a result,
974 R. Roop et al.
the food demand expects to increase with a change in quality, as shown in emerging
economies with the need for an additional meat diet (OECD/FAO 2020). Notwith-
standing these challenges, smallholder farmers can generate higher food production
depending on assets, income, accessibility to the market, and other supporting
services (IFAD 2015).
This chapter examines smallholder farming and an innovative model that has
implemented approaches to achieve SDGs in the Americas and the Caribbean. The
research provides information and innovative methods applied over the past 25 years
on a regional model smallholder family farm in Trinidad. The farm has built climate
change resilience, which could contribute to new avenues for sustainability in other
countries to achieve the SDGs.
SDGs Overview of Smallholder Family Farms
Governance
Although worldwide policies provide opportunities to improve small farmers’ pro-

ductive capacity and chances of success, a reality and intention gap exists in many
areas of agricultural life (Terlau et al. 2018). For example, strict loan conditions
make it difficult for smallholders to source financing for their farms, although access
to capital for investment will assist farmers in becoming resilient and sustainable
(Thulstrup 2015).
Other challenges include land tenure governance inequity and access to inputs,
including seeds, chemicals, fertilizer, machinery, and equipment (SDGs 1 & 5). SDG
5 (Gender equality) promotes women’s entitlement to own land and market access.
The land tenure issue is necessary due to the non-existence of a comprehensive land
policy for many farmers, especially women with limited land titles to their farms,
who comprise less than 15% of agricultural landowners (FAO 2018a).
Secured land rights can incentivize and encourage investment in long-term
sustainable development; however, farmers without secure rights and operating in
small plots of marginal land may unintentionally degrade their soil resulting in
unsustainable production (Ali et al. 2012). As Akram et al. (2019) noted, such
unsustainable production systems aim to achieve short-term benefits from their
investments by spending more on agricultural inputs, which contributes to improved
productivity but negatively impacts soil fertility and sustainability. A lack of land
tenure or leases discourages farmers from investing in sustainable land development,
such as soil conservation technologies threatening food sovereignty and self-
sufficiency (IFAD and UNEP 2013).
Data have shown that appointing a successor with land tenure incentivizes the
older generation’s investment in the farm’s activities, potentially increasing produc-
tion by up to 10% (Mann et al. 2013). Land tenure is a mechanism to facilitate
succession planning, and not having a successor to an aging population of farmers
will create future smallholder farming challenges (Cassidy et al. 2019). Additionally,
the aversion of many young people to agriculture as a future option and parents
aggressively deterring their children from selecting agriculture and farming as a

career have exacerbated the current situation (Cuervo and Wyn 2012).
This section clearly shows that the gap between intention and reality lacks
equality in accessing economic resources, essential inputs, services, and tenure
governance, including women’s rights to land ownership (Terlau et al. 2018). It
also emphasizes that strict loan conditions make it difficult for smallholders to source
financing for their farms, although accessing investment capital will assist farmers in
building resilience to become sustainable (Thulstrup 2015).
Social
The heavy reliance of smallholder farmers on influential contributors, including prop-

erty owners or traders, and the lack of genuine representation in arrangements with
partners affect their resource management (Bitzer and Glasbergen 2015). Although
smallholders’ agricultural systems of diversified cropping and independence make
them resilient to economic shocks, they remain vulnerable to climatic actions resulting
in substantial yield gaps (Tittonell and Giller 2013). This negative impact results from
smallholder farmers overly relying on natural resources and socio-economic policy
trends, limiting their production capacity, income level, land tenure, and volatile
marketing arrangements, frequently threatening their livelihoods (Hitayezu et al. 2014).
The absence of essentials such as health and education services or chronic food
insecurity, geographic isolation, dangerous weather occurrences, and disease out-
breaks leads to vulnerability issues in smallholder farmers tackling the SDG agenda.
Their climate change vulnerability also results from inadequate scientific informa-
tion and experience, low financial returns from small farms, and inadequate technical
support and markets (Tran and Brown 2019). Farming on degraded ecosystems and
marginal lands under rain-fed conditions decreases their resilience capacity to
climate change, increasing the need for improved agricultural supplies, marketing
support, and business information (Locatelli 2016).
To sum up how the social issues illustrate different challenges in smallholder
farming, it is clear that the substantial reliance on influential participants such as
proprietors or traders, with a lack of genuine arrangements, affects smallholder
farmers’ ability to manage their resources, making them vulnerable to climatic
shocks and resulting in substantial yield gaps (Bitzer and Glasbergen 2015). A
lack of scientific knowledge and experience, low income, small farm size, and
inadequate access to technical information and marketing opportunities increase
their vulnerability to climate change (Tran and Brown 2019).
Environment Versus Education
SDG 4 (Quality education) identifies smallholder farmers as less educated with

limited access to information, although the internet and smartphones exist as
readily accessible information sources (Blanke 2015). Literacy and numeracy are
976 R. Roop et al.
necessary adaptation tools to implement new methods capable of coping with risk
and responding to market signals, with the ability to prevent hazards depending
on access to knowledge and information (Hopkins and McKeown 2002). Farmers
with higher education can improve their perception of risk, reduce poverty, and
access information and resources in adapting to climate change to limit their vulner-
ability (Jamshidi et al. 2019). Farmers need information based on simple and afford-
able technology and presented in digital tools designed to meet the capabilities of
farmers (Caine et al. 2015). Due to a lack of access to information and training, farmers
generally act without the technical knowledge required for resource conservation of
soil and water, which leads to land degradation and water wastage (SDGs 2, 4, 5, 7 &
17) (Terlau et al. 2018). According to Harvey et al. (2014), education and training are
options for producers to apply as essential technological solutions to the current issues
of mitigation and adaptation to the impacts of climate change.
Economic
Economies of scale and a lack of investment capacities make it difficult for

smallholder farmers to efficiently produce sufficient food without adequate pro-
cessing, storage, and marketing facilities (Dioula et al. 2013). As a result, large
industrial farms often gain competitive advantages due to economies shifting
toward advanced technologies, high investment, and market-driven production
systems (Poulton et al. 2010). Most marketing companies offer stable contracts
to large farmers with adequate irrigation, efficient infrastructure, and other
non-land assets (Fan et al. 2013). The UN’s Interagency Task Team on Science
emphasized technology as an essential instrument for achieving the SDGs
(UN 2018). Unfortunately, smallholder farmers’ limited use of technology results
from several external factors which restrict farm development, such as the high
cost of external farm inputs, insecure market, fluctuating prices for produce,
inadequate policies, and infrastructures such as access roads and irrigation (van
der Ploeg 2013). Furthermore, an increase in mergers and acquisitions of small
farms by entrepreneurs threatens the development of smallholder farms since large
farms generally have improved technologies and mechanical operations, which
becomes difficult for small farmers to meet stringent supply chain requirements
(van der Ploeg 2013). However, SDG 17 advocated promoting equitable multilat-
eral trading rules for developing countries under the World Trade Organization
(WTO) agreements and should be transparent and straightforward to facilitate
market access (UN 2015).
From an economic perspective, the identified challenges confirm that econo-
mies of scale and lack of investment opportunities will negatively impact small-
holder farmers’ production capacities, resulting in large farms with advanced
technologies and capital investment gaining a competitive advantage (Poulton
et al. 2010). Additionally, increasing mergers and acquisitions of small farms by
entrepreneurs threaten the development of smallholder farms (van der Ploeg
2013).
Precarious Employment in Agriculture
There is a close link between family and farm, combining social, cultural, economic,
and environmental issues (IICA 2017). Therefore, farming families usually manage
agricultural activities by relying predominantly on family labor, consisting of male
and female participants, including adults and children, who are generally at the
forefront in responding to climatic action, ecological degradation, poverty, and child
labor (Gollin 2014).
Smallholder farming has lower supervision of family labor and therefore works
harder and consumes less, resulting in self-exploitation to preserve the enterprise
with a general commitment to the central goals of the farm (Dyer 1996). Family
farmers experience self-contradictory capacities as owners and laborers to manage
their farms (Mooney 1988). The lead author has experienced this phenomenon first-
hand during 50 years of family farming. The authors contended that contradictory
class location exists among smallholder farmers.
Generally, smallholder farming is labor intensive, including family members and
precarious workers, on small plots averaging under 10 hectares (Gollin 2014).
Precarious employment fits the characteristics of intensive manual labor in agricul-
ture, consisting of the 3D job types such as dirty, dangerous, and demeaning, which
is not attractive to young people engaged in farming (Ahmad et al. 2018).
To develop a clear idea and summarize the main points highlighted in this section,
the reader can notice that farming families usually managed their agricultural
activities by relying predominantly on family labor, consisting of male and female
participants, including adults and children (Gollin 2014). Farmers are generally at
the forefront in responding to climate change and environmental degradation,
poverty, and child labor issues (IFAD 2012). Smallholder farming has lower super-
vision of family labor, resulting in working harder and consuming less to preserve
the enterprise with a general commitment to the central goals of the farm compared
to non-family members and are often guilty of self-exploitation (Friedmann 1978).
Family farmers function as owners and laborers and experience a contradictory class
location in their capacities while relying on other paid workers (Mooney 1988).
Therefore, precarious farm work makes it difficult to achieve SDG 8 (Decent job and
economic growth) to create productive and decent employment for all, as illustrated
in Table 1 – SDGs matrix for smallholder farmers.
Practical Implication Methods
The researchers used a qualitative method of conducting participant observation.

The secondary data (documentary analysis) was applicable and conducted using
online libraries and other scholarly databases, such as ABI/Inform, AgEcon, Scopus/
Science Direct, and Web of science. The literature reviewed and examined targets
and indicators of the 17 SDGs provided in Table 1.
Additionally, the research provided information on Trinidad’s agricultural pro-
grams and a model smallholder family, which won several awards during the past
978 R. Roop et al.
Table 1 SDGs matrix for smallholder farmers

SDGs Elements relevant to smallholder Environment
farmers Governance Social vs Education Economic
SDG1 1.1. Poverty eradication. ● ●
1.2 Provision of social safety ● ●
1.4. Ensure access to ● ●
economic resources
SDG2 2.1 & 2. Provide sufficient ● ● ●
nutritious food
2.3 & 2.5 Land tenure and ● ● ●
resources
2.4. Adaptation to climate ● ●
change
2.5. Access to seeds and ● ●
planting material
2. b. Prevention of trade ● ●
restrictions
2. c. Provide market facilities ● ●
and information
SDG3 3.7.; 3.8 Accessible ● ● ●
healthcare services
SDG4 4.2., 4.3., 4.5, 4.7., 4.a.: ● ● ●
Provide access to quality
education and lifelong
learning
SDG5 5.a. Women equal economic ● ● ●
rights
SDG6 6.1.; 6.2. Provide clean water ● ● ●
and sanitation services
SDG7 7.1. Provide access to ● ●
affordable, reliable, and
modern energy services
SDG8 8.3. Provide employment and ● ● ●
financial services
SDG9 9.1 & 9.3 Provide access to ● ● ●
infrastructure and other
resources, such as
agricultural machinery and
equipment
SDG10 10.1; 10.2; 10.3; 10.4. 10.7 ● ● ●
Maintain sustainable growth
and equal opportunities
SDG11 11.1; 11.2; 11.7. Make ● ●
housing, public transport,
and public space accessible
SDG12 12.2; 12.8. Sustainable ● ●
management of natural
resources for agriculture and
fisheries.
(continued)
Table 1 (continued)
SDGs Elements relevant to smallholder Environment
farmers Governance Social vs Education Economic
SDG14 14.6; 14. b. Provide marine ● ●
resources and markets for
fisheries to combat illegal
fishing
SDG15 15.1; 15.4; 15.6. ● ●
Conservation and restoration
of terrestrial and inland
freshwater ecosystems and
biodiversity to enhance
sustainable development and
conservation of mountain
ecosystems
SDG16 16.3; 16.6. Access to justice ●
and transparent institutions
SDG17 17.7; 17.12. Promotion of ● ●
development transfers and
duty-free facilities
Environmentally sound
technologies.
Source: Authors compilation based on the SDGs
25 years by implementing innovative approaches contributing to the SDGs. Avail-

able farm documents and published articles provided information to develop and
confirm its history, achievements, processes, and relationship with collaborating
partners. The lead author is this research farmer with over 50 years of experience
in smallholder farming. Currently (2014–2022), he is appointed the Regional
Administrator of the Caribbean Agribusiness Association (CABA).
Latin America Caribbean (LAC) Agriculture
Background
The 34 LAC countries constitute over two (2) billion ha (15% of the earth’s surface)
of rich arable land and forest reserves that receive 30% precipitation, producing 33%
of water which makes it one of the most complex and diverse farming systems
globally (OECD/FAO 2019). According to the Inter-American Development Bank
(IDB), the LAC countries comprise 23% of arable land and produce 11% of food
globally, positioning the region as the Next Global Breadbasket (IDB 2014). How-
ever, without adaptation to climatic changes, agricultural production could experi-
ence a 23.3% decrease by the end of this century, compromising food and nutrition
security in the region (ECLAC, FAO, and ALADI 2016).
An estimated 15 million smallholder and family farms represent 81.3% of the
estimated 20.4 million regional farms but occupy only 23.4% of farmland, while the
980 R. Roop et al.
large farms comprise 18.7% and they occupy 76.6% of available agricultural land
(Leporati et al. 2014). According to the FAO, the Micro, Small & Medium Enter-
prises (MSMEs) currently produce approximately 80% of the world’s food, which
accounts for between 27% and 67% of regional agricultural output, with a 30–40%
contribution to agricultural GDP and employ over 60 million people, constituting
57–77% of total farm employment (FAO 2019a). Smallholder farmers comprise
three classifications: ‘subsistence,’ ‘specialized,’ or ‘surplus’ produced primarily for
personal consumption, some products for personal consumption and sale, or pro-
duction intended mainly for the market and formal economy (IICA 2017).
Deforestation in the region is a leading cause of soil degradation and carbon
dioxide emission, resulting in the exposure of an estimated 49% of the land to water
erosion and 56% impacted by soil chemical degradation due to increasing salinity or
acidity (IICA 2020). As a result, several farmers with information and training have
adopted Conservation Agriculture (CA) which integrates three principles of no or
minimal tillage, retaining crop biomass with soil covers and rootstocks, crop rota-
tion, and diversification (Kassam et al. 2019). However, CA farming creates addi-
tional challenges for farmers and the authorities because it is capital-intensive and
dependent on external inputs such as herbicides, especially glyphosate. Several
authorities are reconsidering other weed control methods since some species of
weeds quickly become resistant to glyphosate, which could result in soil erosion
and greenhouse gas (GHG) emissions (OECD/FAO 2019).
Hydrometeorological hazards pose the greatest threat to the agricultural sector,
accounting for >80% of damage and loss incurred (World Bank Group 2019). In
developing countries where the livelihoods are mainly dependent on agriculture and
livestock, the vulnerability to climate change becomes more severe because of
inadequate adaptive capacity with limited access to alternative farming systems
(Skoufias et al. 2011). Without resilience in adapting to climatic change in the
Andes, Central America, and the Caribbean, agricultural production could decrease
by 23.3% before the twenty-first-century ends and compromise achieving the SDGs
(ECLAC, FAO, and ALADI 2016).
Agriculture’s direct greenhouse gas emissions increased by 54% from 1970 to
2000 due to increased ruminant production, synthetic fertilizers growth, and defor-
estation (Blandford and Hassapoyannes 2018). The total greenhouse gas emissions
from agriculture in Latin American countries reached 75% in Uruguay (World Bank
2014). Production losses from disasters as a percentage of potential products for the
Caribbean are at 9%, the third-highest after Western Africa and Asia, and twice the
global average (FAO 2018b).
Poverty in the region is at a high incidence of (48.6%) and (22.5%) extreme
poverty in rural areas with a widening of the poverty gap, which includes other
scopes of poverty, such as accessing essential public services (CEPAL 2018).
Additionally, for the third consecutive year, the number of undernourished people
increased in 2017, reaching 39.3 million (FAO et al. 2018). However, this problem
relates to food affordability to poorer consumers instead of the actual availability of
food, considering agriculture’s contribution to sustaining livelihoods by employing
14.1% of the total labor force in 2018 (OECD/FAO 2019). LAC agriculture has a
heterogeneous structure that evolved differently across countries, with coexistence

between capital-intensive and export-oriented large industrial farms and smallholder
labor-intensive subsistence-oriented farms (OECD/FAO 2019).
Agricultural Output
LAC agriculture represents activities from different agroecological zones in the

region with varying topography, structures, and farm sizes that utilize different
standards of technology and sophistication, which underlines its economic importance
and contribution to trade and employment (OECD/FAO 2019). Over the past two
decades, the region had substantial agricultural output growth, with Brazil leading at
the regional and international levels (OECD/FAO 2019). Between 1991 and 2015, the
agricultural contribution to GDP shows that Brazil averaged 4.1%, the Southern Cone
and Andean countries combined achieved 2.8%, Central America produced 2.5%,
while the Caribbean region earned a low 1.0% average with the lowest GDP growth
among other developing regions over the past 35 years (FAO 2019a).
Latin American Governments have invested 5.1 bn (USD) in Research and
Development (R&D), which resulted in a long-term positive trend, with Brazil
utilizing more than 50% of the investment (Stads et al. 2016). Parallel investments
in the sector can benefit from R&D, including improved incentives for economic
producers, updated services for rural education, extension, and infrastructural devel-
opment with improved market access (Fuglie and Wang 2012). LAC countries assist
farmers with access to credit, updated technologies, and other investment opportu-
nities in addition to private-sector agricultural research units working to implement
the Governments expenditure on R&D (OECD/FAO 2019). Tables 2 and 3 provide
strategic challenges (Table 2) and regional opportunities (Table 3).
CARICOM Perspectives
Background
As the oldest integrated movement in the developing world, the Caribbean Commu-
nity (CARICOM) comprises 20 countries which include 15 Member States and
5 Associate Members. This Caribbean grouping, in its mandate, promotes and
supports unifying an inclusive community among member states to become resilient
and competitive by sharing economic, social, and cultural prosperity to achieve the
SDGs (CARICOM 2021).
Food and Nutrition Security Goals
In October 2010, CARICOM Member States endorsed establishing an action plan to

achieve food and nutrition security in the region known as the Regional Food and
982 R. Roop et al.
Table 2 SDGs agriculture challenges in LAC

Item Challenges
Land issues The LAC countries comprise 23% of arable land, producing 11% of food globally
and positioning the region as the Next Global Breadbasket (IDB 2014).
An estimated 15 million smallholder and family farms represent 81.3% of the
estimated 20.4 million regional farms but occupy only 23.4% of farmland, while
the large farms comprise 18.7%, they occupy 76.6% of available agricultural land
(Leporati et al. 2014).
Deforestation in the region is a leading cause of soil degradation and carbon
dioxide emission, resulting in the exposure of an estimated 49% of the land to
water erosion and 56% impacted by soil chemical degradation due to increasing
salinity or acidity (IICA 2020).
CA farming creates additional challenges for farmers and the authorities because it
is capital-intensive and dependent on external inputs such as herbicides, especially
glyphosate, which initiates soil erosion and GHG emissions (OECD/FAO 2019).
Climate Hydrometeorological hazards pose the greatest threat to the agricultural sector,
action accounting for >80% of damage and loss incurred (World Bank Group 2019).
In developing countries where the livelihoods are mainly dependent on agriculture
and livestock, the vulnerability to climate change becomes more severe because of
inadequate adaptive capacity with limited access to alternative farming systems
(Skoufias et al. 2011).
Without resilience in adapting to climatic change in the Andes, Central America,
and the Caribbean, agricultural production could decrease by 23.3% before the
twenty-first-century ends and compromise achieving the SDGs (ECLAC, FAO,
and ALADI. 2016).
Agriculture’s direct greenhouse gas emissions increased by 54% from 1970 to
2000 due to increased ruminant production, synthetic fertilizers growth, and
deforestation (Blandford and Hassapoyannes 2018).
The total greenhouse gas emissions from agriculture in Latin American countries
reached 75% in Uruguay (World Bank 2014).
Production losses from disasters as a percentage of potential products for the
Caribbean are at 9%, the third-highest after Western Africa and Asia, and twice
the global average (FAO 2018b).
Social The incidence of poverty is at a high (48.6%) and extreme poverty (22.5%) in
rural communities, with a widening of the poverty gap, which includes other
contributors to poverty, such as limited access to essential public support services
(CEPAL 2018).
For the third consecutive year in 2017, the region experienced an increase in the
number of undernourished people, reaching 39.3 million as a result of the inability
of poor consumers to afford food instead of the actual physical availability,
considering the region has a surplus supply of agricultural products and food
(FAO et al. 2018).
Source: Authors compilation
Nutrition Security Action Plan (RFNSAP) during 2012–2016 (CARICOM 2011).

This policy proposed achieving the SDGs of food and nutrition security with
adequate, safe, nutritious, and affordable food by improving production, processing,
distribution, marketing, trade, and food safety. Member States are committed to
having participatory equity in targeting the most vulnerable groups, especially
ensuring the food production and security of smallholder farmers, fishermen,
women, and children. These goals include four specific objectives to increase
production, develop rural communities and reduce poverty:
Table 3 Opportunities in the region

Output Production on smallholder farms is, on average, 27–67% of the regional food,
contributing 30–40% of agricultural GDP (FAO 2019a).
Employs more than 60 million people, constituting 57–77% of total farm
employment (IICA 2017).
Investments The Latin American Governments invested 5.1 bn (USD) in Research and
Development (R&D), resulting in a long-term positive trend, with Brazil utilizing
more than 50% of the investment (Stads et al. 2016).
Parallel investments in the sector can benefit from R&D, including improved
economic benefits for producers, an updated program for rural education,
improved extension services, and rural infrastructural development with improved
market access (Fuglie and Wang 2012).
LAC countries also assisted farmers with access to credit, updated technologies,
and other investment opportunities through farmers’ organizations operating to
address national, sub-regional, and regional issues, with several private-sector
agricultural research units working to implement the Government’s expenditure on
R&D to increase productivity (OECD/FAO 2019).
Source: Authors compilation
• Strengthen production and marketing processes by building institutional capacity

to support their development.
• Improve policy and program frameworks to manage critical threats to achieve
food security.
• Promoting consumption of safe and nutritious food.
• Ensuring the stability of food supplies.
Funding
In 2014, the tenth European Development Fund (EDF) provided the region with
8.6 mn Euros to execute a 4-year Caribbean Action Programme: Agriculture Policy
Programme (APP), focusing on the Caribbean and Pacific Regions (CARDI 2014).
The APP aims at enhancing agriculture capabilities to eliminate poverty in the
regions, including:
• Strengthening the region’s agricultural development by implementing a policy

and strategy.
• Improving the process of transferring and adapting research results and tech-
nologies for application in production, processing, and generating new technol-
ogies for agricultural commodities.
• Improving market linkages that contribute to developing agricultural enterprises.
CARICOM Smallholder Family Farmers
CARICOM and several regional, hemispheric, and international organizations met at

the 2014 Caribbean Week of Agriculture (CWA) in Suriname and committed to
984 R. Roop et al.
supporting family farmers. Leaders of the representing organizations acknowledged

that family farmers were not adequately recognized and comprised the poorest
households in the region. Organizations’ leaders noted that family farms are critical
to reducing the high food import by revitalizing agriculture in the region, and they
should attain improved livelihoods (CARICOM 2014). The 2014 CWA conference
also noted that farming families comprise indigenous peoples, traditional commu-
nities, fisherfolk, pastoralists, and collectors who engage in crop and livestock
production, forestry, fishery, and aquaculture (CARICOM 2014). The leaders rec-
ognized family farmers for producing approximately 80% of agricultural output and
providing 50% jobs in LAC agricultural sectors, while preserving and enhancing the
local communities’ culture, skills, and traditions and contributing to conserving plant
and animal species (IICA 2014).
However, achieving SDGs 1 & 2 requires targeted policies, including technolo-
gies to enhance productivity based on specific circumstances and the environment,
which promote sustainable practices to attain food and nutrition security
(CARICOM 2014). While the leaders recognized smallholder farmers as the main-
stay of Caribbean food production, it requires a young generation’s involvement,
especially with an aging farming population. Additionally, the CWA acknowledged
that the children of smallholder family farms have become professionals and aca-
demics, such as doctors, lawyers, and engineers, contributing to the region’s devel-
opment and that these farmers deserve respect and honor (CARICOM 2014).
As a result of these initiatives, in 2021, CARICOM presented The Secretary
General’s Award for the CARICOM Farmer and the Ministers of Agriculture Award
for the Young Farmer of the Year (2021). The award aims to recognize regional
farmers and farming enterprises’ role in contributing to the region’s goal of achiev-
ing self-sufficiency and food security. The award complements young farmers’ “I am
Agriculture” initiatives to achieve food and nutrition in the Region (CARICOM
Today 2021).
The representing organizations at the CWA included The Food and Agriculture
Organization (FAO), The Technical Centre for Agricultural and Rural Cooperation
(CTA), The Caribbean Agricultural Research and Development Institute (CARDI),
and The Inter-American Institute for Cooperation on Agriculture (IICA). These
organizations’ leaders agreed to continue collaborating with developmental partners
such as the Caribbean Farmers Network (CAFAN), The Caribbean Agribusiness
Association (CABA), the Caribbean Community Climate Change Centre (CCCCC),
Global Water Partnership – Caribbean (GWP-C), The University of the West Indies
(UWI), Regional Governments, civil society, private sector, and academia to support
family farmers in achieving the SDGs (CARICOM 2014).
CARICOM’s COVID-19 Food Plan
In 2020, CARICOM leaders developed a Covid-19 Response Agri-Food Plan or ‘25

in 50 (25% in 5 years) plan to reduce the region’s food import bill (CARICOM 2020).
The plan aims to replace 25% of imported food with local production by 2025 to
prevent the COVID health crisis from becoming a food crisis and exacerbated by a
high food import bill, high incidence of non-communicable diseases (NCDs), and
the adverse consequences of climate change and extreme weather. The central pillars
of the Caribbean Community Agriculture Policy (CAP) guide the 25-in-5 strategy
with an emphasis on smallholder farming incorporating climate-smart technology
includes:
• Achieving food and nutrition security.

• Natural resources for sustainable development.
• Modernizing agricultural knowledge and information system.
• Improved rural and youth programs.
• Value chain development in production and trade.
Significant Regional Projects
FAO BIOREACH Partnership
In 2022, the FAO engaged with other regional partners to execute a USD 22.5 m
Global Environment Facility (GEF) project entitled BIOREACH: Biodiversity,
Conservation, and Agroecological Land Restoration program in productive areas
of Trinidad and Tobago. The project aims to conserve biodiversity by restoring
marginal and degraded lands to improve rural communities’ livelihood in selected
areas for productive agriculture, forestry, and other land use issues in Trinidad and
Tobago (FAO 2019b).
IICA GCF CARICOM AgReady Project
IICA has an agreement with the Green Climate Fund (GCF) to access up to USD
50 m per project for initiatives supporting adaptation and resilience to climate
actions for agriculture and rural areas in LAC countries. The CARICOM AgReady
project seeks to increase awareness of the GCF climate initiative. It will implement
strategies for evidence-based and inter-sectoral activities for development and
rebranding awareness of Caribbean agriculture as having ‘low emissions’ to
enhance marketing opportunities as attractive for private sector investment (IICA
2021b).
CARDI Seeds and Planting Materials
CARDI understands that increasing production and productivity in agriculture are

necessary to enhance food security and achieve the SDGs. As a result, CARDI has
worked constantly to maintain a seed bank to improve the quality and supply of
seeds and planting materials to farmers by developing a production cycle from seed
986 R. Roop et al.
to seed. Some seeds available to farmers include hot peppers, local pumpkin, and
table squash varieties. CARDI also maintains germplasm banks for several varieties
of cassava and sweet potato.
Using an improved rapid propagation technology system, it quickly propagates
and establishes cassava cuttings and sweet potato slips for timely distribution to
farmers. This improved propagation technique ensures that farmers have access to
more robust and healthier plants to increase their productivity. Additionally, CARDI
and FAO have established forage banks for mulberry and moringa plants as feed to
support the regional Government’s drive to boost livestock production (CARDI
2020).
CTA Advancing Digitalization in Agriculture
Over the past 35 years, CTA has provided the African, Caribbean, and Pacific (ACP)
countries with invaluable agricultural and rural development services. With the
introduction of SDGs and SDG 2 focusing on Zero Hunger, CTA has supported
the ACP farmers’ capability to acquire skills, technologies, and resources that
stimulate innovations and success. In 2016, CTA started promoting youth entrepre-
neurship through digitalization in agriculture. These measures have encouraged the
application and adoption of new technologies and climate-smart agricultural prac-
tices in ACP countries, which has positively impacted the lives of millions of
smallholder farmers. CTA has demonstrated the effectiveness of sharing agricultural
knowledge and innovation to significantly scale up and improve incomes, produc-
tivity, and food security.
CTA provides its services in print and online formats, providing millions of
agricultural students, researchers, extension agents, and farmers with knowledge in
the ACP countries and globally. CTA has been promoting digitalization for agricul-
ture as a critical topic up the policy agenda. The organization is a recognized leader
in providing Information and Communications Technology (ICT) for agriculture and
has been a change agent advocating precision farming, especially targeting small-
holder producers to achieve the SDGs (CTA 2020).
CABA’s MSMEs Initiative
In 2000, CABA was established as an Associate Institution of CARICOM, with

specific responsibility to drive the CARICOM Single Market & Economy (SME)
growth. CABA’s (2022) strategy includes increasing Micro, Small, and Medium
Enterprises (MSME) contribution to CARICOM food security, export earnings, and
achievement of the SDGs by proactively supporting increased MSME capacity to
contribute toward reducing imports and increasing export of foods to reduce
Non-Communicable Diseases (NCD) and achieve the SDGs in the Caribbean.
Based on this proactive strategy to support (MSME), CABA proposes to promote
sustainable community food ecosystems. It will comprise public-private partnerships
Table 4 CABA’s strategy to increase MSMEs’ contributions

Strategy Activities
Working with Secure widespread public commitment to the target by encouraging
governments consumers to sign up and pursue personal/self-commitment to replace
25% of their consumption of imported foods with local and regional
foods.
Promoting household Engage participation through our business system that supports
participation household/backyard production linked to community “food exchange
facilities” where excess household products can be exchanged
or sold.
Support commercial Providing proactive support for establishing commercial farming
farming communities/clusters based on their comparative advantages,
climate-smart, technology-driven, integrated multi-crops/livestock
production systems, leading to organic or near-organic, more
sustainable production ecosystems.
Farmers’ linkages Promote farmers’ linkages to markets through supply contracts with
packinghouses, agro-processors, exporters, and access to wholesale
and retail markets for small farmers and MSME agro-processors.
Advocacy Advocating for government investments in infrastructure
(particularly in water management), R&D, technical advice,
affordable financing, and appropriate policies, principally trade.
Establishing linkages Promoting linkages of agricultural production to other sectors,
including health and tourism, particularly agro-recreational tourism.
Source: Lead author’s compilation from CABA’s internal document as the Regional Administrator
of value-chain partners, including governments, development agencies, farmers,

processors, marketers, independent investors, and financial institutions. The system
includes the following community-wide core components: Organic inputs produc-
tion system, integrated mixed-crop and livestock clusters, high-tech secure agricul-
tural systems, and wholesale and retail market centers (CABA 2022). Additionally,
CABA provides a strategy to increase MSMEs’ contributions to CARICOM’s food
security and export earnings, as presented in Table 4.
Trinidad Context
Agricultural Background
A Parliamentary Joint Select Committee (JSC) meeting on the Physical Infrastruc-

ture of State Land in Trinidad reported that the State has distributed over 64,000
plots of agricultural lands comprising 151,339 ha during the past 50 years for
smallholder and commercial farming (JSC 2017). According to the JSC (2017),
the land distribution program’s objectives consisted of national social development
and agricultural policies, advocating increased production to achieve national food
and nutrition security by promoting land tenure reform, creating rural employment,
reducing food imports, and providing raw materials for agro-processing.
988 R. Roop et al.
However, the agricultural land distribution programs were on degraded poor soils
with rugged terrain and marginal agricultural lands, which encountered technical and
economic challenges resulting in limited success (Persad et al. 2007). The technical
constraints consisted of inadequate land selection criteria, low soil fertility, limited
agricultural infrastructure inclusive of support services, and adverse crop production
systems with economic limitations, including small farm size, labor, and machinery
shortages (Persad et al. 2007).
The JSC (2017) also reported that Trinidad’s agricultural sector still operates with
outdated farming systems resulting in less than 20% of the allocated farms being
cultivated. Additionally, the sector has many aging farmers unwilling to adopt new
technology and a young generation with little interest in agriculture (JSC 2017). As a
result, the JSC recommended engaging young entrants in agriculture for succession
and continuity by providing the necessary infrastructure and maximizing willing
farmers’ innovations with technical support and training (JSC 2017).
Furthermore, the Ministry of Agriculture Land & Fisheries (MALF) has devel-
oped a National Agricultural Sector Plan, incorporating SDGs to achieve food
security and improve nutrition (JSC 2017). The MALF also provides free guidance
courses and demonstrations to farmers and the general public at the Ministry’s
Farmers Training Centre in Centeno, selected County Offices, and successful
farms throughout the country.
The country has an Agricultural Development Bank (ADB), which provides
financial and marketing support to agriculture by providing substantial funds to
farmers and agri-business (ADB 2020). The ADB also introduced savings and
investment portfolios based on the sector’s requirements (ADB 2020). Additionally,
the National Agricultural Marketing and Development Corporation (NAMDEVCO)
provides a sustainable and competitive marketing service, postharvest handling, value-
added processing, cold chain management, and storage to enhance smallholder
farmers’ capacity to achieve sustainable food production (NAMDEVCO 2021).
The Case Study of Trinidad’s Model Farm
The smallholder model family farm was registered as a business partnership in 1996,
complying with the necessary legal and financial regulations. The farm is on 1.5 ha
(equivalent to 3 football fields) state land in Central Trinidad with a standard
agricultural lease assigned to the farmer’s wife in 1985 for residential and agricul-
tural purposes, which developed into the family farmstead. Access to land satisfied
SDG 2.3 and several productive resources and inputs, including seeds’ genetic
diversity, contributed to the farm’s success. The aging (75 & 77 years) farmer and
his wife have implemented a succession strategy involving their last son and
daughter-in-law; both are 44 years old with tertiary-level education and have a
6-year-old son as new entrants to farming in an effective succession and lean
management business strategies.
These measures addressed the gender imbalance in smallholder farming to
comply with SDG 5, which recommends creating gender equality and empowering
women and girls. The family’s land tenure provided easy access to financial facilities
from the Agricultural Development Bank (ADB) for home construction and farm
development: SDG 9 requirement. The farming family is not dependent on influen-
tial stakeholders such as landlords and traders, which enables their resources and
capabilities to achieve SDGs equal rights to (a) Economic stability, (b) Land tenure
and productivity, and (c) Equality and inclusion.
This farm demonstrates the capacity of smallholder farms to contribute to poverty
alleviation (SDG 1) where there is adequate planning and management. The business
management strategy reflects that, in addition to the four (4) adult family members
who live on the farm and derive a very livable income from the farm, the family also
has two additional children (sons). Both had access to quality education (SDG 4)
through national scholarships to study medicine and qualified as specialist surgeons.
They have benefited from the farm’s resources and did not fall into the poverty trap
as is common in smallholder farming. Their success concurs with the regional
leaders’ acknowledgment at the 2014 CWA that smallholder family children have
become professionals and academics, such as doctors, lawyers, and engineers,
contributing to the region’s development (CARICOM 2014). Further, their contri-
bution and involvement in the farm’s management strategies strengthen the family’s
succession planning capacity.
The marketing strategy included establishing long-term arrangements with sev-
eral leading supermarkets in Trinidad for its branded limes, fruits, and vegetables at a
healthy return on investment (ROI). The business efficiency included implementing
lean management concepts to reduce waste in all its form along the value chain and
maximize production efficiency.
Currently, the farming activities provide full-time employment for the four adult
family members and part-time jobs for three community members to achieve SDG
8 by providing productive employment and decent work. However, the family
members experience the contradictory class location as both owners and laborers
while relying on other paid workers. In smallholder farming, there are risks of self-
exploitation, especially with crop failures and challenges in meeting financial
commitments.
Additionally, the 75-year-old model farmer achieved two postgraduate qualifica-
tions in business and human resource management via online studies from a Scottish
university at ages 69 and 71, demonstrating the importance of lifelong learning to
satisfy the requirements of (SDGs 4 & 7). The farm family, therefore, possess the
qualifications and ability to acquire information and act with scientific knowledge
(SDGs: 2, 4, & 5) by applying technical information (SDGs: 7 & 17 embedding
knowledge) to solve environmental issues (SDGs: 2, 15, life on land).
As a model farm in the region, the farmer received a regional award (Latin
America and the Caribbean) in 2021 for advocating agricultural resilience over the
past 25 years, emphasizing efficient water and soil health management (IICA
2021a). In 2012, the farmer was one of three Trinidadians recognized for presenting
Success Cases of Innovation for Family Agriculture in Latin American and Carib-
bean countries for undertaking research and innovation in agriculture to reduce
poverty, promote competitiveness, and sustain natural resources (Guardian 2013).
990 R. Roop et al.
This success case detailed integrating systems to rehabilitate degraded soils for
horticultural production by managing pests, diseases, soil, and water with minimum
external inputs in an economically sound and environmental manner. The farmer
also received recognition for fixing degraded heavy clay acidic soil on his farm for
sustainable agriculture as an “Innovative Model” (NAMDEVCO 2010). The farm is
one of 52 Profiles on FAO’s Agroecology Knowledge Hub promoting the impor-
tance of agroecological practices in smallholder farming to achieve the SDGs (FAO
2016). In 2001, the farmer won the National Agricultural Entrepreneur of the Year
Award in Trinidad for Integrated Agriculture (Stan 2002), demonstrating his entre-
preneurial ability to achieve and sustain income growth (SDG 10.1). The Integrated
farming activities have focused on the year-round sustainable production of high-
value vegetables, herbs, spices, and citrus limequat (Citrus x floridana) with
low-cost and low-input integrated agroecological cropping systems to achieve zero
hunger (SDG 2).
Several documented and published data provide information on the farm’s devel-
opment. The procedures include soil and water management, soil amelioration with
deep plowing, low-cost overburden limestone, on-farm water harvesting and stor-
age, micro-irrigation, and precision fertilizer application. The farm has been a Global
Water Partnership Caribbean (GWP-C) Partner since 2010, contributing to water use
efficiency in agriculture to achieve SDG 6 (access to drinking water and sanitation)
to ensure sustainable water management and make it available to all. The farmer
shares knowledge and experiences with agricultural officers, secondary and tertiary
level students, farmers, and the agricultural community to achieve SDG 4 in pro-
moting inclusive and equitable education. These measures address the SDGs’
environmental goals advocating responsible food production and consumption
(Goal 12), climate change action (Goal 13), and managing life on land (Goal 15)
to ultimately achieve SDGs 1 & 2.
Discussion and Implications for Policy and Practice
The results show that smallholder farmers have a double function as a vulnerable and
a mainstay for implementing the SDGs. According to Hong (2015), it is necessary to
support smallholder farmers in building socio-ecological resilience systems to com-
bat climate change and achieve SDGs 1 & 2 goals. The 17 SDGs consist of
169 targets, with 232 indicators referring to the challenges of small farms as a
mainstay for implementation (Terlau et al. 2018). Hong (2015) argues that efforts
to end poverty (SDG 1) and hunger (SDG 2) require developing socio-ecological
resilient systems to combat changing climatic events. These socio-ecological sys-
tems will help maintain and strengthen the adaptive capacity of small farmers to
climatic events such as unusual weather, drought, floods, and other natural disasters
toward achieving the SDGs (UN 2015).
Most SDGs relate to agricultural producers, including smallholder farmers, as
central to achieving food and nutrition security (Farmingfirst.org. 2013). The FAO’s
five crucial change agents to cope with food and agriculture challenges include
smallholder farmers, rural women, infrastructure investors, the most vulnerable, and
policymakers (Wolfenson and Rome 2013). SDG 2 (Zero hunger) projected a
doubling of small-scale producers’ productivity and incomes by 2030 by providing
land tenure, inputs supplies, knowledge sharing, financial support, marketing oppor-
tunities for primary and value-addition products, and off-farm employment
(UN 2015).
According to the FAO, the Micro, Small & Medium Enterprises (MSMEs)
currently produce approximately 80% of the world’s food, which accounts for
between 27% and 67% of regional agricultural output, with a 30–40% contribution
to agricultural GDP (FAO 2019a). However, while smallholder farmers are essential
in achieving food and nutrition security, they remain a susceptible group among
most of the poor and hungry, whom development policies often neglect (Fan and
Rue 2020). In 2014, the CWA regional and international organizations leaders
acknowledged that although family farmers support local agriculture and are essen-
tial in reducing the high cost of imported food products, they remain disadvantaged
and unheralded (CARICOM 2014). The leaders acknowledged that the children of
smallholder family farms have become professionals and academics contributing to
the region’s development and that these farmers deserve respect and honor
(CARICOM 2014).
The 2020 State of Food Security and Nutrition report indicated that notwithstand-
ing the best efforts to achieve these SDGs, the world is off-target in achieving Zero
Hunger and that by 2030 over 840 mn people (10%) of the world’s population will
be affected by hunger and starvation (FAO, IFAD, UNICEF, WFP, and WHO 2020).
Moreover, the pandemic (COVID-19) expects to negatively impact food production
and stalling efforts to achieve “Zero hunger” (HLPE 2020). According to Naidoo
and Fisher (2020), it is necessary to reset sustainable development for a pandemic
world. As a result, CARICOM has proposed in its Covid-19 Response Agri-Food
Plan (’25 in 50 or 25/25) to reduce the region’s food import bill by replacing 25% of
imported foods with local and regional foods by the year 2025 (CARICOM 2020).
The research shows that the region already has a high occurrence of poverty
(48.6%) and risky poverty (22.5%), with a widening of the poverty gap due to
difficulties in accessing essential public services among the poor (CEPAL 2018).
Therefore, an increase in poverty will substantially affect the region’s adapting to
climate change, reducing agricultural production and compromising achieving the
SDGs (FAO, IFAD, UNICEF, WFP, and WHO 2020).
In Trinidad, the JSC reported that the agricultural sector still operates with
outdated farming methods, resulting in widespread underutilization of state land
farms with less than 20% cultivated (JSC 2017). The JSC recognized that the sector
has many aging farmers unwilling to adopt new technology and young people with
little or no interest in agriculture as a career (JSC 2017). It is also crucial to highlight
that the intensive manual labor in agriculture and young people avoiding the 3D job
types of dirty, dangerous, and demeaning work in agriculture will affect achieving
the SDGs (Ahmad et al. 2018). Ritchie (2021) stated that hundreds of millions would
continue living in poverty by fantasizing about smallholder farmers toiling in the
fields for unproductive returns.
992 R. Roop et al.
With the introduction of the SDGs and SDG 2 focusing on ‘Zero Hunger,’ CTA
has supported ACP farmers to acquire skills, technologies, and resources that
stimulate innovation and success. Since 2016, CTA has focused on promoting
youth entrepreneurship and advancing digitalization in agriculture. These measures
have encouraged the adoption of new technologies and practices in climate-smart
agriculture in ACP countries, which has positively impacted the lives of millions of
smallholder farmers. CTA has effectively demonstrated how agricultural knowledge
and innovation can be shared and scaled up to significantly improve incomes,
productivity, and food security.
The results present significant challenges to agriculture and smallholder farming
which is affected by economies of scale, low capacity for investment, and acquisition
of technical knowledge that can decrease the number of smallholders. These chal-
lenges can ultimately affect accomplishing the required SDGs with aging farmers
who lack the necessary educational background and specialized training to imple-
ment climate change adaptation measures and business management concepts (JSC
2017). Therefore, the current situation requires farmers to work together to improve
their educational standards to use affordable and essential technology. However,
smallholder farmers with high poverty levels often put little effort into environmen-
tal conservation (Terlau et al. 2018). Additionally, farmers’ limited resources (SDGs
1, 2, 5 & 14) may encounter difficulties adopting and using new technologies (SDGs
7 & 17), even if they are aware of the technologies (Terlau et al. 2018).
CABA is proactively enhancing MSMEs’ capacity to contribute toward reducing
imports and increasing the export of foods, reducing NCDs to implement the SDGs
in the Caribbean. CABA further proposes promoting sustainable community food
ecosystems comprising public-private partnerships of value-chain partners, includ-
ing Government, development agencies, farmers, processors, marketers, indepen-
dent investors, and financial institutions (CABA 2022). The system will include the
following community-wide core components: organic inputs production system,
integrated mixed-crop and livestock clusters, high-tech secure agricultural systems,
and wholesale and retail market centers.
Conclusions
This chapter provides insights into innovative approaches in smallholder farming

systems to implement the SDGs in the Americas and the Caribbean. The research
presents challenges and opportunities for smallholder farmers at a time when the
State of Food Security and Nutrition (SFSN) report indicated that achieving SDG
1 (end poverty) and SDG 2 (zero hunger) by 2030 is off-target despite best efforts to
achieve these goals.
The innovative approaches of the model smallholder family farm in Trinidad can
apply to farmers in the Americas and the Caribbean to achieve the SDGs. However,
while one model farm cannot represent the entire region, the innovative approaches
addressed regional problems such as land degradation and water management. The
model farm also applied business concepts of succession planning and lean
management principles along the value chain, which leading regional organizations
recognized as innovative approaches to achieving resilient agriculture in the Carib-
bean. The successes of the model farm demonstrated how aging farmers in the region
could implement a succession strategy to share scientific and traditional knowledge
for sustainable development and production to achieve the SDGs. These measures
address the SDGs’ environmental goals: Goal 12 advocates responsible food pro-
duction and consumption; Goal 13: Climate Change Action; Goal 15: Managing Life
on land and ultimately achieving SDGs 1 & 2.
The lessons learnt from this research are that MSMEs consist of smallholders
producing more than 80% of the world’s food and between 27% and 67% of regional
agricultural output, with a 30–40% contribution to agricultural GDP. Unfortunately,
they remain a vulnerable group among the poor and hungry, whom policymakers
often neglect. However, the research demonstrates that by applying innovative
approaches to introduce young people to agriculture as a career and lean business
management principles to eliminate waste along the value chain, these smallholder
family farmers can establish farmsteads into thriving sustainable farming businesses.
The socio-ecological systems will help maintain and strengthen the adaptive capac-
ity of small farmers to climatic events such as unusual weather, drought, floods, and
other natural disasters toward achieving the SDGs.
Therefore, policymakers must review their approaches to smallholder farmers, as
stated by regional leaders at the 2014 CWA. At the same time, policymakers have
already implemented several initiatives, such as CTA’s focus on promoting youth
entrepreneurship and advancing digitalization in agriculture. In 2021, CARICOM
presented The Secretary General’s Award for the CARICOM Farmer and the
Ministers of Agriculture Award for the Young Farmer of the Year 2021. The
award aims to recognize regional farmers and farming enterprises’ role in contrib-
uting to the region’s goal of achieving self-sufficiency and food security. The award
complements the young farmers’ “I am Agriculture” initiatives to present agriculture
as an attractive and viable career. CABA’s strategy to proactively enhance MSME’s
capacity to contribute toward reducing imports in keeping with CARICOMs’ Covid-
19 Response Agri-Food Plan requires managers and stakeholders to understand
smallholder farmers’ challenges.
The future requires policymakers to guarantee land tenure for smallholder farmers
to maintain control over natural resources such as land, water, seeds, and forest
reserves to promote a culturally adapted food chain in building resilience to climate
change. The land tenure requirement will also address women and youth issues,
given the significant discrimination they encounter, which shows that women com-
prise less than 15% of agricultural landowners. These policy initiatives will require
national plans to support smallholder farmers in developing their entrepreneurial
capabilities. Supporting smallholder families will scale up sustainable farms and
reduce poverty since the region already has a high occurrence of poverty (48.6%)
and risky poverty (22.5%), with a widening of the poverty gap due to difficulties in
accessing essential public services among the poor as significant social implications.
Therefore, an increase in poverty will substantially affect the region’s adapting to
climate change, reducing agricultural production and compromising achieving the
994 R. Roop et al.
SDGs. As a result, smallholder farmers will continue toiling in the fields for
unproductive returns, with hundreds of millions living in poverty.
However, the model smallholder farm demonstrates how producers can create
organizations to improve agroecological practices and share knowledge and experi-
ence to produce branded products for the local, national, and export markets. The
food industry must include smallholders through the MSMEs to develop business
models promoting sustainability standards of production throughout their value
chain, which requires adequate processing, storage, and marketing facilities. These
measures will enhance customers’ confidence about the origin and traceability of the
products to buy locally and contribute to achieving CARICOM’s Agri-Food Plan
(’25 in 50 or 25/25) to reduce the region’s food import bill by replacing 25% of
imported foods with local and regional foods by the year 2025. Furthermore, these
innovative approaches in smallholder farming systems will contribute to achieving
the SDGs to end poverty and hunger in the region.
This chapter supports CARICOM’s recommendations in the following four specific
objectives to help farmers increase production, develop rural communities, reduce
poverty (SDG 1), and end hunger (SDG 2) by (a) Strengthening production and
marketing processes through building institutional capacity to support their development;
(b) Improving policy and program frameworks to manage critical threats to achieve food
security; (c) Promoting consumption of safe and nutritious food; and (d) Ensuring the
stability of food supplies. It also provides some lessons learnt from innovative small-
holder practices and offers implications for taking up these recommendations. A com-
bination of these recommendations, lessons learnt, and implications should lead to more
smallholder farms being able to implement practices toward achieving the SDGs and
ultimately securing a productive, healthy, and better world for everyone.
Acknowledgments The authors acknowledge the support of the following contributors to the chapter:
1. Mr. Vassel Stewart, an outstanding Caribbean expert in agribusiness development and the
President of CABA, provided internal documents on CABA’s strategy.
2. Dr. Vickey John-Joseph of Jade Mountain & Anse Chastanet Resorts, St. Lucia, provided
information from her Doctoral Thesis (2022) *International Business* and the Successful
Strategies to Drive Change Management Initiatives within Global Organizations.
3. Professor Walter Leal Filho, Dr. Miguel Córdova, and the Springer Reference Editorial Team for their
reviews of the drafts, which provided guidance and support for the successful chapter completion.
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impacts-agriculture
Challenges of Female Entrepreneurship
to Fostering Sustainable Development
in Brazil
Adriana Ferreira Cristina Caldana, Marina Mauad Sacramento, and

Luciano Sousa Pimenta
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1000
Entrepreneurship as a Trend . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1002
The Scenario of Micro and Small Entrepreneurs in Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1003
The Challenges of the Entrepreneur in Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1004
The Gender Issue in the Entrepreneurial Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1006
Assertive Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1011
Exploratory Factor Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1014
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1022
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1026
Abstract
There are many challenges that micro and small entrepreneurs face on a daily
basis. Most of these challenges are related to the lack of administrative knowledge
and the lack of capital. The objective of this study is to verify what is the
perception of men and women in relation to the challenges of entrepreneurship.
To this end, a quantitative research of an exploratory and descriptive nature was
carried out with the aid of bibliographic research and the application of a
questionnaire. As a result, significant statistical differences were found for
some groups of challenges. Although women have challenges similar to those
of men, they encounter specific barriers when undertaking, due to gender stereo-
types. This study deepens the discussions about the barriers that women face
when undertaking in Brazil and creates a tool so that the research can be
replicated in other locations and contribute to the achievement of sustainable
development goals, specifically on gender equality.
A. F. C. Caldana (*) · M. M. Sacramento · L. S. Pimenta

School of Economics, Business Administration and Accounting at Ribeirão Preto, University of
São Paulo, Ribeirao Preto, Brazil
e-mail: caldana@usp.br

https://doi.org/10.1007/978-3-031-16017-2_60
1000 A. F. C. Caldana et al.
Keywords
Entrepreneurship · Micro and small business · Challenges · Gender · Women
Introduction
Brazil is experiencing a time of many changes and economic crisis. This troubled
scenario contributes to the growth in the number of entrepreneurs since the increase
in unemployment and the reduction of opportunities make many people see entre-
preneurship as the only option for income generation (Sebrae 2018).
Entrepreneurship began to gain prominence between the 1980s and 1990s when
the Brazilian government realized the value of these businesses and started investing
in the creation of institutions to support these entrepreneurs, such as SEBRAE –
Brazilian Service of Support to Micro and Small Enterprises (Ferreira 2012).
The creation of these institutions helped boost entrepreneurship in the country.
Today, for every 5 Brazilians, 2 are entrepreneurs, accounting for a total of 51.9
million people. Most of these businesses (99%) are considered micro or small. This
category of companies is very relevant to the national economy as it was responsible
for generating 70% of formal jobs in 2021 and for 27% of the crude domestic
product (CAGED 2022). In addition, for 69% of these entrepreneurs, their business
is the only source of family income (Sebrae 2018).
For Morrison (1998), the entrepreneur is the heart of the enterprise for being
persistent in his search for opportunities and striving to obtain the necessary
resources. The decision to create your own company is motivated by the desire for
independence, both in the economic and personal spheres (Ansoff 1981). It is
perceived that motivation is an essential element for the creation of a business, but
for it to grow and remain competitive, its founder must have an administrative
mindset (Shah 2013).
Most entrepreneurs do not prepare, or do not have the means to prepare, ade-
quately for business activity (Azevedo 1992). An indicator of this fact is the high
mortality rate of companies in Brazil. In 2017, for example, more businesses closed
than were created, totaling a negative balance of 22.900 companies (IBGE 2018).
The main factors related to the mortality of companies in Brazil are a lack of
managerial competence and a lack of entrepreneurial experience on the part of
entrepreneurs. The difficulties faced by micro and small entrepreneurs on a daily
basis are crucial for the survival of the company and are not just managerial details
that can be easily adjusted (Pereira and Santos 1995; Viapiana 2000; GEM 2018).
Women face similar challenges as men when creating or running a business.
However, female entrepreneurs face specific challenges due to gender stereotypes
(Nsengimana et al. 2017). Gender stereotypes place women primarily responsible for
housework and child care. In this scenario, women entrepreneurs have less time for
the business, as they dedicate more time to the house and child care than men (Rede
Mulher Empreendedora 2019). Most women say that family pressure is one of the
Challenges of Female Entrepreneurship to Fostering Sustainable. . . 1001
biggest barriers they face when starting a business due to the concomitance of work
and dedication to the family (Cramer et al. 2012).
Given the context presented so far, this study sought to understand the perception
of men and women regarding the challenges of entrepreneurship. The study seeks to
answer the research problem, “Is the perception of the challenges of entrepreneur-
ship different between men and women?”; the present study was structured in order
to understand the challenges faced by women that have businesses in Brazil.
Global interest in female entrepreneurship has grown as the number of female
entrepreneurs increases. Their contributions to job creation and the development of
local economies have gained more visibility (Tlaiss 2015). In Brazil, 43% of active
businesses belong to women (Sebrae Executive Report 2018).
Regardless of the increase of women’s participation in the entrepreneurial envi-
ronment, entrepreneurship continues to be seen as a male area despite being
portrayed, in popular discourse, as a form of career that is also valid for women.
Historically, men are the ones who most seek entrepreneurial activity as a form of
career. This persistent vision, which is observed in most countries, raises a question
about the obstacles that men and women face when starting a business (Gupta et al.
2009).
Despite entrepreneurs having similar socioeconomic characteristics, motivations,
and techniques, women are subjugated due to gender stereotypes (Sexton and
Bowman-Upton 1990; Gupta et al. 2009; Nsengimana et al. 2017). Women entre-
preneurs in Brazil pay, on average, higher loan interest rates than men, despite their
lower default rate (Sebrae and Bacen 2016).
It was found that even professional investors have a bias when choosing which
company they will invest in, opting for one that is commanded by a man (Brooks
et al. 2014). This difference in treatment can be observed in the formulation of the
questions that investors ask entrepreneurs. It is noted that, for women, the questions
have a preventive focus, which leads them to approach more cautious strategies. For
men, the questions are optimistic, giving them space to explain expansion strategies
and ways to promote the business. For men, investors ask how to win and for women
how not to lose (Kanze et al. 2018).
Given the current scenario where small businesses are one of the main compo-
nents of economic development in Brazil (corresponding to 27% of CDP) and the
main generators of formal jobs (55%), it becomes relevant to study the impact of the
obstacles faced by entrepreneurs in our country. In addition, due to the significant
presence of women in this group of entrepreneurs (43%) and the socioeconomic
contributions that their businesses generate, it is necessary to understand how
discriminatory this situation is. Finally, due to the lack of Brazilian studies that
compare the perception of men and women regarding the challenges of entrepre-
neurship, this research seeks to deepen the discussion on the impact of gender
stereotypes in the management of a business. The present research aimed to verify
if there is a difference between the perceptions of men and women regarding the
challenges of entrepreneurship.
Entrepreneurship as a Trend
The term entrepreneurship has been gaining ground in business newspapers and
magazines since the late 1990s. The growing change in the Brazilian economic
scenario has led many companies to look for alternatives to increase competitive-
ness, reduce costs, and remain in the market. This context favored the creation of
new businesses, as also the need for them to endure, popularizing the term entre-
preneurship (Dornelas 2008).
We can define entrepreneurship as the process of creating something new that has
value. This process takes time and effort and is linked to various risks, from financial
to psychological and social. In return, the entrepreneur seeks to achieve economic
and personal satisfaction (Ramadani et al. 2015). According to Schumpeter (1949),
the entrepreneur stirs the existing economic order by introducing new products or
services, by creating new business models, or even by exploiting new resources and
materials.
Entrepreneurship is expected to be a more impactful revolution for the twenty-
first century than the industrial revolution was for the twentieth century (Timmons
1944). However, opinions about the causes of the significant increase in entrepre-
neurial activities are divided. Some argue that this increase is the product of the
creation of a “business culture” and, others, that it is the result of the restructuring of
economies in the face of increasing globalization. Those who defend the first cause
understand that entrepreneurship is an option for the individual who seeks indepen-
dence and opportunities. The second group sees entrepreneurship as a reaction to the
flexibilization of employment relationships and mass layoffs that place workers in
marginal situations (Hughes 2003).
Entrepreneurship in Brazil began to gain a significant prominence between the
1980s and 1990s. At that moment the government mobilized to create institutions
that could support these new entrepreneurs. In this movement, the Brazilian support
service for micro and small enterprises – SEBRAE – emerged, aiming to help future
entrepreneurs to create their companies (or legalize existing companies), in addition
to promoting courses and consulting for entrepreneurs who were facing difficulties.
Since then, the number of entrepreneurs has been growing over the years (Ferreira
et al. 2012).
Entrepreneurs can be grouped based on their main motivation to create a business.
Such motivation may be due to opportunity or necessity. Opportunity entrepreneurs
are those who claimed to have started the business when they perceived an oppor-
tunity in the market. Typically, their main motivation is to be independent or to
increase their income rather than just maintaining it. Entrepreneurs by necessity are
those who claim to have started the business mainly due to the lack of alternatives for
their occupation or income generation. This type of business, by its nature, is created
as a way to generate income and subsistence conditions (GEM 2018).
The growing number of entrepreneurs in Brazil is also related to the recent
economic crisis, as many unemployed see entrepreneurship as the only option for
generating income (Relatório Executivo Sebrae 2018). In this scenario, the
importance of micro and small companies is evident, especially due to their ability to
generate employment in the midst of constant technological advances whose main
characteristic is the replacement of labor (Clarke and Monkhouse 1995).
The Scenario of Micro and Small Entrepreneurs in Brazil
One of the most accepted definitions of entrepreneur places him as the individual
who makes the decision to establish his own company, motivated by the desire for
independence (Ansoff 1981), whereas the businessman is the one who preserves or
expands an existing business (Marcondes and Bernardes 1997).
Entrepreneur is not just a person who leads a structured organization or who
creates an innovative company (e.g., a startup); nor is it necessarily a successful
person who is satisfied with his undertaking; and finally, it is not restricted to the link
with legally formalized legal entities. Entrepreneur is anyone who has created a
venture, even the simplest ones that were created by the need for income (Sebrae
Executive Report 2018).
Characterizing small companies is complex due to the great diversity of these
organizations. Some of the commonly observed characteristics are economic tenac-
ity, dedication, willingness to face challenges, and initiative. It is noted that generally
this type of company operates in a single location, opts for sectors with fewer
obstacles, and has a limited amount of capital, and often personal and commercial
resources are mixed (Solomon 1986).
There are 14 million small businesses in Brazil represented by 28 million small
entrepreneurs. These entrepreneurs are responsible for generating 55% of formal
jobs in the country. Thus, 27% of the national CDP is generated by small businesses
(Sebrae 2015). Micro and small companies are essential in economic development,
both for the generation of jobs and for the creation of technological innovations
(Timmons 1978).
When analyzing the educational level of this group of entrepreneurs, it is noted
that 35% of them have completed college education, and the national percentage for
the same category is 16.5% (Sebrae 2018). The educational level of micro and small
entrepreneurs is higher than that shown in national surveys, which can be seen in the
table below.
The definition of MSE (micro and small enterprise) can be obtained from two
concepts: by the number of people employed in the company or by the income earned.
Among these concepts, there is a different criterion for industries, since they demand
more employees for their operation (Sebrae 2015).
In Brazil, most micro and small enterprises (MSEs) operate in the commerce
sector (48.5%). The second largest sector of activity is services (38.3%) and, finally,
industry (13.1%). In commerce, MSEs represent 99.2% of the number of companies,
employing 69.5% of the personnel of this sector. In services, they represent 98.1% of
the number of companies, employing 43.5% of workers. In industries, they represent
95.5% of the number of companies, employing 42%. It is evident the importance that
this type of company has in generating income, employment, and remuneration

(Sebrae 2015).
Informality among micro and small companies is still a complex reality in Brazil.
A survey showed that active entrepreneurs spent, on average, 10 years working
informally before registering their businesses. However, seven out of ten of these
entrepreneurs consider that the formalization of the business allowed companies
greater financial gain (Sebrae 2019). This improvement in financial performance
after formalization can be explained by the greater ease of obtaining credit and the
exclusive tax regimes that this type of company has access to (Oliveira 2000).
There are numerous differences between MSEs and medium and large companies
that go beyond the number of employees and annual income. First, these two groups
operate in different economic environments: on the one side, thousands of traditional
smallholders and, on the other, a few hundred highly organized and dynamic
companies. The differences extend to all aspects of the organization and economic
behavior, including the reason for the entrepreneur’s initiative (Solomon 1986).
Entrepreneurial motivation is essential to founding a company. However, to grow
and remain competitive, an organization needs its founder to have a managerial
mindset. Most entrepreneurs do not have the necessary skills to lead their organiza-
tion through the growth phase (Shah 2013).
The Challenges of the Entrepreneur in Brazil
In Brazil, the years 2014, 2015, and 2016 were marked by the economic slowdown.
This recessive period is not favorable for opportunity entrepreneurship, as this
scenario affects the external factors that contribute to the success of the business.
There was, then, a significant increase in entrepreneurship out of necessity. This
modality is marked by informality and a lack of planning. In this context, companies
that are created by the urgency of their founders for income are more susceptible to
failure (IBQP 2017).
There are several typical characteristics of small businesses. In most cases, small
businesses are owned by just one person who takes on the management role and
invests the necessary capital to get the operations started. The less professional
nature of small businesses makes these companies face some specific challenges
when seeking to establish themselves in the market. The main problems faced by
small companies are a lack of working capital and financing, shortage of raw
material (or a lack of quality in raw material), consumer market instability, a lack
of specialized labor, excessive administrative centralization, labor, bureaucracy and
complexity of tax legislation, inadequate organizational structure, a lack of mana-
gerial capacity of the business owner, and difficulties in obtaining financing
(Cavalcanti and Mello 1981).
It is common to see entrepreneurs that seek new opportunities, get lost with the
lack of objectivity in their ideas, and bet on a market they are unaware of, which
leads them to failure. For Degen (1989), the failure of most micro and small
businesses is due to the lack of skills (administrative, financial, and marketing) of

entrepreneurs. The most critical points that lead a company to failure, in terms of
importance, are the lack of managerial experience of the entrepreneur, inadequate
knowledge of the market, managerial errors in the development of the business, and
excessive management centralization in the entrepreneur’s hand.
The survival of a company precedes its success, which is only possible if money
is available. However, it is not just the lack of capital that leads a company to failure.
According to Pereira and Santos (1995), the lack of managerial competence and the
lack of entrepreneurial experience on the part of entrepreneurs are the main factors
related to the mortality of companies. The authors also detail that the lack of
managerial competence includes the lack of knowledge of the market and of the
product, the lack of product quality, wrong location, problems in the relationship
with suppliers, excessive immobilization of capital in fixed assets, wrong customer
credit policy, the lack of cost control and financial management, concentrated
organizational structure, the lack of planning, and the lack of innovation.
The problems that micro and small businesses face is described by Oliveira
(1996) as business pathologies that can be of an economic, financial, technical,
marketing, administrative, or behavioral nature. Each category of these “diseases”
has different “symptoms.” The economic disease has as symptoms the null or
negligible return on invested capital and the low return on total assets. The symp-
toms of financial pathologies are high expenses, the high need for working capital,
and the high dependence on third-party capital. The symptom of a technical disease
is the high dependence on external technology and the high level of customer
complaints and returns. The marketing disease is identified when the company has
inadequate prices, a lack of competitiveness, and inadequate distribution process.
The administrative disease has as a symptom the inadequate use of available
resources and repeated work. Finally, there is the behavioral disease, which is
identified by the high level of rejection of changes, demotivation, a low cohesion,
and a high level of friction.
The difficulties faced by micro and small entrepreneurs daily are crucial issues for
the survival of the company and not just managerial details that can be easily
adjusted. Ferreira (2012) states that the issues that cause the mortality of MSEs are
mostly of a strategic nature, but some organizational issues are also important.
The challenges faced by entrepreneurs when seeking to be more efficient in
managing their business are closely related to the areas that they do not have full
knowledge about. The main difficulties that the entrepreneurs themselves pointed
out (both the consolidated ones and those that are in the first year of operation),
according to SEBRAE (2016), are the lack of customers/few sales, the lack of
capital, the lack of knowledge, and unskilled labor.
A survey by the global entrepreneurship monitor (GEM) with data from 2018
showed the main factors that interfere with entrepreneurial activity in Brazil. The
three factors that most interfere with the development of micro and small businesses,
according to experts, are, in order of relevance:
I. Restrictive government policies (high tax burdens and bureaucracy)

II. A lack of financial support (low availability of funding and high interest rates)
III. A lack of specific education and training (few actions aimed at entrepreneurial
education)
Among the factors that cause the mortality of companies in Brazil, there are
groups that are more susceptible to failure. The probability of closing is higher
among entrepreneurs who were unemployed before starting the business, who had
little experience in the field, who opened the business out of necessity (or customer/
supplier requirement), who had less time to plan, who did not obtain loans in banks,
and who have not improved their products or services (Sebrae 2016).
For a better visualization and understanding of the factors that lead companies to
failure, a table was prepared with a summary of the challenges mentioned in this
chapter and the literature used as a reference. The factors were divided into five
dimensions (marketing, finance, human resources, technical-operational, and man-
agement), as proposed by Viapiana (2000) (Chart 1).
Despite the educational level of Brazilian entrepreneurs being significantly higher
than the average (as seen in Table 1), there is a significant need for training in
administrative themes (as seen in Table 4). Most entrepreneurs are not adequately
prepared for business activity (Azevedo 1992). In Brazil, 84% of entrepreneurs say
they need some type of training, and, on average, each one indicated three areas of
need. The main areas of need identified were financial management, advertising/
marketing, use of social networks, improving product/service quality, customer
service, and credit/financing orientation (Sebrae 2018).
In 2017, more companies closed than were founded in Brazil. The survival rate of
companies in Brazil, in that year, was 84.8%. There was a negative balance of 22.9
thousand companies in 2017. The south and southeast regions had the highest
survival rates, 86.6% and 85.0%, respectively (IBGE 2018).
The business environment is extremely dynamic and competitive, demanding
from companies’ agility in decision-making, responsibility in cost control, flexibil-
ity, and operational efficiency (Ortigara 2006). In this context, there are several
variables that are involved in the positive economic result of an entrepreneur. Some
of these variables can be controlled by the individual (e.g., effort variables), but
others, such as economic policies and stereotypes, are not the individual’s respon-
sibility; therefore, they are called circumstance variables (Figueiredo et al. 2012).
The Gender Issue in the Entrepreneurial Environment
Gender stereotypes consist of shared beliefs about the characteristics and attributes
associated with each sex. Women are commonly associated with social qualities
(such as expressiveness, connection, kindness, and support), while men are associ-
ated with action qualities (such as independence, aggression, autonomy, and cour-
age). The stereotyped characteristics attributed to the two sexes describe not only
how men and women are (descriptive stereotypes) but also how they should be
(prescriptive stereotypes) (Gupta et al. 2009).
People generally associate the entrepreneur with characteristics socially consid-
ered masculine (Gupta et al. 2009). There are a number of characteristics that are
associated with successful entrepreneurs, which are described as dominating, aggres-
sive, self-confident, optimistic, emotionally mature (stable), and independent
(Ansoff 1981). Women entrepreneurs tend to lead interactively, encouraging
employee participation, sharing power and information, and decentralizing activities
(Moore and Buttner 1997).
Dimension Challenges encountered References
Marketing Marketing and sales inefficiency Degen (1989)

Wrong use of the product on the Viapiana (2000)
market
Lack of pricing, product,
advertising and distribution policy
Finance Lack of capital Cavalcanti et al.

Difficulty in obtaining financing (1981)
Excessive capitalization in fixed assets Degen (1989)
Default of creditors Perreira and Santos
Wrong customer credit policy (1995)
Lack of cost control and financial Oliveira (1996)
management Viapiana (2000)
Zero or negligible return on invested SEBRAE (2016)
capital GEM (2018)
Low return on total assets
High expenses
High need for working capital
High dependence on third-party capital
Little knowledge of finance techniques by
managers
High tax burden
Bureaucracy
Human Lack of skilled labor Cavalcanti et al.

resources Demotivation of the entrepreneur (1981)
and employees Oliveira (1996)
High level of conflicts Viapiana (2000)
Lack of employee productivity SEBRAE (2016)
controls
Non-compliance with labor
standards
Deficient system of recruitment and
selection of personnel
Chart 1 Synthesis of business failure conditioning factors. (Source: from the authors)
Technical- Scarcity of raw material Cavalcanti et al.

operational Market instability (1981)
Inadequate organizational Degen (1989)
structure Perreira and Santos
Quality problems with the product (1995)
Wrong localization Oliveira (1996)
Problems in the relationship with Viapiana (2000)
suppliers Ferreira (2012)
Concentrated organizational SEBRAE (2016)
structure
Absence of innovations
High dependence on external
technology
High level of customer complaints
and returns
Inadequate prices
Lack of competitiveness
Inadequate distribution process
Deficient controls
Difficulty in winning and keeping
customers
High level of competition
Bureaucracy
Management Excessive administrative Cavalcanti et al.

centralization (1981)
Lack of managerial capacity of the Degen (1989)
business owner Perreira and Santos
Lack of managerial experience of (1995)
the entrepreneur Oliveira (1996)
Inad equate knowledge of the Viapiana (2000)
market Ferreira (2012)
Management errors during business SEBRAE (2016)
development GEM (2018)
Poorly growth plan
Product unawareness
Lack of knowledge market
Lack of planning
Inadequate use of available
resources
Repeated jobs
High level of rejection of changes
Low cohesion
Lack of management controls
Distrust on the part of the leaders
Non -openness of the leaders
Low educational level of the
entrepreneur
Chart 1 (continued)
Entrepreneurship continues to be seen as a masculine area despite being

portrayed, in popular discourse, as a form of career that is also valid for women.
This view of entrepreneurship as something masculine can be interpreted as a barrier
Table 1 Comparison: level of education of the general population and entrepreneurs
Micro
E Brazil
entrepreneurs
Elementary - Incomplete 33,1% 5%
Elementary - Complete 8,1% 6%
Middle - Incomplete 4,5% 3%
Middle - Complete 26,9% 27%
Incomplete higher 4,0% 10%
Graduated 16,5% 35%
others 6,9% 14%
Source: SEBRAE,2108
for women, not because they do not identify themselves as entrepreneurs, but
because men do not associate characteristics considered feminine with entrepreneur-
ial skills (Gupta et al. 2009).
Women face similar challenges as men when creating or running a business.
However, female entrepreneurs face specific challenges due to gender stereotypes.
Some of these challenges are high interest rates, gender-based corruption, favoritism,
and barriers due to double shifts (e.g., inability to travel for work) (Nsengimana et al.
2017).
The issue of time use is one of the main points that highlight gender inequalities.
The way hours are allocated between paid and unpaid work is associated with
differences in social roles and power levels between men and women. This impacts
not only the daily lives of women (who are mostly responsible for household chores
and family care) but also their access to opportunities for professional advancement
(Fontoura and Araújo 2016).
In Brazil, 43% of active businesses belong to women. However, most of these
entrepreneurs (98.5%) are considered micro or small (Sebrae 2018). In 2018, 44% of
female entrepreneurs created a business out of necessity, which corresponds to a
much higher percentage than the male group (32%). The percentage of women who
initiate business out of necessity is historically higher than the percentage of men.
A possible explanation for the higher rate of women who create business out of
necessity than men is discrimination in the labor market. Job interviews, one of the
main entry points into organizations, continue to involve inappropriate and discrim-
inatory questions. In this context, women claim to have more negative experiences
with recruiters than men (Saks and Mccarthy 2006). In addition, a survey carried out
in 97 companies in the state of São Paulo showed that 42% of employees said they
had already suffered bullying at work, with women being the most frequent victims
(Bobroff and Martins 2013).
However, global interest in female entrepreneurship has grown as the number of
female entrepreneurs increases. Their contributions to job creation and their help in
the development of local economies have gained more visibility (Tlaiss 2015). Most
Canadian women say that what motivated them to become entrepreneurs was a
desire for change, a positive work environment, independence, and the search for
meaningful work. However, a significant portion of women (15–20%) state that
dismissal and a lack of opportunities were the main reasons they became entrepre-
neurs (Hughes 2003).
Regarding the profile of Brazilian female entrepreneurs, 59% are married, 52%
have at least one child, and most have opened a business after the age of 30. For 38%
of these entrepreneurs, their businesses are the main source of family income, and
their main motivations are having flexible hours and family time (Rede Mulher
Empreendedora 2019). In addition, it is perceived that they intensely seek indepen-
dence and have a desire for new and different things that provide fulfillment (Sexton
and Bowman-Upton 1990).
Gender stereotypes place women primarily responsible for housework and
childcare. In this scenario, women entrepreneurs have less time for business, as
they dedicate more time to household chores than men. Women spend, on average,
four times more time on unpaid tasks than their partners (Fontoura and Araújo 2016).
In view of this, they claim that family pressure is one of the biggest barriers they face
when they run business due to the need to conciliate work activity and dedication to
the family (Cramer et al. 2012).
Another challenge that women face is related to the availability of money. There
is a deep gap between the levels of entrepreneurial persuasion of men and women
when it comes to raising investment for their respective companies. One study found
that both professional investors and nonprofessional evaluators preferred presenta-
tions that were conducted by men, even in cases where the content of the men’s
presentation was the same as that of the women (Brooks et al. 2014).
Furthermore, women entrepreneurs in Brazil pay higher interest rates on loans,
even though this group’s default rate is lower than that of men. The average interest
rates paid by men and women are, respectively, 31.1% in a year and 34.6%, with
their default rate being 4.4% and theirs 3.7%. A possible justification for this
difference is the fact that the average value of loans requested by women is lower
than that of men (Sebrae and Bacen 2016).
Another factor that impacts women when it comes to raising investments for their
companies is the nature of the questions that investors ask them. For men, investors
ask thought-provoking questions that allow them to address their boldest strategies
for promoting the company (e.g., “how do you plan to grow your client network?”).
For women, the questions have a preventive nature, leading them to use more
cautious strategies (e.g., “how do you work with customer retention?”). In this
context, male entrepreneurs, who are encouraged by investors to answer questions
in order to promote their companies, are those who manage to raise more invest-
ments. For men, it is asked how to win and for women how not to lose (Kanze et al.
2018).
It is worth mentioning that social inequalities are seen by the United Nations
(UN) as barriers that prevent the expansion of opportunities and the achievement of
results, especially for the most vulnerable. One of the goals proposed by the 2030
Agenda (SDG 5) is gender equality. SDG 5 addresses the importance of ending all
forms of discrimination against women and ensuring equal opportunities, especially
for leadership positions (UN Agenda 2030 2020).
Finally, it is noticed that women face more difficulties when they enter the job
market, especially when they venture into an area considered “masculine,” as is the
case of entrepreneurship (Gupta et al. 2009). Gender stereotypes is one of the main
barriers that contribute to the spread of social inequalities and differences in oppor-
tunity between men and women (Nsengimana et al. 2017).
Assertive Contributions
As mentioned in the previous chapter, a convenience sample was selected,

forwarding the questionnaire to a database of emails from entrepreneurs with the
help of the Entrepreneurs Nucleus USP-RP, SEBRAE, and ACIRP. 209 responses
were collected.
The following table demonstrates the frequency and percentage of respondents’
gender. It is observed that most respondents are female (50.70%), but the percentage
difference between the two sexes is small (less than 1%) (Tables 2 and 3).
Following is the presentation of respondents by age. It is observed that the
majority (59.80%) are between 21 and 40 years old, and the number of respondents
under 20 years old or over 61 years old is very small (only six respondents) (Table 4).
Regarding the skin color of the respondents, it was observed that the majority
(82.30%) declared themselves white. The percentage of respondents who declared
themselves brown was 11%, 4.30% for yellow, and 1.40% for black. Two respon-
dents preferred not to declare their color (Table 5).
The next table presents the responses according to the educational level. Of the
209 respondents, 83 have a college degree, which corresponds to 39.70% of the
sample. Most respondents (70.4%) have completed high school education (Table 6).
When asked if the current business is their first business, the majority of respon-
dents (70%) answered yes. Thus, only 30% of respondents had already experience
with business (Table 7).
Regarding the number of partners in the company, more than half (50.30%) stated
that the company has only one partner. Most of the respondents’ companies
Table 2 Classification and Types of Statistical Tests
Parametric tests (means) Non-parametric tests (medians)
1-Sample Signal Test, 1-Sample

t Test for 1 Sample
Wilcoxon Test
t Test for 2 Samples Mann-Whitney test
Kruskal-Wallis, Mood Test for the

One-Way ANOVA
Median
DOE factorial with one

factor and one block Friedman test
Source: FÁVERO; BELFIORE, 2017
Table 3 Gender of Gender Frequency %

respondents
Female 106 50.70%
Male 103 49.30%
Total 209 100.00%
Source: from the authors
Table 4 Age of Age Frequency %

participants
Under 20 years 2 1%
21–30 years 69 33%
31–40 years 56 26.80%
41–50 years 37 17.70%
51–60 years 41 19.60%
61–70 years 4 1.90%
Total 209 100%
Table 5 Skin color of Skin color Frequency %

respondents
White 172 82.30%
Brown 23 11%
Black 3 1.40%
Yellow 9 4.30%
Other 2 1%
Total 209 100.00%
Table 6 Educational level Educational level Frequency %

of participants
Post-graduation 83 39.70%
College education complete 64 30.70%
College education incomplete 40 19.10%
Complete high school 13 6.20%
Incomplete high school 7 3.30%
Incomplete elementary school 2 1.00%
Total 209 100.00%
Table 7 Identification of First business Frequency %

the respondents’ first
Yes 146 70.00%
business
No 63 30%
Total 209 100%
Table 8 Number of Partners Frequency %

company partners
One partner 105 50.30%
2 partners 66 31.60%
3 partners 21 10.00%
4 partners 5 2.40%
5 partners 5 2.40%
More than 5 partners 7 3.3%
Total 209 100%
(91.90%) have up to three partners, and only 3.3% have a company with more than
five partners (Table 8).
The following table shows the type of business activity of the respondents’
companies. Only 7% of respondents have an industry. Most (46.90%) have a
business that exclusively offers services; 30.10% work exclusively in the commerce
sector; and 15.80% sell both goods and services (Table 9).
Table 9 Type of business Business activity Frequency %

of respondents
Commerce 63 30.10%
Service 98 46.90%
Commerce and service 33 15.80%
Industry 15 7%
Total 209 100.00%
Table 10 Type of tax Tax regime Frequency %

regime of the respondents’
MEI 43 20.60%
company
Simples Nacional 93 44.50%
Presumed profit 12 5.70%
Real profit 10 4.80%
Not formal 51 24.40%
Total 209 100%
The table below shows the tax regime adopted by the respondents’ company. It is
observed that 24.40% of the respondents do not have a formalized company, that is,
they do not have a legal entity registration (CNPJ). In addition, 20.60% are regis-
tered as individual microentrepreneurs (MEI). Most respondents (44.50%) adopted
the Simples Nacional regime (Table 10).
The final table compares the percentage of male and female entrepreneurs who
are subject to a simpler tax regime (either because they are classified as MEI or
because they do not have a formalized company). It is noted that 58.49% of the
women in the sample have a non-formalized company or a MEI; on the other hand,
only 31.07% of the men in the sample fit into this category.
Exploratory Factor Analysis
Malhotra (2006) describes the steps necessary to carry out a factor analysis, which,
in the first place, must consist in the elaboration of a problem and identification of the
variables to be analyzed. The second step is the construction of a correlation matrix
between the variables. For the factor analysis to be appropriate, it is necessary that
the variables are correlated, and if the correlations are small, the model becomes
inadequate.
To verify the adequacy of the factor analysis, a Kaiser-Meyer-Olkin (KMO) and
Bartlett test was applied, to evaluate the hypothesis that the factor analysis is
adequate. Bartlett test is used to verify the hypothesis that the correlation matrix is
an identity matrix (with determinant equal to 1). The KMO statistic varies from 0 to
1, comparing the simple correlations with the partial ones observed between the
variables. The closer the value is to 1, the more appropriate is the use of the
technique, and values greater than 0.5 are desirable.
Returning a KMO of 0.806, according to Table 11, there is a high level of

compliance with the factor analysis, in the literature (Fávero and Belfiore 2017).
The significance level of Bartlett sphericity test ( p-value ¼ 0.000) leads to the
rejection of the hypothesis that the correlation matrix is an identity matrix, evidenc-
ing, therefore, that there are correlations between the variables.
The third step is to determine the extraction method, as the common analysis
(CA) and principal components analysis (PCA). The method used was the analysis
of the principal components, in which the factors are estimated based on the common
variance, also called commonality.
This type of analysis looks for a linear combination of variables, as a way of
reducing the data to obtain the minimum number of factors necessary to explain the
maximum variance. Furthermore, a set of correlated variables is transformed into a
set of uncorrelated variables, allowing the results to be used as inputs for other
techniques, such as multiple regression and discriminant analysis (Fávero and
Belfiore 2017).
The fourth step is to determine the number of factors that will be used in the
analysis, adopting the technique of determination based on eigenvalues. In this way,
only factors with values greater than 1.0 were retained, and the others were excluded
from the model.
Table 12 presents the commonalities that, according to Schawb (2007), represent
the proportion of variance for each variable included in the analysis, which is
explained by the extracted components. The initial commonalities are equal to
1 and, after extraction, vary between 0 and 1, being closer to 0 when the common
factors explain low or no variance of the variable and closer to 1 when all the
variance is explained by all the factors. Observing the extraction column, it is
observed that all variables have a strong relationship with the retained factors,
having high commonalities.
The eigenvalues for each factor, as well as their respective percentages of
explained variance, are shown in Table 13. Using the factor retention rule with
Table 11 Tax regime by Tax regime/gender Female (%) Male (%)

gender
MEI/not formal 58.49 31.07
Other type of tax 41.51 68.93
Total 100.00 100.00
Table 12 Results of the KMO statistics and Bartlett sphericity test

KMO and Bartlett tests
Kaiser-Meyer-Olkin measure of sampling adequacy 0.806
Bartlett sphericity test Approx. chi-square 1746.511
df 136
Sig. 0.000
Table 13 Table of commonalities

Commonalities
Initial Extraction
Amount of available capital is a challenge 1.000 0.663
Access to credit is a challenge 1.000 0.770
Interest rates are a challenge 1.000 0.752
Fixed expenses are a challenge 1.000 0.591
Tax burden is a challenge 1.000 0.781
Bureaucracy is a challenge 1.000 0.745
Labor tax is a challenge 1.000 0.710
Attracting and keeping customers is a challenge 1.000 0.686
Competition is a challenge 1.000 0.695
Strategic planning is a challenge 1.000 0.728
Adapting to changes is a challenge 1.000 0.676
Marketing management is a challenge 1.000 0.747
Positioning the product/service in the market is a challenge 1.000 0.671
Conciliating the time between business and personal life is a challenge 1.000 0.811
Conciliating the company and domestic tasks is a challenge 1.000 0.848
Innovation is a challenge 1.000 0.598
Consumer market instability is a challenge 1.000 0.565
values greater than 1, five factors were retained that can explain 70.796% of the
variance of the original data (Table 14).
As a criterion in choosing the number of factors, the Scree chart can also be used
to identify the optimal number of factors that can be extracted before the amount of
unique variance begins to dominate the common variance structure (Hair et al.,
2009).
Performed by plotting the eigenvalues on the Y axis and the number of values on
the X axis, the Scree chart acts according to the order of extraction; thus, the point
from which the chart becomes “more horizontal” reflects an indication of the
maximum number of factors to be extracted.
As shown below, the Scree chart supports the retention of only five factors.
The fifth step is to rotate the factors through the Varimax procedure, which will
minimize the number of variables, with high loads on a factor, reinforcing the
interpretability of the factors (Malhotra 2006).
The table below contains the factor loadings after rotation. The orthogonal
rotation aims to extreme the values of the loads, so that each variable is associated
with a factor (Table 15).
The sixth and final step is to interpret the factors, which can be facilitated by
identifying variables that present large loads on the same factor or by plotting the
variables using factor loadings as coordinates. Based on Chart 2, the five factors
identified in the matrix of components after rotation were named to facilitate the
interpretation of the statistical analyses.
Table 14 Eigenvalues and percentage of variance explained by factors
Total variance explained
Initial equity values Extract sums of squared loads Rotating sums of squared loads
Components Total % of Variance % Cumulative Total % of Variance % Cumulative Total % of Variance % Cumulative
1 5.653 33.255 33.255 5.653 33.255 33.255 2.802 16.480 16.480
2 2.525 14.855 48.110 2.525 14.855 48.110 2.732 16.071 32.551
3 1.436 8.445 56.555 1.436 8.445 56.555 2.282 13.421 45.972
4 1.287 7.568 64.123 1.287 7.568 64.123 2.166 12.743 58.715
5 1.134 6.673 70.796 1.134 6.673 70.796 2.054 12.081 70.796
6 0.866 5.091 75.888
7 0.730 4.294 80.182
8 0.580 3.411 83.593
9 0.473 2.781 86.374
10 0.422 2.483 88.857
11 0.362 2.132 90.988
12 0.355 2.088 93.076
13 0.333 1.960 95.036
Challenges of Female Entrepreneurship to Fostering Sustainable. . .
14 0.268 1.579 96.615

15 0.229 1.348 97.962
16 0.185 1.088 99.050
17 0.161 0.950 100.000
1017
Table 15 Matrix of components after rotation or rotated loads

Rotating component matrix
Components
1 2 3 4 5
Access to credit is a challenge 0.830
Interest rates are a challenge 0.785
Amount of available capital is a challenge 0.776
Fixed expenses are a challenge 0.643
Marketing management is a challenge 0.851
Positioning the product/service in the market is a 0.690
challenge
Strategic planning is a challenge 0.666
Innovation is a challenge 0.657
Adapting to changes is a challenge 0.646
Tax burden is a challenge 0.839
Bureaucracy is a challenge 0.839
Labor tax is a challenge 0.797
Conciliating the company and domestic tasks is a 0.871
challenge
Conciliating the time between business and 0.835
personal life is a challenge
Attracting and keeping customers is a challenge 0.762
Competition is a challenge 0.742
Consumer market instability is a challenge 0.581
Chart 2 Definition of
Factors
competencies by the authors.
(Source: from the authors) Factor 1:
Financial Challenges
Factor 2:
Marketing Management Challenges
Factor 3:
Bureaucratic Challenges and Labor Tax
Factor 4:
Work/Personal Life Challenges
Factor 5:
Challenges of Finding and Keeping Customers
Chart 2 presents these factors. The name chosen for each of the factors was based
on the characteristics of the challenges of each group and on the work of tabulating
the challenges of entrepreneurs by Viapiana (2000), where he also divides the
challenges into five groups, namely, marketing, finance, human resources,
technical-operational, and management.
In Factor 1, the variables represent the financial challenges that entrepreneurs

face, namely, access to credit, interest rates, amount of available capital, and fixed
expenses. Thus, the name given to Factor 1 was “financial challenges.”
Factor 2, on the other hand, is composed of the following challenges: performing
marketing management, positioning the product/service in the market, making
strategic planning, innovating, and adapting to changes. Thus, the name given to
Factor 2 was “marketing management challenges.”
Factor 3 is composed of challenges related to bureaucratic issues, namely, tax
burden, bureaucracy, and labor tax. Thus, the name given to Factor 3 was “bureau-
cratic challenges and labor tax.”
Factor 4 represents the challenges related to the balance between work and
personal life, namely, conciliating the company and domestic tasks and the business
and personal life. Thus, the name given to Factor 4 was “work/personal life
challenges.”
Finally, Factor 5 encompasses the challenges related to customers, namely,
attracting and keeping customers, competition, and consumer market instability.
Thus, the name given to Factor 5 was “challenges in searching and keeping
customers.”
Because the sample is considered relatively large, a normality test was developed
to verify the assumptions of normality for each group, also verifying the homoge-
neity of variances between groups using the Kolmogorov-Smirnov tests. Table 16
presents the results from the SPSS software.
Having established a significance level of 5%, it was observed that only Factor
5 is greater than 5% ( p-value), having a normal distribution. For this factor, the test
applied was the T test for two samples (independent). The other factors rejected the
normality hypothesis, requiring a non-parametric test. The test chosen for Factors
1, 2, 3, and 4 was the Mann-Whitney U Test.
Table 16 Normality tests

Normality tests
Dummy_Female Kolmogorov-Smirnov Shapiro-Wilk
Statistic df Sig. Statistic df Sig.
REGR factor score 1 for analysis 1 0 0.099 103 0.015 0.948 103 0.001
1 0.094 106 0.022 0.968 106 0.011
1 0.096 106 0.018 0.967 106 0.010
1 0.142 106 0.000 0.918 106 0.000
1 0.119 106 0.001 0.971 106 0.022
REGR factor score 5 for analysis 1 0 0.065 103 .200* 0.989 103 0.586
1 0.065 106 .200* 0.988 106 0.468
Table 17 Hypothesis test

Null Test Sig. Decision
Factor 1 The distribution of REGR factor score Independent- 0.514 Retain the
1 for analysis 1 is the same across Samples Mann- null
categories of Dummy_Feminino Whitney U Test hypothesis
Factor 2 The distribution of REGR factor score Independent- 0.800 Retain the
Factor 3 The distribution of REGR factor score Independent- 0.005 Reject the
Factor 4 The distribution of REGR factor score Independent- 0.003 Reject the
To analyze the influence of gender on the challenges that Brazilian entrepreneurs

face, it was necessary to apply parametric and non-parametric comparative statistical
tests. According to what was presented in the previous item of the present work,
Factors 1, 2, 3, and 4 required a non-parametric test, and Factor 5 required a
parametric test. A Dummy variable was created to perform these tests
(Dummy_Female).
As they do not fit into a normal distribution, Factors 1 (financial challenges),
2 (marketing management challenges), 3 (bureaucratic challenges and labor tax), and
4 (work/personal life challenges) were statistically analyzed using the Mann-
Whitney U Test. Working with a significance level of 0.05, the null hypothesis of
Factors 3 and 4 was rejected, that is, there is a statistical difference between men and
women in these factors. For Factors 1 and 2, the null hypothesis was maintained,
with no statistical difference, as shown in the table below (Table 17).
Factor 5 (challenges of finding and keeping customers) showed a normal distri-
bution, requiring a parametric test. The test applied to this factor was the t test for two
independent samples. Considering a significance level of 0.05, it was identified that
there is no statistical difference between men and women in this factor. The
significance level found was 0.225, as shown in the table below (Table 18).
Another way to visualize the influence of factors between men and women is to
compare their averages. Thus, the table below presents the average for each of the
five factors for men and women, with women represented by the number 1 (one)
(Dummy_Female) and men by the number 0 (zero) (Table 19).
For a better visualization, the data in Table 18 has been transformed into a graph,
making comparison easier. Although Factor 1 shows a difference between men and
women, this difference is not statistically relevant. From the graph it is possible to
identify that Factors 3 and 4 are the ones with the greatest statistical difference
between men and women, being these the only factors where it can be said that there
is a relevant difference between the sexes.
Table 18 Test of independent samples
95%
Levene’s test T test for confidence
for equality of equality interval of the
variances of means difference
Sig. Mean Std. error
F Sig. t df (2-tailed) difference difference Lower Upper
REGR factor Equal 1.483 0.225 0.014 207 0.989 0.001973 0.13869087 0.275401 0.271454
score 5 for variances
analysis 1 assumed
Equal 0.014 206.613 0.989 0.001973 0.13854677 0.275120 0.271172
variances
not
assumed
Challenges of Female Entrepreneurship to Fostering Sustainable. . .

1021
Table 19 Average comparison of challenges between men and women

Dummy_Female
Values 0 1
Average of financial challenges 0.07 0.07
Average of marketing management challenges 0.00 0.00
Average of bureaucratic challenges and labor charges 0.23 0.22
Average of work/personal life challenges 0.21 0.21
Average of challenges of finding and keeping customers 0.00 0.00
Scree Plot
6,000
eigenvalues
4,000
2,525
2,000 1,436
1,2871,134
0,8660,730
0,5800,4730,422
0,3620,3550.3330,2680,2290,185
0,161
0,000
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
Components
Graph 1 Scree chart. (Source: from the authors)
Another relevant information that Graph 1 allows to extract is that men claim to
face more challenges than women in Factor 3 (bureaucratic challenges and labor
charges). As for Factor 4 (work/personal life challenges), women report greater
difficulty in balancing their business and personal lives. The reasons for these
differences will be explained in the next chapter.
Conclusions
With the objective of verifying if there is a difference between the perception of men
and women regarding the challenges of entrepreneurship, the present work was
structured as a quantitative research of an exploratory and descriptive nature. The
definition of specific objectives was also important for the cohesion of the research.
The specific objectives chosen were to identify in the literature which are the main
challenges faced by entrepreneurs in Brazil and to develop a questionnaire and

validate a scale on the challenges that entrepreneurs face based on the literature.
To achieve the first specific challenge (“Identify in the literature which are the
main challenges faced by entrepreneurs in Brazil”), it was necessary to carry out a
careful analysis of the literature so that a theoretical framework could be created.
Table 3 (called “Synthesis of the conditioning factors of business failure”) exposes
the main causes identified as determinants of business failure according to eight
works in the area. Thus, the first contribution of the present work is of a theoretical
nature through the method of bibliographic review, addressing the challenges that
entrepreneurs face divided into five dimensions, as proposed by Viapiana (2000).
With a well-defined theoretical framework, it was possible to create a question-
naire that addressed the main factors of business failure found in Brazil. A scale was
created where respondents needed to rank a list of challenges based on their
experience as an entrepreneur. The questionnaire was published online to a database
of e-mails of entrepreneurs, and the total number of responses collected was 209.
The validation of the created model was done through the Kaiser-Meyer-Olkin
(KMO) and Bartlett test, which returned a KMO of 0.806 and a significance level of
0.000, showing that there are correlations between the variables (Fávero and Belfiore
2017). Thus, this work presents a relevant methodological contribution by creating a
questionnaire and validating a scale that can be replicated in future works. This step
refers to the conclusion of the second specific objective of this research (“to develop
a questionnaire and validate a scale on the challenges that entrepreneurs face based
on the literature”).
The data collected by the questionnaire was analyzed using descriptive statistics,
exploratory factor analysis, and parametric and non-parametric tests with the help of
SPSS software. The statistical analysis stage was crucial to achieve the general
objective of the work (“to verify if there is a difference between the perception of
men and women regarding the challenges of entrepreneurship”).
Before comparing the responses of men and women, the challenges were allo-
cated within five factors that together explain 70.796% of the variance of the original
data. To allocate the challenges within the factors, the Varimax technique was used,
which reinforces the interpretability of the factors and reduces the number of vari-
ables (Malhotra 2006). Comparative analyses were made based on the five factors
created, namely, financial challenges, marketing management challenges, bureau-
cratic challenges and labor tax, work/personal life challenges, and challenges of
finding and keeping customers.
For Factor 2 (marketing management challenges) and Factor 5 (challenges of
finding and keeping customers), no statistical differences were identified between the
sexes. However, according to Nsengimana (2017), women entrepreneurs in Rwanda
face more challenges than men to seek customers and reach a market for their
products, especially those who live in rural areas and, due to the lack of viable
physical facilities, need to run their business from home. This difference between the
perception of entrepreneurs in Brazil and in Rwanda about the difficulty of finding
and keeping clients can be explained by the fact that 82.68% of the population of
Rwanda still live in rural areas, which makes it difficult to access the market (The
World Bank 2020).
In Factor 1 (financial challenges), a small difference was found between the
perception of men and women, as both stated that they found more difficulty with
financial issues. However, this difference cannot be considered statistically relevant.
This result contrasts with what was identified in the literature. A survey conducted
by BACEN in partnership with SEBRAE (2016) showed that women in Brazil pay
higher interest rates despite the lower default rate of this group. A possible expla-
nation for this difference is the fact that the average value of loans requested by
women is lower than that of men. In addition, women also face more challenges in
raising investments, according to a survey conducted in the United States, as both
professional and nonprofessional investors prefer to invest in male-run businesses
(Brooks et al. 2014). Another factor that impact women when it comes to raising
investments for their companies is the nature of the questions that investors ask
them. For men, it is asked how to win and for women how not to lose (Kanze et al.
2018).
Factor 3 (bureaucratic challenges and labor tax) was the one that presented the
greatest difference between the perception of men and women. Men said they found
it more difficult to deal with bureaucratic and labor issues than women. During the
literature review, no studies were identified that specifically addressed this
difference.
Thus, seeking to understand the difference in the result of the perception of men
and women in relation to the challenges of Factor 3, it was necessary to rescue which
challenges it includes, namely, bureaucracy, labor charges, and tax burden. The
difference between men and women in relation to bureaucracy and tax burden can
be explained, in part, by the profile of the respondents’ companies. Of the
209 respondents to the questionnaire, 106 have a non-formalized company (without
CNPJ) or a MEI, with 58.49% of these companies managed by women (as shown in
Table 11). In this context, managers with companies that fall into these categories
naturally have fewer challenges with tax and bureaucratic issues because they have
simplified regimes compared to other tax regimes available in the country (Simples
Nacional, Presumed Profit and Actual Profit).
To understand the difference in perception of labor charges, we turned to the
literature to compare the differences in the leadership profile of men and women.
Women are commonly associated with community qualities (such as expressiveness,
connection, kindness, and support), while men are associated with action qualities
(such as independence, aggression, autonomy, and courage) (Gupta et al. 2009). In
this context, women entrepreneurs tend to lead interactively, encouraging employee
participation, sharing power and information, and decentralizing activities (Moore
and Buttner 1997). With a more inclusive management model, it is possible that
women face fewer labor burdens related to legal proceedings, as they promote a
more welcoming organizational climate. On the other hand, men’s aggressive
management style can negatively affect the organizational climate, generating pro-
cesses of moral harassment and conflicts.
Factor 4 (work/personal life challenges) showed a big difference between the

perception of men and women. Women reported having more difficulty in reconcil-
ing personal and professional life, while men did not find these issues challenging.
This result was already expected because several studies were found in the literature
that pointed to the difficulty of balancing domestic and professional life as the main
obstacle in the daily lives of entrepreneurs not only in Brazil but in other countries
as well.
The main cause for this difference is the gender stereotypes that place women as
the main responsible for housework and childcare. In Brazil, 59% of female entre-
preneurs are married, and 52% have at least one child (Research Rede Mulher
Empreendedora 2019). In this scenario, women spend, on average, four times
more time on unpaid tasks than their partners, which means that they have less
time for their business. This issue of time use highlights gender inequalities because
the way in which paid and unpaid work hours are allocated is associated with
differences in social roles, which affects women’s access to opportunities and
professional advancement (Fontoura and Araujo 2016).
The first limitation of the research is related to the sample of respondents.
Initially, the research would be restricted to entrepreneurs from Ribeirão Preto
region, and its dissemination would be carried out in person in courses and events
that bring these entrepreneurs together. Due to the COVID-19 pandemic, research
dissemination happened more organically through online platforms (such as email,
text messages, and LinkedIn). Thus, it was not possible to control which city the
respondents are from, which excludes the regionalist character of the research.
The profile of the respondents does not represent the Brazilian population. More
than 80% of the participants declare themselves white, which proves a low diversity
of the sample. In addition, the level of education of the participants was very high,
registering more than 70% with at least a college degree. Despite the personal
experience of each entrepreneur being different and relevant, this information
shows that the research was not able to reach people from very different realities,
which may have limited, in a way, the analyses.
Another relevant limitation was the fact that the research did not identify relevant
differences in the perception between men and women regarding financial chal-
lenges. This result was expected due to the vast literature that proves this difference
not only in Brazil but in other countries as well. Probably with a larger and more
diverse sample, this difference would be statistically relevant.
The survey results showed a surprising question. The difference in the perception
of men and women regarding bureaucratic and labor challenges was greater than the
difference presented for issues of balance between personal and professional life.
This result opens a question for possible future research that analyze, in depth, the
reasons for this expressive difference, since in the literature no works were identified
that addressed this topic.
Finally, with the creation of a questionnaire and a replicable scale, this study
could be reproduced in other regions of the country, seeking to make a comparative
analysis with the data that were found by this research in the southeast region.
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Circular Economy Intersections with SDGs
in the Latin American Region: Bolivia
Paula Cecilia Soto-Rios, Nidhi Nagabhatla, Zusan A. Tejeda Fernandez,

Ala’ Al Dwairi, Chelsi A. McNeill-Jewer, and Brenda Acevedo-Juárez
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1030
Context and Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1030
Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1031
Regional Overview of Circular Economy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1033
P. C. Soto-Rios
Graduate Unit of Chemical Engineering, Faculty of Engineering, Universidad Mayor de San
Andrés, La Paz, Bolivia
Chemical Engineering, Faculty of Engineering, Universidad Mayor de San Andrés, La Paz, Bolivia
N. Nagabhatla (*)
Chemical Engineering, Faculty of Engineering, Universidad Mayor de San Andrés, La Paz, Bolivia
The United Nations University Institute on Comparative Regional Integration Studies
(UNU-CRIS), Brugge, Belgium
Graduate School of Earth, Environment, and Society (SEES), McMaster University, Hamilton, ON,
Canada
e-mail: nnagabhatla@cris.unu.edu
Z. A. Tejeda Fernandez
Graduate Unit of Chemical Engineering, Faculty of Engineering, Universidad Mayor de San
Andrés, La Paz, Bolivia
A. Al Dwairi
Lehrstuhl für Hydrologie und Flussgebietsmanagement, Technische Universität München (TUM),
Munich, Germany
C. A. McNeill-Jewer
Graduate School of Earth, Environment, and Society (SEES), McMaster University, Hamilton, ON,
Canada
e-mail: mcneic3@mcmaster.ca
B. Acevedo-Juárez
Department of Natural and Exact Sciences, University of Guadalajara, Jalisco, Mexico
e-mail: brenda.acevedo@academicos.udg.mx

https://doi.org/10.1007/978-3-031-16017-2_93
1030 P. C. Soto-Rios et al.
Circular Economy in Bolivia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1037

Stakes and Stakeholders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1037
International Cooperation and National Coalitions for Circularity-Related Interventions
in Bolivia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1039
Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1048
Concluding Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1052
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1054
Abstract
Circular economy (CE) in Latin America and the Caribbean is gaining visibility
as a regional approach to developing sustainable economies is showcasing
support for the Agenda 2030 as well as the Sustainable Development Goals
(SDGs) and related targets, as many countries are either implementing or plan-
ning new and innovative interventions, policies, and programs with nexus think-
ing and integrated objectives for use and reuse of resources. In this synthesis, a
multi-scale approach is adopted to explain the barriers and support structures to
CE adoption in the region based on the review and analysis of CE-focused
literature, projects, and programs in Latin America, particularly in Bolivia. The
overall contribution is to provide a comprehensive overview of the CE regional
landscape as well as to map gaps and needs within existing CE practices to ensure
that future regional and national resource use policies can help support the
integration and implementation of the sustainability framework (SDGs) for the
region. The chapter reflects how industrial and research advances by public,
private, and nongovernmental organization interventions and financing agencies
in different sociocultural settings in the region and in Bolivia are contributing
toward comprehensive strategies for integration of CE practices to ensure that
future regional and national resource use policies align to the implementation of
the SDGs related to resource use.
Keywords
Sustainability · Circular economy · Efficiency
Introduction
Context and Background
Circular economy (CE) is evolving globally in tandem with the sustainability agenda
as the resource use efficiency narrative is deepening. The paradigm shifts in the
resource optimization systems and how infrastructural innovations in planning, and
designing, are gradually moving away from linear towards circularity and the CE
trends in the region are notable. These pathways closely align with the agenda
outlined in SDGs, in particular, SDG 12 toward responsible production and con-
sumption. At the regional level, in Latin America and the Caribbean (LAC), the CE
Circular Economy Intersections with SDGs in the Latin American Region: Bolivia 1031
mandate is emerging at a fair level to support practitioners and policymaking,

advocacy, science, and business communities to examine gaps and needs toward
integration of circularity into their respective sectoral mandates. The chapter focuses
on such trends in the region compiled through analyses of >100 public and private
interventions during the past 10 years using meta-analysis, review of projects, and
programs, information and data, and existing policy instruments. The objective is to
present an assessment of how policymaking, advocacy, the science community, and
businesses are adopting CE and to assess critical gaps and crucial needs towards
better operational efficiency aligning with targets and indicators outlined in SDG 12.
This study reflects as to how circularity roadmaps and strategies in the region/
countries highlight the context-specific narratives in the implementation of SDGs
embedded or closely with the CE framework. And in the conclusion, highlight the
gaps and needs such as the lack of information, limited knowledge, or/and various
interpretations as key barriers to its incorporation.
In the LAC region, CE norms in the reuse of waste and circulation of goods and
services are anchored on the concept of “nexus” to explain functionality
interlinkages and connectivity in economic, environmental, and social domains.
And, this refers to life cycle assessment (LCA) – a well-established technique that
considers all the inputs and outputs of a product or process to assess its environ-
mental impacts (McGrane et al. 2019). Also, these frameworks are gaining visibility
in the waste and wastewater sector, while other sectors like food and energy are
gearing up to align their value chains with the guiding principles of the CE agenda.
However, in the region, many services, including sanitation and wastewater treat-
ment services are planned in a linear way (World Bank Group 2019). During the past
few years, the regional coalition approach to developing sustainable economies is
showcasing support for the Agenda 2030 as well as the related targets, as many
countries are either implementing or planning new and innovative interventions,
policies, and programs with nexus thinking and integrated objectives for use and
reuse of resources. In the following section of the chapter, a multi-scale approach is
employed to explain the barriers and support structures to CE adoption in the region
derived from focused literature, projects, and programs, particularly for Bolivia. An
in-depth examination of how various resource use sectors such as solid waste
management and water and wastewater management are directly involved with the
CE approach based on their experience of the “recycle-reuse” nexus provides the
empirical narrative to the overarching objective of this synthesis.
Challenges
Is it crucial that the multifaceted SDG agenda reaches all sectors and stakeholders,
broad and geographically diverse, and for so, scientific discovery is sufficiently
integrated, and for such, how important is boosting the dialogue between science
and society to expand opportunities for SDG implementation? Yes, it is very crucial.
Simultaneously, the income potential for grassroots stakeholders and guiding frame-
works for practitioners and policymakers to harmonize and prioritize overlapping
and complementing objectives in value chains that operate in the current production-
consumption pathways are equally significant. As natural resources are becoming
scarce and climate change impacts are increasing, it is increasingly argued that
closing “resource-inefficiency” loops and deploying innovative options will become
increasingly important to achieve sustainability targets (Stahel 2016). For the LAC
region, CE is in a good position to address that need, but taking it from a theoretical
or conceptual agenda to an operational framework has its own set of challenges
related to technical, human, and financial capacities and competencies.
At the global scale, the Ellen MacArthur Foundation elucidates that the application
of CE strategies in five key sectors (steel, cement, plastic, food, and aluminum) will
reduce global emissions from the production of these materials to 3.7 billion tons by
2050 (Ellen MacArthur Foundation 2019b). Several national governments, many
businesses, and institutions worldwide are adapting CE to their context, specifically
in the European region (Korhonen et al. 2018). The European Commission decided to
shift to an economic system of resource productivity based on the recovery and reuse
of resources and managing (decreasing) the consumption of raw materials, reduction
in water use, and improving energy efficiency (Guerra-Rodríguez et al. 2020). Several
studies reflect on that shift as an example for other nations and communities to reduce
greenhouse gas emissions (Stahel 2016) and adopt frameworks that bear the potential
to address sectoral challenges and to develop closed-loop business models in the
industrial sector as well as academic research programs.
In early 2020, the European Union introduced the mechanism for “Just Transi-
tion” within the framework of climate change and the clean energy agenda with the
mandate to guarantee solidarity and equity to prevent measures aiming at climate
change mitigation from disproportionately affecting the most vulnerable populations
and citizens. This transition process pledged support to political procedures and
practices and regions, industries, workers, and communities affected by environ-
mental mitigation measures and recognized their rights to resources; it also offered
solutions to resolve “resource use” conflicts through participatory processes
(European Commission, 2000). Projecting CE as one of the mechanisms to initiate
the transition pathways is the key point of “Just Transition.” While this offers a
guiding framework for other regions, the economic and cultural differences between
different regions/geographies act as important variables and often as a barrier to
operationalizing and implementing the circularity vision.
Experts reiterate that perception at the individual and stakeholder level, factors such
as gender, educational level, socioeconomic status, and sectoral association influence
the understanding and attitude towards resource use, reuse, recycling, and sustainabil-
ity (Dieleman and Martínez-Rodríguez 2019; Balbuena Vázquez and López López
2020) and thereby create settings to support or undermine the adoption of the CE
framework. Take, for instance, the set of challenges noted specifically in Mexico in the
tourism sector, which involves the rapid expansion of tourism development over the
past two decades mixed with inefficient resource use and waste management practices,
and corruption among stakeholders while managing the complexity of concerns
associated with the vulnerable karst aquifer in Quintana Roo, which is widely linked
to a lack of wastewater treatment facilities (Baker et al. 2020).
Another key dimension of the CE vision entails building solutions on key

principles such as smartly managing waste, regeneration of natural systems, and
multi-R concept, (meaning “zero waste” through “Rethink, Redesign, Remanufac-
ture, Repair, Redistribute, Reduce, Reuse, Recycle, Recover energy” and designing a
solution (Comisión Europea 2020). A comprehensive literature review approach
shows that in this region, particularly in Bolivia, the current situation on CE adoption
is low, and operational barriers are strong, while support systems are either limited or
still in the juvenile stage, and therefore, international cooperation is a strategy to
support appropriate waste collection and disposal adopting the circularity norms
(Ferronato et al. 2022). At the regional scale, a wide-ranging summary of funding
and investment trends of the CE along helps to understand the gaps and needs and
patterns, trends, opportunities, and barriers of CE as well as sectoral interlinkages.
These dimensions are crucial to supporting regional and national policies toward
integration and implementation of the CE for Sustainable Development Goals
(SDGs) implementation in the region, in particular SDG 6 (water), SDG 8 (economic
growth), SDG 9 (infrastructure and innovation), SDG 11 (urban management), SDG
12 (consumption and production), SDG 13 (climate change), and SDG 16 (institu-
tions and policies).
The below two sections deconstruct and explain some of the emerging CE trends
in the LAC region and for Bolivia in detail.
Regional Overview of Circular Economy
Latin American region is starting to understand the complex relationship between

sustainable development and economic growth, and in that context, CE promises
longevity of the environment and the economy in tandem (Dieleman and Martínez-
Rodríguez 2019). Often mentioned as an economical alternative to waste manage-
ment in the emerging literature, still circularity component is rather under-expressed
in the conventional notions of waste management, recycling, and reuse (Betancourt
Morales and Zartha Sossa 2020). In past years, >80 public initiatives have been
undertaken to approach sustainable development employing the set of principles
central to the CE approach (Cerna et al. 2019); selected projects and programs are
noted in Table 1.
Looking at the national waste management resource use policies in Latin America
in the past years, nine policies in Colombia and six in Brazil relate to CE and
integrated waste management. In Colombia, the National Circular Economy Strat-
egy (2019) initiated the transition from a linear to CE, pointing to recycling usable
solid waste instead of throwing/burning it (Benson and Monciardini 2018). How-
ever, it is largely agreed that transformation to CE-ready sustainability will require
intense regional and international cooperation (the mandate relates to SDG 17), and
the Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) is partnering
with some states in the region, the private sector, and civil society to identify
innovative business models in the recycling sector and influence consumer habits.
This partnership in Colombia is aiming at the integration of recyclers who collect
Table 1 Selected circular economy projects/programs in the region to reflect on many dimensions
outlined in the Sustainable Development Goals
Country Year Sectoral and SDG focus Source
Brazil 2008 Equipment recycling, reverse (Ellen Macarthur
logistics Foundation 2017)
SDGs 8, 9, and 12
Mexico 2007 Wastewater reuse (World Bank Group
SDG 6 2019)
Brazil 2008 Waste diversion, electronics (Ellen Macarthur
sector Foundation 2019a)
SDG 12
Bolivia 2017 Solid waste, e-waste (IDB 2017)
SDGs 9, 11, and 12
Brazil 2016 Circular economy (IDB 2016a)
SDG 12
Brazil 2016 Water and waste recycle (IDB 2016b)
SDG 6
Colombia, Jamaica, 2020 International waters, (GEF 2020)
Panama chemicals, and waste
SDGs 6 and 12
Latin America and 2021 Circular economy, sustainable (UNEP 2021; PACE
the Caribbean (LAC) consumption and production 2021)
SDGs 12, 7, and 8
Latin America and 2020 Urban development and (IDB 2020a)
the Caribbean (LAC) housing, sustainable cities
SDGs 9 and 11
The Pacific Alliance 2021 Water and sanitation, solid (IDB 2021)
(PA), namely Chile waste
and Peru SDGs 6 and 12
Paraguay 2020 Water and sanitation, solid (IDB 2020b)
waste
SDGs 12, 9, and 6
Latin America and 2020 STI policy and institutions (IDB 2020c)
the Caribbean (LAC) SDGs 9, 10, 11, 12, and 17
Dominican Republic 2020 Sustainable tourism (IDB 2020d)
SDGs 11, 12, 8, and 9
Peru 2020 Water and sanitation, solid (IDB 2020e)
waste, food recovery
SDGs 6 and 12
Latin America and 2019 Water and sanitation, integral (IDB 2019)
the Caribbean (LAC) management of water
resources
SDGs 6, 16, and 17
Colombia, Peru 2019 Waste recycle, e-waste (SECO 2019)
SDG 12
Brazil and Argentina 2020 Agricultural sciences and (CORDIS 2020)
fisheries
SDGs 1, 2, 5, and 6
(continued)
Table 1 (continued)
Country Year Sectoral and SDG focus Source
Colombia, Mexico 2021 History and archaeology, (CORDIS 2021)
sustainable development,
circular economy
SDGs 12, 17, and 9
Chile and Peru 2021 Water and sanitation, solid (IDB 2021)
waste
SDGs 6 and 12
Bolivia 2019–2022 Circular economy, solid (Helvetas; Swisscontact
waste and Fundación
SDG 12 Aguatuya 2020)
Bolivia 2019–2024 Circular economy (Swisscontact 2019)
SDG 12
usable materials in Bogotá and Cúcuta into the CE value chains and supporting
models for formalization and business management with inclusive participation of
local scale stakeholders. The pilot programs seek to incorporate into the formal
economic circuits of waste recycling a total of 1500 recyclers, of which at least 30%
are women (Hirsch 2020). The focus on the gender component of this intervention is
a significant point toward an inclusive CE transition. Although the current situation
regarding policy formulation, implementation challenges, and opportunities for CE
at the sectoral level for the countries in the region may not look overly promising,
understanding how CE framings and operational paradigms are implemented in
LAC is crucial knowledge (UNEP 2013; Schröder et al. 2020).
The Ministry of Environment and Sustainable Development of Colombia devel-
oped the National Circular Economy Strategy in 2018 (Gobierno de Colombia 2019)
and an implementation plan along with the agenda for economic development built
on optimizing production efficiency and consumption of materials, including the
continuous valorization of resources, closing the cycles of the materials, and gener-
ating new models of business and industrial symbioses, to reduce the carbon and
water footprint in production and consumption pathways. In 2018, towards the
national goal of developing the productivity of Uruguay, the Ministry of Industry,
Energy and Mining; Ministry of Housing, Land Management and Environment; and
Ministry of Livestock, Agriculture, and Fisheries introduced the “Program of Cir-
cular Opportunities” aiming at the promotion of entrepreneurship, medium- and
small-scale businesses and networks, and business associations, to promote the
implementation of projects with a CE approach (ANDE&BIOVALOR 2018).
In Ecuador, the Ministry of Foreign Trade and Investments in their initiative
designed the eco-sustainable brand “Circular Economy of Ecuador” in 2018.
Obtaining this seal/stamp is free and is a great opportunity for producers and
exporters to access new markets with the demand for green products, and the
analysis by Burneo et al. (Burneo et al. 2019) outlines the application of this
initiative for recycling urban waste. In 2019, the Ministry of Production, Foreign
Trade, Investments and Fishing (MPCEIP), Vice Presidency of the Republic, the
Council of Government of the Regime Galapagos Special, and the Ministry of the
Environment established the Pact for the CE that focuses on the analysis of products
that are easily recoverable and generate usable waste for its industrialization, the
promotion of clean production, and the research and development of technologies
with low environmental impacts. Furthermore, these efforts included enhancing
citizenship education, sustainable business, the progressive replacement of single-
use plastics, and developing social, environmental, and economic indicators to
measure progress towards the outlined goals. The same year, the European Union
and the Ministry of Environment promoted the White Paper on Circular Economy
for Ecuador, which determines guidelines for public policies that encourage the
development of circular economy projects and more circular economies (CIEC
2021) (Gobierno del Ecuador 2019).
In Chile, the CE vision is still under development; however, the country is
beginning to evolve the operational concept as it is “well-positioned for sustainable
development based on various macroeconomic indicators” (Sepulveda et al. 2020).
In 2019, the Corporation for the Promotion of Production with the Ministry of
Economy in Chile started the program “Join the Economy Circular” to stimulate
the development of innovative solutions and boost productivity and competitive
challenge for businesses at the national scale, in conjunction with collaborating
entities to address the circularity agenda. The Chilean Ministry of Environment
created a “Circular Economy Office” in 2018, and in 2021 developed a strategy to
introduce CE implementation by 2040 titled “National Roadmap to the Circular
Economy for a Chile Without Garbage 2020-2040” (Borrador Hoja de Ruta nacional
a la Economía Circular para un Chile circular sin residuos 2020–204000 ) (Gobierno
de Chile 2020) to assist with that agenda’s implementation. The country is looking to
strengthen the regulation of plastic waste to reduce its linear dependence on waste
systems and to adopt measures to deal with plastic waste, close the loops, and
increase access to knowledge and information sharing on sustainable practices
(Cornejo-Martinez 2020). Policies that stimulate economic development, reduce
the disposal of organic wastes, lower poverty rates, enhance schooling, and facilitate
health and well-being coincide with a recent interest to incorporate sustainable
development and CE concepts into a sustainable future for Chile. The 2020–2040
Roadmap is a comprehensive, detailed plan for the implementation of efficient
resource use, acknowledgment of interlinkages and nexus, and promotion of CE
and sustainable development practices while aiming to reduce waste and expand
markets. It includes 32 initiatives and many more action points within four catego-
ries of innovation, culture, regulation (of waste), and development in territories with
a wide range of short-, medium-, and long-term goals that include but are not limited
to developing markets and valuation, promoting CE frameworks in education and
culture, and identifying barriers to change (Gobierno de Chile 2020).
Different interventions in the region are considering important factors that are
necessary to accelerate and expand circular practices in the economy, such as the
introduction of changes in product design, supply chains, and industrial production
processes, as well as the way products are used and discarded at the end of their
useful lives (WBCSD 2019). Future urban development requires demand-driven
1.Promong Eco-design and innovaon in the region
1.Advocang for the “reduce, reuse, repair, revalue, recover and

recycle” approach.
1.Fostering long-term economic producvity, green jobs, and

ecosystems regeneraon
1.Supporng access to financing by the public and private sector, with

special emphasis on small and medium enterprises.
Fig. 1 Four key points of the action plan involves LAC Circular Economy Coalition (Pacecircular
2021)
approaches and a focus on resource recovery under CE principles (waste does not
exist; products are designed and optimized for a cycle of disassembly and reuse).
Hence, future policy, institutional, and regulatory frameworks to promote the para-
digm shift must take note of best practices and ongoing trends considering the SDG
agenda.
LAC Circular Economy was officially launched in 2021 to provide science-based
knowledge on the opportunities and co-benefits of a circular economy approach in
the region. This coalition aims to foster an imperative, resilient, sustainable, and
inclusive economic recovery by implementing best practices through collaborative
work between governments, companies, and society. It intends to showcase trends in
the circular economy and the distribution of the CE approach at the regional scale
towards the advancement and investment sectors. Its action plan involves four key
points, as shown in Fig. 1 (Pacecircular 2021).
Circular Economy in Bolivia
Stakes and Stakeholders
The first step toward the application of resource use to promote sustainable con-
sumption and production patterns in Bolivia is noted in the Cleaner Production
(CP) initiative promoted by the Bolivian National Chamber of Industry (CNI,
Spanish acronym – Cámara Nacional de Industrias) through the Center of Sustain-
able Technologies (CPTS, Spanish acronym – Promoción de Tecnologías
Sostenibles) (CNI 2019). Cleaner production is a dynamic concept in which new
procedures and technologies constantly emerge, introducing methods and practices
to prevent damage to the environment. A broad range of cleaner production initia-
tives contribute to sustainable development not only through the efficient manage-
ment of resources and energy, but also through the development of new and smart
technologies, new ways of assisting policy development, and organizing supply
chains, sectors, and individual companies (Giannetti et al. 2020). This framework
could be applied to the processes used in any industry, to the products themselves,
and to various services provided to society to achieve SDG 12, SDG 9, and SDG
8. For production processes, CP results from one or a combination of several
measures such as conserving raw materials, water, and energy; eliminating toxic
and dangerous raw materials; and reducing the quantity and toxicity of all emissions
and wastes at the source during the production process. For products, it aims to
reduce the environmental, health, and safety impacts of products over their entire life
cycles, from raw material extraction through manufacturing and use, to the “ulti-
mate” disposal of the product. For services, it implies “incorporating environmental
concerns into designing and delivering services” (Nilson et al. 2007). In Bolivia,
during the past 20 years, CPTS has assisted around 150 enterprises, of which close to
50% (69 enterprises) had implemented CP practices to support the CE agenda. The
best practices were cataloged in a monograph – “Productive efficient and Environ-
mental care; 18 years of production experience and cleaner technologies” (CNI
2019; CPTS 2007a).
It is anticipated that formalized CE systems and policies can provide the needed
structure for the current unorganized system. For example, as Fig. 2 shows, in 2011,
Bolivia generated about >4000 tons per day of solid waste in the urban areas;
however, only 4% was recovered to be reused. From the solid waste generated
nationwide, the organic fraction represented 55.2%, the recyclable fraction (paper,
plastic, and glass) 22.1%, and 22.7% was considered non-usable waste. This means
that approximately 75% of the waste was reusable in some way (MMAYA 2012). In
2016, the Municipal Solid Waste (MSW) generation was 2219,052 for
10,724,705 kg (MMAyA 2016). In addition, the global e-waste monitors in Bolivia
for 2017 showed generation of 3.3 kg of waste electrical and electronic equipment
per person which is equivalent to 36,400 tons per year (Baldé 2017). This informa-
tion prompted the country to develop a long-term database on multiple aspects such
as individual recyclers or “informal recyclers,” who have made recycling their
principal economic income because of the high level of unemployment.
Fig. 2 (a) Solid waste generated in Bolivia; (b) Percentage of usable solid waste recovered.
(Adapted from data MMAyA (2011))
According to the Inter-American Development Bank, large numbers of recyclers

conduct recycling activities under low sanitary conditions as occupational security
norms are lacking, and often, they may be exposed to high labor instability without
any kind of social support system – in most instances, their work arrangement with
the municipal solid waste system is on an informal basis. The role of these stake-
holders is significant; however, work conditions are poor, and they constantly
depend on a mediator who defines the mechanisms of pay and price for the usable
waste (IDB 2010). Mostly, only international institutions are the pioneers to establish
a CE system due to their experience and the operational models they can influence/
integrate new systems in the value chains. In this context, national enterprises are
still on the way to capacity building – the progress noted in Table 2 reflects on the
past and ongoing efforts to educate small- and medium-scale institutions and
enterprises to transition to a CE system. The progress related to CE shown in
Fig. 3 captures how, since 1998, interventions focusing on resource nexus and
efficient resources have served as examples and references for regional/national
scale sustainability paradigms.
The World Bank Report (2020), “From Waste to Resources: Shifting Paradigms
for Smarter Wastewater Interventions in Latin America and the Caribbean”
(Rodriguez et al. 2020), reflects on the “Wastewater: From Waste to Resource”
initiative implemented in the region stating the regional challenges and suggesting
taking note of best practices to help promote a paradigm shift towards a circular
economy. In the context of Bolivia, the report points to the partnerships and
agreements between stakeholders from different sectors towards the “Joint Commis-
sion for the Reuse of Water for Irrigation in Bolivia,” wherein farmers and water
supply agencies, directly or through agricultural departments and water user associ-
ations, among others, are tackling the issues of managing waste and attaining a
circular zero waste agenda. Such initiatives are also relevant to SDG 16 and SDG
17 on strengthening partnerships, institutions, and collaborations for the collective
goal of sustainable development.
International Cooperation and National Coalitions for

Circularity-Related Interventions in Bolivia
In Bolivia, the cooperation for projects/programs on sustainable resource and envi-

ronmental focus was initiated, mainly by the United State Agency International
Development (USAID), in the 1980s with the approval of the “Sustainable Forest
Management and Support Project (BELFOR)” in August 1993, after a long period of
negotiations and alliance building. The first activity, the published study “The
environment and natural resource situation: a field study” in 1980 by Freeman,
was conducted by a multidisciplinary team specializing in “green issues.” This
document was consulted by USAID to initiate its programs for a larger regional
agenda. In 1992, the environment/natural resource was one of the strategic objec-
tives of the Agency, and in 1996, they started to promote the “Clean Production and
Pollution Prevention Program (EP3), and later, in 1998, based on the EP3 program
Table 2 Overview of circularity-focused initiatives/programs in Bolivia

Institution/industry (year)
Period Geographic focus Objective/references/weblink
Center for Sustainable La Paz city, with the active Program to assist technically
Technologies (CPTS; Spanish field overall Bolivia to the manufacturing industry,
acronym – Centro de doing CP diagnoses to
Tecnologías Sostenibles) improve the production
1998 process, and develop
sustainable technologies, both
focused on energy-efficient
and pollution prevention
(CPTS 2007a, b)
(Luken et al. 2016)
(Van Berkel 2010)
Industrial Waste Bag (BRI; Located in La Paz city, with Promotion to commercialize or
Spanish acronym – Bolsa de an action field just in La Paz exchange usable solid waste
Residuos Industriales) and El Alto cities generated by the industrial
2001–2011 sector among industries
(CNI 2019)
Recycling Foundation La Paz, Cochabamba and The program worked with
(FUNDARE; Spanish Santa Cruz de la Sierra cities educative units a long of the
acronym – Fundación para el urban and rural areas. The
Reciclaje) main objectives were:
2008 (i) Promote the recycling of
domestic solid waste
(ii) Improve the life quality of
the recyclers
(iii) Environmental education
is orientated to the community
in general
(Swisscontact 2017)
(MMAyA 2016)
(Melgarejo Gomez 2010)
Ecovecindarios La Paz, Cochabamba, and Focus on recycling domestic
2009–2016 Santa Cruz de la Sierra cities solid waste with the
participation of the community
with the separation in origin; in
this case, the recyclers
(organized by areas)
recollected “door to door” the
usable wastes
(Swisscontact 2017)
(Nabholz 2010)
Business Intermediation of Cochabamba The main goal is to set up a
Recoverable Waste (CIERVA; space of connection between
Spanish acronym – the generator and claimants of
Intermediación Empresarial usable waste
de Residuos Valorizables) (MMAyA 2016)
2014
Green Kiosk (Kiosco Verde) La Paz city Called before BRI
2016 The objective is to reduce the
environmental impact quite
(continued)
Table 2 (continued)
causes by industrial solid
waste. It is possible through the
support of intermediation of
efficient, responsible, and
integral management. Called
before BRI
(Kiosco Verde 2017)
National Diagnosis of Green La Paz, El Alto, The project states the current
Businesses in Bolivia Cochabamba, and Santa situation of green businesses in
2019–2021 Cruz recycling water and energy in
Bolivia within the framework
of the Markets for Recycling. It
identifies business
characteristics, service
provision, and production
processes in addition to the
identification of needs and
opportunities under a circular
economy approach
(Swisscontact 2021a)
LaPazRecicla Project La Paz LaPazRecicla set an approach
2019–2023 to solid waste management in
the Municipality of La Paz,
Bolivia, based on new
technologies to promote
CE. The strategy is based on
the development of four lines
of action: (1) selection of
construction and demolition
waste in terms of its
commercialization and reuse,
(2) the selection and
differentiation of recyclable
waste that allows the waste
collection to be more efficient
and spacious, (3) management
of nonrecyclable waste
selected for use as a substitute
fuel for fossil fuels, and (4) the
strengthening of the three
previous lines in the dynamics
of the circular economy,
through communication and
awareness for the general
population, and especially for
the youngest. To these lines of
action is added a transversal
line of work to strengthen
knowledge and technology
(continued)
Table 2 (continued)
transfer at different levels,
from scientific to management
and technical-operational
(COOPI 2021)
MADERA S.A. The central office is in La Dedicated to the recycling of
2006 Paz city, with an active field postconsumer materials (PET
overall in Bolivia containers)
(Fundación PAP 2010)
(MADEPA 2021)
(MMAyA/VAPSB/DGGIRS
2011)
EMPACAR S.A. The central office is in Santa Dedicated to the recycling of
2010 Cruz de la Sierra city, with post-consumption waste (PET
an active field overall in containers) that allows more
Bolivia than 90% of this material to be
reinserted into the production
chain and offers a new
opportunity in the life cycle.
“PET Bottle Collection
Program” aims to create
awareness by encouraging
environmental education,
involving educational units,
sports centers, institutions,
condominiums, and the general
population in the circular
economy. EMPACAR is the
only Bolivian industry that
produces preforms of PET
bottles, using 30% of recycled
material, which are
commercialized to EMBOL
S.A., which means the final
product meets all requirements
for food packing (MMAyA/
VAPSB/DGGIRS 2011)
MARECBOL S.A Central office La Paz city Dedicated to the recycling of
2013 postconsumer materials (PET
containers)
(MMAyA/VAPSB/DGGIRS
2011)
(MARECBOL 2021)
MAMUT Central office Cochabamba An enterprise that uses post-
2013 city, with active field overall consumption waste, such as
Bolivia rubber tires, to produce
sporting floors
It is an industry of triple
impact, engaged with the
environment, society, and the
(continued)
Table 2 (continued)
economy. It was awarded
many national and
international prizes for its
commitment; one of the most
important rewards was “The
Latin American Green
Awards” in the category of
Solid Waste Management as a
result of 30,000 tires recycled
per year (Mamut 2016) and
(IBCE 2019)
PAPELBON Central office La Paz city Enterprise implemented by the
2014 Bolivian Central Government
to recycle paper (SEDEM
2021b)
ENVIBOL Central office Chuquisaca Enterprises implemented by
2017 city the Bolivian Central
Government to recycle glass
(SEDEM 2021b)
“World Without Waste” Multinational enterprise EMBOL and EMPACAR are
2019 part of the project “World
Without Waste” through a
vision that focuses on the
whole life cycle of the bottle,
from how it is designed,
produced bottles, and can, to
how it is recycled and reused.
The main goal is “to recollect
and recycle,” to the 2030 year,
equivalent to 100% of packing
sold in the market. The
Company promotes three
actions: (i) to make easy the
reinsertion of the bottle to the
circuit of the circular economy,
(ii) offer more possibilities to
transform it to a new object,
and (iii) facilitate the essential
work of recyclers (EMPACAR
2019; EMBOL 2019)
Regulations
Regulation for the National level This regulation has permitted
Manufacturing Sector many industries to develop
(RASIM) PML practices as an alternative
2002 to reduce water consumption,
energy, and raw material and
supplies (MDPyEP 2002)
(continued)
Table 2 (continued)
The Bolivian Institute of National level It was formed committee
Standardization and Quality 69,019 to work on the
2012 standards referred to as “Waste
electrical and/or electronic
equipment - Handling waste
electrical and/or electronic
equipment.” Calling for the
management of waste and
electronics establishes the
measures that must be adopted
for the environmentally safe
management of waste from
electrical and electrical
equipment to reduce/prevent
the negative impacts that this
waste may cause to health and
the environment (IBNORCA
2012)
Law 755; Integrate Solid National level This was the first legal
Waste Management (ISWM instrument specifically to
Law) in 2015 establish the integral
2015 management of solid waste
agenda in the country. It
represents a paradigm shift
from a focus on “cleaning” and
disposal of waste to managing
resources and includes relevant
dimensions and actors. The
most relevant aspects of the
law on sustainability are: (i) the
plan to cease the operation of
all open landfills in the country
until 2020; (ii) the recognition
of waste recyclers’ activities;
(iii) the introduction of
Extended Producer
Responsibility (EPR)
obligations, an approach that
extends a producer’s operative
or financial responsibility
beyond the consumption stage;
and (iv) the introduction of
“authorized operators”
schemes (Lozano Lazo and
Gasparatos 2019; MMAyA
2016)
Fig. 3 Overview of direct and indirect circular economies focused on Bolivia
experience, the “Centro de Promoción de Tecnologías Sostenibles” (CPTS) was

established with financial support from the USAID, the World Bank, Sweden, and
Denmark (Catterson 2000).
The Denmark Cooperation in Bolivia started in the 1970s and its operations were
interrupted due to a military strike in 1980; however, it restarted in 1994. The
cooperation established the “Politic of Association (2014-2018)” with an overall
objective to “contribute to the economic, social, and environmentally sustainable
development of Bolivia and focused on poverty and inequality reduction in the frame
of ‘respect, protection, and defense of human rights.” The strategic objectives were
to promote the sustainable management of resource use; interventions to prevent and
adapt to climate change targets to improve energy efficiency and renewable energy
use; and harness knowledge (from Denmark) to use and increase state investments in
clean production and sustainable forest management within international coopera-
tion and support programs (DANIDA 2013). Bolivia is also among the focal
countries of the Swiss Agency for Development and Cooperation, as an eligible
country for complementary actions of the Secretary of State to Economic Affairs –
SECO (Spanish Acronym). The Swiss support has focused on poverty reduction,
human rights, democracy, governance, peace, and the conservation of natural
resources. For instance, the Cooperation Strategic to Bolivia 2018–2021 agenda
concerning Climate Change and Environment, in the frame of urban resilience,
concentrated on sewage water management and solid waste (COSUDE 2018).
Projects related to water and sanitation (including solid waste management)
among others are coordinated via the Group of Partners for the Development of
Bolivia – GRuS (Spanish acronym), which started services with coordination
conformed by bilateral, intergovernmental, and multilateral organisms with a pres-
ence in the country and the agenda to focus on integrated solutions for managing the
resource nexus with the strategic objective to support the implementation of new
national and international development priorities such as the 2025 Patriotic Agenda:
the 2016–2020 Economic and Social Development Plan (PDES), the 2030 Agenda
for transformation. In this context, also consider the SDGs. In addition to the
agreements of the Paris Declaration and the Accra Plan of Action instruments that
support the harmonization and alignment of international aid to the country’s
priorities, GRuS serves as an instrumental toward the leadership of the Bolivian
Government in the coordination and harmonization of international cooperation,
improving its effectiveness and alignment, and to fulfill the objectives of the
Economic and Social Development Plan (PDES). Since its establishment in 2006,
22 cooperating members have collaborated to progressively strengthen the coordi-
nation with the government and their cooperation with Bolivian communities (GruS
2017). Understanding this and such coalitions remain pertinent towards stabilizing
and streamlining the circularity agenda in this state and the region as well as effective
SDG implementation.
Furthermore, the Japan International Cooperation Agency supports channels via
technical assistance in composting. And, the Inter-American Development Bank
(IDB) on infrastructure for solid waste management with an emphasis on transfor-
mation and final disposal (focusing on Katari Basin and Riberalta), and technical
assistance through the management units of the Ministry of Environment and Water.
Another regional agency, the Development Bank of Latin America, has provided
resources for pre-investment studies and investments in infrastructural interventions
in waste management. Also, the Sweden Development Cooperation – SIDA
launched the project “zero waste in Bolivia” (2019–2022), executed by HELVETAS
Swiss Inter-cooperation, to generate models of integrated solid waste management
emphasizing the use of the waste building on the circularity approach. To achieve
this goal, four specific objectives were established, i.e., to improve households’
access to good quality and continued services of solid waste management via
increased waste collection coverage and more efficient transportation; to increase
stakeholders’ reuse of waste in different kinds of contexts and city sizes, by
establishing reuse systems for organic and recyclable types of waste and support
for developing specific norms; to strengthen the solid waste sector at national and
local levels applying cooperative institutional arrangements and developing institu-
tional capacities; and to increase participation of households and institutions in
integrated solid waste management activities by developing capacities, sharing and
learning from experiences and raising awareness at different levels. The project
involves key actors and integrated solid waste management models, stressing use
under a CE approach, in three contexts: major urban centers (La Paz); the interme-
diate city (Tarija); and joint solutions for intermediate and small cities in Chaco
Cruceño (Camiri, Boyuibe, Cuevo, Lagunillas, and Gutiérrez) (Openaid 2021).
HELVETAS support for national and local authorities to improve waste manage-
ment and sewerage systems via the project “Comprehensive solutions in solid waste
management and wastewater treatment for growing cities (2019–2023)” is an
example reflecting on boosting environmental education, such as teaching children
in school to recycle (Helvetas 2021). In the last 20 years, SWISSCONTACT
developed several projects in Bolivia related to the integral management of solid

waste such as “Waste Management in Health Establishments (2001-2008)”; poly-
ethylene terephthalate (PET) bottle recycling (2005–2008); eco-neighborhoods,
Phase I–III (2009–2018); microenterprises for waste management in rural areas
(2011–2014); biogas (2012–2015); and Markets for Recycling (2019–2022)
(Swisscontact 2021a, b). For the implementation of the “zero waste in Bolivia”
vision, collaborative strategy via an agreement with two agencies (Swiss Foundation
for Technical Development and Aguatuya) was adopted to enhance short- and
medium-term impacts. Overall, the thematic and temporal scope of these interven-
tions is quite spread across the waste management spectrum and can act as a good
base frame for the creation of a harmonized CE agenda on the national scale. Apart
from these projects by international agencies, the role of national-scale agencies such
as Aguatuya, a nonprofit organization in Bolivia, that operates actively for 15 years
in the water and basic sanitation sector via participatory, innovative, and sustainable
solutions with a dual goal of human well-being and environmental protection
(Aguatuya 2016) is considerable.
Related specifically to solid waste management, several actors and agencies such
as the Catalan Agency for Development Cooperation (CADC) provide support at the
national level through the (Network) platform. For instance, the Italian Cooperation,
through the NGO COOPI, supported the Municipal Government of La Paz in the use
(collection and transformation) of construction and demolition waste. The project
“LaPazRecicla” was funded by the Italian Agency for Development Cooperation
(AICS) – implemented in collaboration with the Municipality of La Paz, the Engi-
neering Faculty (UMSA), and the Department of Theoretical and Applied Sciences
of the University of Insubria, Varese, focused on an integrated approach to waste
management in the municipality of La Paz, Bolivia, by employing new technologies
to promote the circular economy. This project aimed to introduce innovative waste
recycling systems, conduct awareness campaigns, reinforce the technical skills of the
operators involved in waste collection as well as sorting, and support scientific
research (COOPI 2020).
It can be stated that cooperation among interdisciplinary actors and financial
support can give the chance of improvement, suggesting international donors should
continue in this direction; nevertheless, political instability, lack of local technical
knowledge, and the absence of planning for a long-term period make these actions
unfit for tangible change (Ferronato et al. 2022). Other initiative by Mayor de San
Simón University in Cochabamba city – a project “Circular business model” – aims
to identify the sectors directly involved in its processes and benefit mapping of CE
implementation with research laboratories at the University and promotes circularity
thinking while enhancing the role of women, endorsing adequate management of
waste from research activities, generation of knowledge, and development of activ-
ities within the framework (Campero 2018). The review of academic literature
during the past few years as noted in Table 3 reflects the advances in CE research
for Bolivia with agencies, noting that the central focus is waste management in urban
landscapes, technological advancements for waste-to-energy transitions, the mining
industry, circularity in biomass production, and related value chains.
Table 3 Selected academic studies focusing on circular economy in Bolivia between 2019
and 2022
Research and development Reference
Developing a framework to optimally locate biomass collection (Morato et al. 2019)
points to improve the biomass-based energy facilities locating
procedure – a case study for Bolivia
Circular economy in mining – case study: mining production of Pb- (Zamora and Hinojosa
Ag-Zn concentrates in Bolivia 2019)
Introduction of the circular economy within developing regions: a (Ferronato et al. 2019)
comparative analysis of advantages and opportunities for waste
valorization
Sustainability transitions in the municipal solid waste management (Lozano Lazo and
systems of Bolivian cities: evidence from La Paz and Santa Cruz de Gasparatos 2019)
la Sierra
Techno-economic assessment of biomass combustion technologies (Morató et al. 2020)
to generate electricity in South America: a case study for Bolivia
Sensitivity analysis and improvements of the recycling rate in (Ferronato et al. 2021)
municipal solid waste life cycle assessment: focus on a Latin
American developing context
Formal and informal waste selective collection in developing (Ferronato et al. 2021)
megacities: analysis of residents’ involvement in Bolivia
Assessment of municipal solid waste selective collection scenarios (Ferronato et al. 2020)
with geographic information systems in Bolivia
Application of the circular economy through the maximum use of (Morales Apaza et al.
the pineapple (Ananas comosus) 2021)
Circular economy, international cooperation, and solid waste (Ferronato et al. 2022)
management: a development project in La Paz (Bolivia)
Discussion
The shortcomings of the linear economy are evident – and the call for new and
innovative public initiatives and programs is noted globally – and CE as an alterna-
tive framework for more resilient and inclusive economic models promises added
value for realizing sustainability goals (Schröder et al. 2018). Factors such as the
vulnerability of global trade chains to externalities like the global pandemic as in the
past years, the continuing depletion of natural resources, and deep social inequalities
call for the need for alternative sustainability measures, and CE norms and guide-
lines can fill such voids if the processes to integrate them are designed to be inclusive
and participatory. According to Schröder et al. (2020), the level of investment in
science and technology remains relatively low in the region, as it only represents on
average only 0.66% of the regional GDP, and public and private companies finance
only around a third (36%) of such investments. However, universities play a key role
in contributing to CE. Research conducted by Nunes et al. (2018) identified six lines
of work: campus sustainability, hidden curriculum, environmental governance, local
impact, university material flows, and business in the context of CE initiatives by the
research community (Table 3). This study highlighted how universities promote
material and product flows, the demand power to scale products and services, and the
influence to disseminate it through their graduates, local communities, and wider
society as catalysts working with the private. In recent years, the Bolivian Public
University, through its education and training activities, has visualized a paradigm of
circularity as an important component of sustainability and scientific research,
development, and innovation. For instance, the Universidad Mayor de San Andrés
(UMSA), La Paz, Faculty of Engineering, is formalizing the inclusion of circularity
in the areas of research, social interaction, and pre-graduate and post-graduate
training, counting as a proposal – CIRCULAR – Recycling University Services,
where their research lines which are oriented under the multi-R criteria (rethink,
redesign, remanufacture, repair, redistribute, reduce, reuse, recycle, and recover
energy). This initiative “University Service for Redesign and Recycling“presents
interventions in the provision of sustainable services outside and within the Univer-
sity (Gaceta UMSA 2020).
As noted by Savino et al. (2018), adequate waste management is central to SDG
implementation, and this pathway would need institutional support, particularly at
the local level, to generate feasible, and scalable regulations covering the interests of
different agencies and those that can also support capacity needs for the sector
through appropriate training and information systems. Support systems for CE
need to be designed not only for reporting purposes but also for facilitating the
decision-making procedure. Both the states and stakeholders in the region have
demonstrated great interest, intending to address obstacles to technical, cultural,
and capacity gaps, along with the turbulent political and social settings, to achieve
this vision. However, the lack of standard guidelines on circularity and existing
multiple narratives and framing of CE is a barrier to the adoption of the framework.
Additionally, the lack of access and popular cases from the region that demonstrate
impact (best practices) has resulted in a fragmented CE movement lacking coher-
ence. Selected five aspects are discussed below to expand on the sectoral challenges
at the regional scale and to highlight aspects that align with selected SDGs and, thus,
can support scaling circularity.
1. Production processes and technologies (SDG 9 – industry and innovation; SDG

10 – managing inequalities; and SDG 12): For the industrial sector in the region,
whether micro, small, and medium-sized, the inefficiency of the production
processes is common, i.e., inefficient use of raw materials, supplies, water, and
energy, with repercussions such as the generation of unmanageable waste. In
Bolivia, circularity is closely related to the use of postconsumer solid waste (PET
bottles, tires, and paper, among others), without accounting for other wastes
generated during production processes that are often disposed of in landfills or
open dumps. Also limited is the focus on sustainable product redesign, improve-
ments in production processes, and extension of the product lifetime, which are
largely in informal value chains. While alternatives for the disposal of post-
consumption waste are not scaled to their potential, the shared responsibility of
the producer (even with the existing regulation – Law 755) is also not fully
realized. With the circularity frameworks suggesting the entire production cycle
(LFA) to follow sustainability-oriented procedures, these existing gaps can be
addressed.
2. Regulations and incentives (SDG 8 – decent work and economic growth; SDGs
10 and 16 – institutions and policy): Environmental approaches such as cleaner
production, waste management, and scaling of circularity practices depend to a
large extent on the formulation of regulations that regulate their implementation
and incentives that can facilitate their adoption in production chains. Also,
economic support (low-interest loans) for the acquisition of new technologies
or more efficient technologies, improvement in the design and production pro-
cesses, development of alternatives for the management of their postconsumer
waste and waste generated in product processes, etc., can serve as instruments to
facilitate CE adoption. Also, public recognition of the performance of industries
committed to the environment motivates them to continue the work and scale
their efforts. Therefore, facilities that promote undertakings linked to waste use as
well as focusing on boosting capacity at all levels, including the graduate
education system, are extremely significant. The expansion of university-
industry-government joint working to design regulations and incentives is crucial,
and so are the practices that can involve communities to be part of such discus-
sions, national policies, and plans. However, in the case of Bolivia, national
authorities are subjected to bureaucracy, constant change of personnel placed in
technical positions, centralization of decision-making, and lack of information
channeling about municipality solid waste management (Ferronato et al. 2021)
often acting as inhibitors to successful CE solutions.
3. Societal challenges (SDG8): A key regional challenge to achieving circularity
vision is the social exclusion of large populations living in poverty and margin-
alization (Gutberlet et al. 2017). Operationalizing CE guidelines need a clear
focus on the inclusion of social and political perspectives in environmental
management plans and sustainability policy with clear goals set for community
development. For example, acknowledgment/integration of waste picker (recy-
clers) groups as a key stakeholder in CE influenced value chains. A “thick
network” of private actors could be mobilized to play an important role in
collective and participatory environmental governance and collaboration with
the state, and researchers need to consider the multiple levels of actors involved
across different governance levels (Baker et al. 2020) in framing their
recommendations.
4. Gender dimension (SDG5): Gender-sensitive planning should also be a priority
element needing attention in circularity-focused interventions. Experts show how
gender equity is an important variable in achieving transformative change in
various economic sectors, as many waste pickers and labor force in the waste
management sector in the LAC region are women (Gutberlet et al. 2017), and
therefore, the gender dimension remains crucial in scaling the CE mandate. Two
case studies by these experts underline how waste pickers have long been
associated with recycling and reuse systems and factoring their role is core in
setting regional/national CE guidelines, yet they are not represented in the formal
structures of related discussions, agenda setting, and implementation plans.

Noting CE as an opportunity for changing the persisting inequalities in the public
policy arena, acknowledging the gender narratives in waste management prac-
tices can benefit the knowledge needed for setting circularity norms and guide-
lines. Additionally, the role of grassroots organizations is crucial for countries
seeking to encourage CE integration in the long-term sustainability of
populations and communities.
5. Governance challenges (SDGs 16 and 17 – partnerships): These challenges
relate to the implementation of the sustainability agenda, including circularity,
which is complex and varies from country to country. In the context of Mexico,
the rationale for multi-actor governance must be placed in its political context,
where the existing systems of resource governance are ineffective as a mechanism
of change (Baker et al. 2020). These authors elaborates how the Mexican state
struggles to address the environmental consequences of the rapid economic
changes of the recent times, including demographic, economic, and social shifts,
and how these challenges have acted as stressors for the highly vulnerable region/
state. Noting that major challenges impacting the CE shifts would need leverag-
ing the cooperation of the government and the development of models where
public and private organizations evaluate and communicate their progress mov-
ing away from the non-sustainable paradigm of “take–make–dispose of” toward
circularity (Droege et al. 2021), circularity approach as a key strategy in achiev-
ing the SDGs can also be realized by working together with the communities in
smart and effective partnerships.
At the national level, for Bolivia, the detailed account of green production
practices aims to reduce pollution levels, including industrial solid waste, by making
the production processes more efficient. In addition, focus on recycling post-
consumption usable waste has opened the opportunity for introducing the circularity
vision for industries and the consumers. At the societal level, there are practices
rooted in sociocultural norms such as fixing or repairing objects, giving a second use
to products rather than discarding them to substitute for new, and as a result, small
and subsistence repair businesses have been overcrowded and operating for a long
time, particularly for electronic equipment (cell phones, televisions, computers,
refrigerators), sewing and shoe repair stores, etc. These small-scale enterprises can
strengthen the advancement of CE if provisions, policies, and support systems are
developed to involve these stakeholders appropriately.
In summary, the challenges in transforming CE from theory to practice are not
just limited to the above-listed categories but also focus on identifying solutions to
context-specific problems, including mechanisms such as hybrid forms of multi-
actor governance between public and private organizations as noted in Quintana
Roo, Mexico. In this case, the enhanced role of governance institutions and the
capacity for implementing more sustainable practices by introducing voluntary
environmental rules and standards can act as catalysts for innovative agendas like
CE (Baker et al. 2020). As a reference, initiatives like the LAC Circular Economy
Coalition bring evidence of the region’s commitment to the implementation of the
2030 Agenda (Pacecircular 2021). The countries in the region are showing a
willingness to support the CE transition through a technological innovation lens
via processes such as support for specific research agendas and coordinated invest-
ment in CE-focused projects and programs.
It is also observed that current CE efforts in the region are distributed among
various production sectors. To take full advantage of innovative tools, technologies,
and measures and to build skills to scale and plug circularity into existing production
and consumption practices (Schröder et al. 2020), some level of sectoral harmoni-
zation may serve helpful. This study also comments on the CE’s potential to
stimulate investment and research in the bioeconomy, mining, and extractive sectors,
and elucidates that the current financing situation for such initiatives is limited and
that international development finance for waste management and recycling is often
the sole financial option. While circularity thinking fits with the SDGs mandate,
particularly SDG 12, and holds potential to provide alternatives towards scaling
sustainability measures in the region, the provisions to attract both the business
community and policymakers to collectively address the regional/national sustain-
ability challenges needs to be strengthened (Geissdoerfer et al. 2017).
Concluding Notes
In the past years, the circularity perspective has emerged as a tool to look beyond the
standard and conventional measures of “resource intensive” or “resource inefficient”
production and consumption value chains to redefine growth pathways that are not
only economics oriented but also take note of larger sustainability goals, the natural
and social capital, and societal co-benefit aspects. However, such a transition is often
not smooth or can take longer than anticipated, especially, in economies where
existing regulatory mechanisms related to clean production are limited. For the
LAC region where governance measures related to waste management remain
juvenile in many if not all the states, CE implementation may have to face such
challenges. Analysis of existing CE initiatives in the region reflects two focus areas,
viz., solid waste and water and sanitation subsectors. Overall, circularity is at an
early stage, and most of the existing efforts remain focused on recycling, only one of
the multi-Rs of circularity; the need for creating a long-term circular model and
boosting capacity at all levels – human, technical, and financial – remains pertinent.
A key attribute to mainstreaming CE in the industrial landscape is the formation
of industrial symbiosis or coalition. Take, for instance, the case of Chile, where
53 industrial fish farms in the Araucania region started transforming their industrial
sludge into useful additives for agriculture and forest soils, as well as raw material
for heat energy (Mardones et al. 2020). This prompted other industries to begin
looking at ways in which more circular concepts can be facilitated. In addition,
clarity on mechanisms to incentivize waste management value chains is important to
the development and scaling of the circular economy-based agenda. Equally relevant
is the advancement of regulatory processes and guidelines for stimulating circularity
use in primary and secondary production and consumption markets and
supply-demand pathways. In the case of Bolivia and other countries in LAC,

regional agencies and national governments are offering technical support, steering
investments, and partnership-based implementation and policy instruments; how-
ever, there remains a gap in understanding context or sector-specific challenges.
Moreover, integration of circularity into the sustainability roadmap at the national
and regional scales is a continuing obligation for development planning.
Five key points are listed to help facilitate circularity perspective with the SDG
agenda at the regional scale.
1. In the region, where CE has not yet matured, clarity of operational frameworks
through a better understanding of interlinkages/nexus and how smart resource use
options can help boost productivity and the economics of the sector are important,
as it is the need to address the discontinuity inherent to linear models. This means
dedicated attention to strengthening the targeted capacity of resource managers
and other stakeholders across all sectors and at multiple scales.
2. The need to integrate political and cultural practices and various perspectives to
refine production chains and consumption patterns is another key point. While the
current interventions and investments focus largely on waste management and
recycling, future projects/programs could be distributed at different levels, includ-
ing at the community scale. In that background, private sector corporates, gov-
ernments, and international organizations can jointly address the need to support a
regionally harmonized circularity agenda that reflects all the 7Rs of the CE
models.
3. It is anticipated that building successful and lasting circular communities, states,
and programs will require a multifaceted approach that focuses on sensitizing
citizens and fostering social cohesion; these notions remain under-reflected in the
current CE discourse and need to be developed further. Building on the experi-
ences from projects implemented during the past years and cataloging best
practices can help the LAC region strengthen knowledge dissemination and
promote effective engagement with citizens and communities and to help ratio-
nalize funding for circularity-focused initiatives in alignment with the SDG
agenda.
4. At the national scale, referring to the case of Bolivia, it is clear how existing
regulatory mechanisms on waste treatment could provide a way for inclusive and
targeted CE policies and institutional support mechanisms; however, it is a long
way to that goal. Most countries in the region are recalibrating their development
and sustainability agendas towards the transition to equality and social justice-
based CE frameworks and to support programs/projects on nature-based solu-
tions, green economies, and innovations. In this mix, circularity could be a
supplementing means to strengthen and promote the eco-design narrative and
the innovations in designing sustainability systems. In summary, act as a stimulus
toward reformed LCA processes in the production systems and to support
integration of the emerging circularity pathways.
5. Furthermore, CE can encourage initiatives and action to achieve SDGs through
enhancing science and technology innovations’ integration into the production
and consumption value chains in multiple sectors. And in that context, medium-
to long-term accreditation for CE can enhance sustainability rationale in eco-
nomic development policies and programs and create an information system to
view, value, and understand ecosystem services and human well-being
interlinkages. This transition would also need education reforms that take note
of circularity principles in designing learning content and curriculum to enhance
skills and create professionals for long-term sustainability.
Overall, this synthesis outlines facets and factors that can help support the
financing of circular solutions and the “buy-in” from states and societies in the
LAC region and explains how CE-oriented vision can facilitate the co-creation of an
“eco-conscience” generation of individuals and institutions operating to support the
mandate of SDGs. Also, it is fair to conclude that incentives for CE-aligned waste
management structures at all stakeholder levels could be a trigger for better and more
effective circularity partnerships.
Acknowledgments To Gabriela Guisbert, researcher at IIDEPROQ at Mayor de San Andrés

University (UMSA), Bolivia, for intellectual discussions on the topic.
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Indigenous Sustainable Finance and
Development Goals: REDD+ in Brazil
Luciana O. Cezarino, Lucas C. Stocco, and Chiara Mio
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1062
Indigenous Sustainable Finance Impact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1065
Economic Development and Entrepreneurship Origins . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1065
Indigenous Business Activity and Investment Impact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1066
Indigenous Sustainability Values in Investment/Business Activity . . . . . . . . . . . . . . . . . . . . . . . . 1066
Socioeconomic Development of Indigenous Communities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1066
Impact Monitoring of REDD+ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1067
REDD+ Projects in Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1068
The Paiter Surui Community REDD+ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1071
Understanding ISF and SDGs Dimensions in the REDD+ Project . . . . . . . . . . . . . . . . . . . . . . . . . . . 1073
Implications for Governance and Organizational Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1076
Credit Access and Territory Governance Status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1077
Implications for Sustainable Finance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1078
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1079
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1081
Abstract
Indigenous sustainable finance has emerged as a promising research field to
understand how indigenous communities can address sustainable governance
and economic development issues based on their relationship with the land and
cultural aspects. Furthermore, the SDGs have offered a development guide for
economies worldwide while it pushes forward the applied efforts in pursuing a
L. O. Cezarino (*) · C. Mio

Ca’ Foscari University of Venice, Venice, Italy
e-mail: luciana.cezarino@unive.it; mio@unive.it
L. C. Stocco
School of Economics, Business Administration and Accounting at Ribeirão Preto - FEA/RP,
University of São Paulo, Ribeirão Preto, São Paulo, Brazil
e-mail: lucasstocco@usp.br

https://doi.org/10.1007/978-3-031-16017-2_86
1062 L. O. Cezarino et al.
sustainable future based on its 17 principles. Indigenous territories, in this case,

can be understood as an essential asset that can contribute to maintaining biodi-
versity and remunerating communities for preserving forests, with REDD+ pro-
jects constituting a vital initiative to encourage compensation processes for
economic activities. This study describes a case of indigenous sustainable finance
in Brazil using REDD++ and provides linkages to the Sustainable Development
Goals Agenda. Results reveal that new parameters that can contribute to REDD+
processes developed by indigenous communities in Brazil should be set, facili-
tating the organizational strategy, credit access, and territory governance status.
Implications for sustainable finance are centered on developing successful con-
stellations of stakeholder action toward social good through green, transitional,
and heritage bonds.
Keywords
Accountability · Sustainable finance · ESG · Corporate social responsibility ·
Sustainable accounting · Indigenous accountability · Green Bonds · Transition
bonds · Heritage bonds
Introduction
Given its potential for maintaining biodiversity and acting as a global environmental
shield based on carbon absorption, the Amazon rainforest has been a significant
point of discussion at national and international levels for establishing measures to
institutionalize forest preservation and maintenance processes (Elias et al. 2021).
This has occurred, based on the different predatory activities that have jeopardized
the natural resources available in the Amazonian territory, with reflections on the
potential contribution to climate change (Souza-Filho et al. 2016). Such activities are
expanding the agricultural frontier, extracting gold and other minerals, forest log-
ging, highway construction, hydroelectric plant establishment, power transmission
lines, and other related infrastructure projects (Elias et al. 2021). Some are very
needed for indigenous and other communities but, from a different perspective, can
be a reason to alarm environmentalists, scientists, members of nongovernmental
institutions, civil society, and politicians (Chazdon et al. 2009). However, because of
the difficulty in responsibly and sustainably establishing precise impact assessment
of these projects, there is a slim line between providing basic infrastructure and
exploring the territory in a predatory manner (Curie et al. 2021).
The indigenous grand challenge has become a reason for concern based on the
process in which the illegal exploitation of some territories has escalated, culminat-
ing in extensive soil degradation, loss of native forest cover, and contamination of
rivers and fish for activities mainly related to the extraction of gold and logging
(Chazdon et al. 2009). More recently, the situation experienced by the Yanomami in
Roraima demonstrates how the arrival of prospectors in search of gold can culminate
in a significant increase in the mortality of community members, especially among
Indigenous Sustainable Finance and Development Goals: REDD+ in Brazil 1063
children with cases of malnutrition and lack of access to quality food and water
(Bedinelli 2023). As a result, several initiatives have been developed to minimize the
impacts arising from the invasion of these territories and ensure due protection to the
indigenous peoples in the Brazilian region.
Protecting these populations is vital to secure efficient management of the
territory, as indigenous have in their connection with nature and their environment
is the consolidation of their culture and, foremost, social dynamics as a sharing
process for ancestry and origin (Salmón 2000). Also, these communities must
address the significant issues concerning the productive activities to produce goods
that contribute to their income and subsistence (Pratzer et al. 2023). These activities,
even linked to the economic exploitation of a specific commercial activity, have, as a
guiding principle, the establishment of practices related to indigenous culture and its
relationship with the territory to preserve biodiversity and balance the forest’s
environmental system (Godoy et al. 2009).
Amazonian populations act as forest stewards since their traditional knowledge,
cultural aspects and experiences in daily contact with nature allow them to integrate
with the environment more profoundly. When reproducing production and commer-
cial activities with Amazonian biodiversity resources, the intrinsic responsibility
sense tends to reinforce the conservation pattern by these communities (Pratzer et al.
2023; Bidone, 2021). The territory, in this case, as a space for the daily reproduction
of social aspects, reflects the concerns around sustainable practices and forest
conservation initiatives. Reducing Emissions from Deforestation and Degradation
and forest enhancement (REDD+) emerged to preserve the environment based on
initiatives to offset the carbon footprint (McDermott et al. 2013).
This framework was created by the UNFCCC Conference of the Parties (COP) as
an initiative to reduce deforestation rates and carbon emissions in developing
countries (McDermott et al. 2013). REDD+ initiatives seek to encourage developing
countries through financial rewards to reduce carbon emissions (Anderson 2011).
The initiative also aims to establish mechanisms that contribute to forestry manage-
ment becoming a measure of carbon stock in which the deforestation rate must be
proven compared to the baseline measured on the territory (Anderson 2011; Wallbott
2014; Reang et al. 2021).
The “free, prior, and informed consent” (FPIC) constitutes an important instru-
ment that guides the relationship of indigenous communities in international treaty
processes, seeking to ensure social equity in the management of resources in their
territories (McDermott et al. 2013). When being developed, REDD+ initiatives must
consider land tenure and the active participation of indigenous populations (Benabou
2021), considering cultural and social aspects for defining governance systems in the
territory when partnering with other organizations (Wallbott 2014). Despite the
factors related to REDD+, the legal aspects must also focus on issues such as a
detailed legal analysis with transparent rules and the definition of control mecha-
nisms that enable decision-making with the populations involved and the country’s
territory to which the forest is linked (Lyster 2011). Still, there must be respect for the
rights of indigenous populations and the development of efficient mechanisms that
allow the sharing of financial benefits from REDD+ and the affirmation of these
communities in the decision-making process, bearing in mind that they are the ones
in possession of the resources available in the territory (Lyster 2011; Wallbott 2014).
The Sustainable Development Goals (SDGs) is a global commitment to 17 objec-
tives launched in 2015 at Brazil’s United Nations Rio þ20 meeting (Kruk et al.
2018; Le Blanc 2015). The SDGs are a systemic intervention into the behavior of
different stakeholders such as governments, companies, civil society, and NGOs to
achieve higher levels of environmental protection combined with social and eco-
nomic development. The predatory Anthropocene actions of organizations, humans,
and society are damaging Earth’s life support system, compromising the future of the
next generations (Griggs et al. 2013; Sachs 2012).
SDGS has been used in a myriad of applications and fields of research as social
and human development indicators (Liu et al. 2016), international research
(Lu-Gonzales et al. 2023), smart cities (Lu-Gonzales et al. 2023; Pego 2021)
environmental targets, values and practice interactions and linkages (Nilsson et al.
2018), energy saving studies (Liu et al. 2016) education, and public policy and
governance (Karlsson and Silander 2020), among others.
However, there is still room to develop the potential of this Agenda for financial
markets and the embeddedness of vulnerable communities in the global market of
economic trade and investments.
Indigenous sustainable finance (ISF) is a separate academic discipline, legiti-
mated, and clearly defined by a field of research, apart from mainstream sustainable
finance and other social and management sciences. Poyser and Daugaard (2023)
established some basic foundations for this theme through a literature review. They
are based on economic development and entrepreneurial origins, indigenous busi-
ness activity and impact investing, indigenous sustainability values in investment
and business activity, and the socioeconomic development of indigenous communi-
ties (Poyser and Daugaard 2023). For that, this chapter proposes using this new
framework to describe the case of the REDD+ of the Paiter Surui community in the
Amazon forest in Brazil. The point is an exciting example of how indigenous
entrepreneurship can be shaped while respecting their traditions and culture and
optimizing economic gains. Furthermore, its description can enhance the knowledge
of the financial investment arena regarding heritage preservation and systemic
improvements.
Native American communities have been negatively impacted by colonialism and
neoliberal policies, leading to social problems and economic upheaval. The use of
capital by indigenous organizations in innovative ways to solve these problems
points to an impact investing paradigm that merits further study and acknowledg-
ment in the literature (Poyser and Daugaard 2023).
The relationship between SGDs and ISFs provides potential avenues for scruti-
nizing new governance arrangements for sustainable bonds and investments. Ana-
lyzing a REDD+ from the Paiter Surui community can be an enlightening example
for mapping barriers and opportunities for modern and decolonizing ways to pro-
mote sustainable finance.
Indigenous Sustainable Finance Impact
To address the concept of indigenous sustainable finance (ISF), we use the four-
dimension definition of Poyser and Daugaard (2023). The article in question is an
essential framework reference because it provides a new theoretical look at the
concept of ISF and can offer more precise and straightforward categories for
describing such phenomena. These are presented in each of the following
subsections.
Economic Development and Entrepreneurship Origins
The resetting of indigenous understanding of business modeling and practices

influences concentrates and enables new ways of addressing sustainable finance
(Poyser and Daugaard 2023). In addition, the broadening of preference sets to
include concerns of governance, development, and empowerment distinguishes
indigenous economics from conventional economics (Venn 2007).
Instead of focusing on the conventional interpretation (e.g., land rights and
property as representing an obstacle to economic development), an indigenous
economic perspective reveals a more collective approach to the territory as a central
motor of economic dynamism to indigenous communities. More systemic, nature-
timing linking and ethics are critical premises for an adequate system (Allen and
Mendieta 2021).
Recognizing the broader concerns of an indigenous economic perspective can
motivate controlling paradigms such as codes of conduct and prescribed stakeholder
management plans. This is especially helpful for attracting creative financial answers
to the sustainability issue. However, the intriguing relationship between indigenous
perspectives and those of other stakeholders demands innovative solutions and
effectiveness (Osland et al. 2007; Sethi 2011). In this sense, new governance
structures are needed to provide a standard for stakeholder network action, limiting
financially sustainable solutions to local cases.
In addition, indigenous entrepreneurship promotes economic prosperity in main-
stream indigenous societies (Macpherson et al. 2021). This kind of business was
active both before and during the early stages of colonization. However, these
communities faced substantial environmental, social, and political restrictions, and
informal/normative and formal/regulative systems worked to harness and trade to
assure their survival and growth (Colbourne et al. 2023). However, new institutional
governance and financial solutions are opportunities to suppress the barriers to the
integral development of these communities, respecting their values in a modern and
decolonized approach.
Indigenous Business Activity and Investment Impact
Indigenous impact investing refers to the actions of indigenously owned and oper-
ated enterprises to address the social needs of indigenous communities (Poyser and
Daugaard 2023). Nontraditional businesses are unique forms of enterprise with
alternative structures and practices. Indigenous businesses create an impact by
respecting their culture, habits, wisdom, and tradition. It operates as a hybrid
organization influenced by its cultural practices and the dominant Western forms
legitimized by their local norms (Morales et al. 2021).
Bricolage practices are strategies to overcome challenges in resource-constrained
and munificent environments. Although there have been considerable technological
advances, innovation and entrepreneurship may present manual manufacturing,
extractivist, and handicraft as their core activities (Onwuegbuzie and Mafimisebi
2021). Also, the potential and feasibility of regenerative practices, such as local
tourism, are a response for indigenous businesses to achieve national and interna-
tional scale and relevance (Clarke et al. 2021).
Indigenous Sustainability Values in Investment/Business Activity
The focus of values and beliefs in the financial investment process of indigenous
businesses is the recognition of indigenous values as the source of sustainability.
Indigenous community practices incorporate a holistic viewpoint. The collectivist
ecosystem approach to business and investment activity used by indigenous com-
munity practices differs from the capitalist model of traditional investors. The ability
to protect the environment, foster social and cultural diversity, and exercise leader-
ship as seen through an indigenous lens further demonstrate a close connection to the
natural environment and social values, which can be understood as a Western
paradigm of sustainability (Poyser and Daugaard 2023).
Relationships make it difficult for investment perspectives to understand the
value of close, intricate connections between and among systems like the natural,
social, and economic spheres. Responsibility, in this case, refers to how responsible
investors respect the balance and the connections that intertwine these systems. Our
current market and investment structure is governed by and motivated by an
accountability perspective. We are held accountable by other people, demands, or
regulatory institutions, but responsibility can also be taken as a personal
commitment.
Socioeconomic Development of Indigenous Communities
The socioeconomic development of communities is centered on partnerships, mod-

ern treaties, and entrepreneurship. Partnerships between indigenous communities
and conventional business entities have become a successful means of opening
access to business opportunities, innovative technologies, and global markets for
indigenous communities. The motivations for corporations participating in these

partnerships include societal (CSR) expectations and regulatory requirements. Sev-
eral reasons for achieving broader indigenous community goals (of recognized
control of traditional lands, self-determination, and economic self-sufficiency) sug-
gest a continued demand for corporations to partner with indigenous communities
accepting a range of nontraditional requests (Poyser and Daugaard 2023). These
partnerships should include a contingent approach to economic development incor-
porating regulation theory, postimperial perspectives, and alternative/indigenous
approaches (Anderson 2011).
Impact Monitoring of REDD+
Impact investments aim to benefit both the environment and society and make a
profit from the same initiative or business. In particular, debt financing in impact and
conventional bonds relates to recent impact investments in biodiversity conservation
(Thompson 2023). The earnings from these bonds are used to fund initiatives to
improve forest management and sustainable agriculture, preserve endangered spe-
cies, and provide ecosystem services and climate change mitigation strategies like
REDD+Parties, pertinent organizations, and the corporate sector, and other inter-
ested parties are urged to continue addressing the causes of deforestation and forest
degradation and to communicate their findings (UNFCC 2023).
According to paragraph 71 of Resolution 1/CP.16, developing countries
implementing REDD+ initiatives must build several components, including a
national forest monitoring system. The COP acknowledged the value and necessity
of providing the national forest monitoring system with enough consistent financial
and technological support. Reliable data on forest area and changes in forest area are
essential to any helpful measurement and reporting of forest carbon. The COP had
accepted guidelines for creating reliable and land-by-land national forest monitoring
systems. Depending on the specific national circumstances, these systems might
potentially result from integrating subnational systems into national forest monitor-
ing systems. In addition, subnational monitoring and reporting might be adopted as a
temporary solution in compliance with national and international climate
regulations.
The COP urged parties, groups, and the private sector to take action to lessen the
causes of deforestation and forest degradation while acknowledging the complexity
of the issue and the fact that each country’s national circumstances, capacities, and
capabilities determine the specific drivers in each country. Therefore, developing
parties must address deforestation causes and forest degradation by particular indi-
cators. However, this performance measurement is a difficult task related to land
tenure and forest governance (Benabou 2021), gender considerations, and safe-
guards when developing and implementing their national REDD+ strategy to ensure
the effective participation of relevant stakeholders, including indigenous communi-
ties (UNFCC 2023).
Some studies affirm that compared to reducing emissions in the energy sectors of
industrialized nations, REDD is a more affordable option and has the potential to
produce significant benefits in addition to reducing greenhouse gas emissions.
However, projects with unclear cash flow projections, locations with low or ambig-
uous threat levels, and streamlined impact measurements that may assess activities
or outputs rather than impact are all sources of risk (Thompson 2023). Yet, nations
must handle these problems, as they may hinder the adoption of REDD (Waluyo
et al. 2019).
Liability for forest degradation and deforestation, as well as REDD benefit
sharing, is intimately related to “leakage.” Leakage is an essential issue in the
performance monitoring of REDD+ that refers to the displacement of emissions
from within a project area to places outside the project area. The problems that
dominate the REDD+ discussion refer to a source’s decreased emissions or a sink’s
increased removals of carbon dioxide over and beyond what would happen without a
REDD+ operation. Moving locals out of protected areas or limiting their movement
through restrictive land use planning has been the principal tool of forest conserva-
tion in our research location (Becchetti et al. 2022).
It is vital to give tropical deforestation a prominent role in mitigating climate
change. Financial compensations for deforestation and degradation averted at the
national level – which is, by definition, the difference between observed deforesta-
tion and degradation and a counterfactual value – will be transmitted to developing
countries. According to current plans, this aim would either be projected or negoti-
ated, although experts concur that there are drawbacks to both strategies. Accurately
predicting deforestation and degradation is impossible, and negotiated targets are
subject to political pressure (Combes Motel et al. 2009).
Successful research has shown that impact before and after measurements com-
bining qualitative and quantitative approaches are the best measurement techniques,
including future scenario planning. Leakage and transience continue to be significant
issues. Even though they affect fewer families, development activities associated
with the project that is unrelated to carbon sequestration have a significantly more
considerable impact (Jindal et al. 2012).
REDD+ Projects in Brazil
The Amazon forest, given its rich biodiversity and productive capacity of the
territory, has historically undergone a series of transformations based on the attempt
to occupy the territory and advance the agricultural frontier and other activities such
as mining (Homma 2012). More recently, what has been observed in this occupation
process is the taking of land grabbers and soy and meat producers to get land for their
activities without the proper government regulation. This movement, however, is
linked to a series of activities whose purpose is the degradation of the territory from
the felling of trees and burning to clear pastures (Lima et al. 2012; Demarchi et al.
2023), exploration of wood from logging (Demarchi et al. 2023), and mining for the
exploitation of mineral resources. These activities, in turn, reduce forest protection
and the means for the indigenous communities to survive, relying on the loss of
biodiversity in the territory.
Accompanying the international movement of concern for actions that can
minimize the impact of human activities on forest systems and fight the climate
crisis, projects such as REDD pave the way for reducing carbon levels from
conserving forests to be viable and profitable for emerging countries (Loaiza et al.
2015). However, as much as REDD projects since their launch in 2007 have created
a certain excitement with the potential results they could have in reducing defores-
tation with the ability to generate financial returns for communities, they demon-
strated a complex process permeated by multiple mechanisms for governance and
control (Carrilho et al. 2022).
Brazil, in this case, has a wide possibility of establishing this type of project given
its territorial extension and the natural wealth available in the forest areas that cover
the territory (Horn 2023). It is essential to point out that these REDD+ projects can
generate the possibility of preserving forests and sustainable management of terri-
tories, allowing access to nonreimbursable financial resources (Normative Act n 6, 7,
8, Brasil Regulations 2017). One hundred two projects are being supported with a
total value of USD 1748 m in support from the Fundo Amazônia (Fundo Amazônia
2023). This financing results from projects that are formalized to ensure governance
and transparency in allocating the financial resources obtained. In 2023, five projects
manage these resources: Fundo Amazônia, Projeto Floresta+ Amazônia, Programa
REM MT, and Acordo Teste 111 e Programa REM Acre (Brazilian Ministry of
Environment 2023). Because it is a project with several instances of resource
governance, a comprehensive legislative system in Brazil regulates these actions.
These financial resource management projects serve the Amazon and Cerrado
biomes in Brazil, allocating resources to multiple REDD+ projects in the Brazilian
territory based on the sectoral division and linked to the competent government
agencies.
REDD+ projects in Brazil propose the prevention and control of the loss of forest
areas, as well as the promotion of forest recovery and sustainable development
(Ministry of the Environment 2018). This project developed in Brazilian territory
seeks the integration of multiple public policies that, based on directing efforts
between the federal, state, and municipal levels, can organize projects to establish
mechanisms that can open paths for remuneration to mitigate climate change. Only
linked to smallholder farmers, Brazil currently has around 50 projects financed by
REDD programs or carbon markets (Demarchi et al. 2023).
Concerning legal structuring capacity, it is observed that the Brazilian states
sought to develop legal models to obtain international financial resources (Gueiros
et al. 2023). Therefore, in Brazil, the REDD system has a decentralized structure that
aims to distribute resources and limits for each type of project. Thus, the proposed
resolutions are intended to separate between the levels of “potential payments for
REDD+ results” (Resolution 6), “eligibility” (Resolution 7), and “guidelines for the
use of resources and monitoring of agreements” (Resolution 8) (Brazil 2017;

Ministry of the Environment 2018).
From this point on, it is worth highlighting the ability to raise funds based on the
areas of the Brazilian territory that allow such an initiative. REDD+ projects can help
governments enact projects that boost the conservation and recovery of forest
ecosystems and develop a low-carbon forestry economy (Ministry of the Environ-
ment 2018). From 2006–2015, REDD+ in Brazil had USD 30 billion in capitation
potential, considering the carbon capture capacity (Ministry of the Environment
2018). However, when it comes to formatting the system of governance and control
of the resources, Resolution 6 establishes the limits for the allocation of resources at
40% for the federal government and 60% for the states of Acre, Amapá, Amazonas,
Maranhão, Mato Grosso, Pará, Rondônia, Roraima, and Tocantins based on native
forest area, including preservation areas and indigenous territories, and on the ability
to reduce deforestation (Ministry of the Environment 2016, 2018). These resources,
in turn, are obtained from payments made by the Amazon Fund (Horn 2023), mainly
by Norway and Germany, with the USD 1 billion mark being reached in 2017
(Ministry of the Environment 2018).
As much as REDD+ initiatives can establish forest governance systems that
contribute to the preservation and maintenance of the forest (Benabou 2021; Bauer
2022), it is clear that other methods must effectively monitor these activities and
initiatives. This is because the territories need to be tracked so that preservation
remains and not just maintenance while the project is being developed (Carrilho
et al. 2022).
The main difficulty perceived is related to the lack of consensus in establishing
these metrics, difficulty in carrying out the accounting of the defined carbon levels,
and conducting these REDD+ programs at multiple levels, expanding the possibil-
ities of the flexibility of the bases and reference periods (Bauer 2022; Li et al. 2022).
However, with the projects, initiatives to prove their effectiveness should be
highlighted, given the scarcity of evidence and follow-up data on the control of
preservation of areas (Demarchi et al. 2023). Benchmarking mechanisms can con-
tribute so that the carbon accounting levels can express the reality of the initiatives.
Instruments such as remote sensing (RS) have contributed to monitoring these areas
based on the mapping of forest cover on large scales (Demarchi et al. 2023). Other
systems, such as statistical controls based on data obtained from national and
international databases, make it possible to establish parameters for comparing the
different environments in which REDD+ programs are developed (Li et al. 2022).
The need to scrutinize the issue is evident. From a rich case study and following
the principles of the global 2030 Agenda, we intend to close the gap between the
initiatives of indigenous sustainable finance (ISF), as the REDD+ systems, with the
sustainable development goals (SDGs).
This study proposes some impact assessment of this linkage to contribute to fresh
literature on ISF, improve the governance of the territory, and the quality of life of
indigenous communities, and establish sustainable management practices for posi-

tive financial outcomes.
The Paiter Surui Community REDD+
The Paiter Surui people live in the seven de Setembro Indigenous Territory, which
has an area of 247,870 hectares, in the state of Rondônia, in Brazil. The first official
contact with Brazilian government agents occurred in 1969 (Surui and Silva 2019).
Several conflicts took place to delimit the space that would become the territory
(Floriani et al. 2019) since some settlers had already occupied the area’s margins for
the production, mainly of coffee beans for market selling. Despite the inherent
conflicts and spread of diseases that contaminated the indigenous people, the Paiter
Surui community rebuilt and established control of their territory. The economic
activities are diverse and involve mainly the production of bananas, coffee, cocoa,
Brazilian nut, medicinal herbs, and handicrafts; women carry out the last move
(Surui and Silva 2019).
From establishing and strengthening the community, the Paiter Surui began to
develop various initiatives to manage their territory and control the margins, trying
mainly to stop the activities of loggers and miners, drastically reducing jeopardizing
activities such as deforestation, logging, and mining.
Today, the Paiter Surui constitutes a robust community with governance fronts
that enable the territory’s management based on initiatives guided by its social and
cultural aspects (Floriani et al. 2019). In addition, much has been publicized in media
channels about leaders who have excelled in presenting the Surui culture to the
world.
The initiative to develop a territorial management plan arose based on the
prerogative that some activities, such as logging, gold, and diamond mining, had
prejudiced around 10% of the territory area. As a result, concerns had grown, so the
Paiter Surui people leaders considered that these activities could harm their territory
or even harm future generations who could not enjoy the economic capacity to be
explored sustainably. By raising this issue, working with two NGOs, the Amazon
Conservation Team (Equipe de Conservação da Amazonia, or ECAM) and the
Association of Ethnic and Environmental Defense (Kanindé) (Zwick 2019), the
Paiter Surui leaders developed a plan of work that managed to raise the sum of
$250,000.00 from the Annenberg Foundation. These resources allowed the indige-
nous community to establish a management plan for the territory, which would
trigger a series of initiatives and action fronts for establishing a governance system.
As a result, in 2009, the Paiter Surui became the first indigenous community to
develop a forest conservation project and sell carbon offsets worldwide (Nathanson
2018).
The Carbon Fund (Surui 2010) management program developed by the Surui
starts from some primary sources of resources, namely productive activities in a
sustainable way, supply and provision of environmental services such as preserva-

tion of springs and biodiversity, donations from nongovernmental and private
institutions, and projects linked to the reduction of climate change. They allocated
the resources from carbon management to different initiatives to improve quality of
life, strengthen cultural aspects and their dissemination, and strengthen sustainable
businesses. Also, with organic production and access to new markets, degraded areas
were recovered from the planting of native trees and observation of the territory as a
way of controlling illegal activities throughout the Surui area (Surui 2010). These
initiatives contribute to the development of a robust REDD+ project.
The territory governance project, named Surui Carbon Project (Surui 2010),
sought to serve four major areas:
• Inspection and environment: A front that mainly sought to develop mechanisms

to control deforestation in the territory to ensure the proper management of trees
and other existing biodiversity. There is also a training front so that the Surui
themselves could establish mechanisms for surveillance and control of the
territory.
• Food security and sustainable production: This area has as its initiative the search
for food production processes both for subsistence and commercialization in a
sustainable way, integrating the management of native crops and control of crops
that need more intense management.
• Institutional strengthening: Focusing mainly on strengthening institutions
established and managed by the Paiter Surui, such as Instituto Kanindé and
Associação Metareilá.
• Establishment of a financial control mechanism: Named the Surui Fund, this
initiative seeks to establish management mechanisms for the Forest Carbon
Project, which is linked to a 50-year management plan of the Paiter Surui Ppople.
The Paiter Surui people developed the project, implemented it in 2007, and
named it Projeto Carbono Florestal (Forest Carbon Project). The project’s central
idea was to enable the management of the territory and its conservation to acquire
financial resources to strengthen the population living in the region and establish
mechanisms that would allow environmental preservation and the strengthening of
culture. In 2009, the Metareilá Association met indigenous leaders and other gov-
ernmental and nongovernmental institutions (i.e., Forest Trends, Instituto de
Conservação e Desenvolvimento Sustentável da Amazônia [IDESAM], Equipe de
Conservação da Amazônia [ACT Brasil], Associação de Defesa Etnoambiental
Kanindé, Fundação Brasileira para a Biodiversidade [FUNBIO], and Fundação
Nacional does Índio [FUNAI]) to a first introduction to the project intentions
(Territorio Indígena e Gobernanza 2021).
The REDD+ project carried out by the Paiter Surui people was the first project led
by an indigenous community with the sale of carbon offsets. The project generated
299,895 carbon offsets certified by the Verified Carbon Standard (VCS) (Zwick
2019). Notably, the project lasted from 2009–2014 but ended up being suspended in
2018, given the escalation of deforestation in the territory surrounding the exploita-
tion of ores (Zwick 2019).
Understanding ISF and SDGs Dimensions in the REDD+ Project
Since its inception as an international financing mechanism to prevent deforestation,

REDD+ has grown significantly (Loaiza et al. 2015; Wearing et al. 2019). Achieving
REDD outcomes depends on addressing the causes of deforestation and forest
degradation, which in many countries call for a change in the rural economies’
primary growth drivers. We need a system transition from commercial agriculture,
mining, and infrastructure development to more low-carbon ones. Governance for
sustainable development has potentially entered a “period of synergy,” where the
increasing density and complexity of multilateral environmental agreements and
other international agreements are based on the information about the REDD+
project and the Sustainable Development Goals. The SDGs and REDD+ both
acknowledge that radical changes in natural resource management are necessary to
meet their goals. The Cancun Agreements on REDD+ state that nations should
consider gender considerations, social and environmental safeguards, and the drivers
of deforestation and forest degradation when creating REDD+ National Strategies or
Action Plans. These stakeholders, including indigenous peoples and local commu-
nities, should also be fully and effectively involved (UNFCCC 2010). Likewise, the
nations that report progress toward achieving the SDGs are urged to discuss how the
three pillars of sustainable development – economic, social, and environmental – are
being integrated and how sustainable development policies are being developed and
implemented to reflect this integration. Other tenets of the 2030 Agenda, such as
“leaving no one behind,” are also urged to be incorporated into the SDGs’ imple-
mentation (Bastos Lima, Persson and Meyfroidt, 2019).
The SDGs give a politically compelling supplementary justification for extending
REDD+ initiatives beyond its core carbon-related aims at the national level, even
while REDD+ offers a practical, internationally recognized method of achieving
some SDG targets. Moreover, in emerging economies such as Indonesia, interactions
between REDD+ and the SDGs at the output level are rising, either in the form of
cognitive contact or interaction through commitment, according to (Bastos Lima,
Persson and Meyfroidt, 2019). Both case studies shed more light on encouraging
behavioral and impact-level interactions and interactions at the output level.
The SDGs for forest protection (SDG 15) and mitigating climate change (SDG
13) are inextricably tied to the bond’s primary goals. At the level of impact, these
fundamental synergies can arise spontaneously. Still, autonomous interaction man-
agement is crucial to speed up their implementation and lower the chances of
duplication, inefficient resource use, or normative dissonance at the domestic
level. As we speculate, these synergies will only sometimes happen on their own.
Yet, to optimize the advantages, efficiency, and improved chances of success in
implementing both REDD and SDGs, governments might pursue such synergies. We
also discover that additional and complimentary synergies can be beneficial. The
active promotion of noncarbon benefits in REDD+ efforts is necessary to secure

complementary and supplemental synergies.
Intentions that are highly synergistic with REDD+ include enhancing implemen-
tation mechanisms and reviving international cooperation for sustainable develop-
ment (SDGs 16 and 17) and the goals of accountable and inclusive institutions at all
levels. Our analysis indicates that proactive synergy building, as opposed to reactive
interaction, is required to respect the core objectives of SDGs and REDD+ – both
proposals’ roadmap similarities but not in an obvious sense. Instead, REDD+ has
laws and regulatory rules, while SDGs are intended for a more sustainable society
without strict norms. Identifying and pursuing linkages between them requires
reliable data and case study storytelling.
Based on national conditions, our analysis has identified potential synergies to
encourage nations to find them early in the implementation processes for both the
bonds and the SDGs. In summary, the SDGs and REDD+ strive to reroute present
unsustainable activities to promote sustainable development. Therefore, the SDGs
and the bonds must be nurtured to realize their revolutionary potential (Bastos Lima,
Persson and Meyfroidt, 2019).
The REDD+ developed by Paiter Surui, Table 1, presents the relationship
between the main ISF concepts developed by Poyser and Daugaard (2023) and the
SDGs.
We identified four clusters of SDG linkages. The first one, economic development
and entrepreneurship origins, is based on the decolonized perspective of economic
development through the following characteristics of REDD+: social and cultural
aspects of indigenous initiatives to territory management, decision-making with the
active participation of indigenous leaders, and the territory management plans and
sustainable production. We understand that respecting the cultural aspect of indig-
enous communities is the first step to fulfilling the Agenda and providing synergies
in the decolonization effort, especially regarding revenues and income increase of
native villages. The SDGs recognized on this axis are: SDG 4, “Ensure inclusive and
equitable quality education and promote lifelong learning opportunities for all”;
10, “Reduce income inequalities”; and 11, “Make cities inclusive, safe, resilient
and sustainable.”
The second axis comprises the indigenous sustainability values in investment/
business activity. For that, we clustered SDG 8, “Promote sustained, inclusive and
sustainable economic growth, full and productive employment and decent work for
all”; 5, “Achieve gender equality and empower all women and girls”; and finally
SDG 15, “Protect, restore and promote sustainable use of terrestrial ecosystems,
sustainably manage forests, combat desertification, and halt and reverse land degra-
dation and halt biodiversity loss.” The way indigenous people manage the territory
shows intrinsic preservation beliefs and norms because they are and feel part of
nature. Governance of the results of the bonds and unfolding to society is one of the
main challenges to measuring the performance and impact of the bonds.
The third axis is about impact investments and indigenous economic actions. In
this axis, we allocate the impacts on deforestation, reforestation, and conservation of
the territory to revert the investments as responsible remunerations that do not
Table 1 ISF dimensions and SDGs

Identified characteristics in
ISF dimensions SDGs Reasoning the REDD+
Economic 4, The decolonized perspective Mainly social and cultural
development and 10, 11 of economic development aspects take indigenous
entrepreneurship initiatives to territory
origins management
Decision-making with the
active participation of
indigenous leaders
Territory management plans
and sustainable production
Indigenous 15, 5, 8 Indigenous values and beliefs Financial return aimed at
sustainability promoted in a collective strengthening sustainable
values in territory management production systems, social
investment/ and cultural projects,
business activity territory control and
conservation systems, and
sustainable business model
design
Indigenous 12, Responsible investment that Assessment and monitoring
business activity 9, 14, aligns the funds for social and of emissions volumes and
and investment 16 environmental good with amounts to be offset
impact economic outcomes to the Financing guarantee
communities Ownership of emission
reduction certificates
Socioeconomic 1,2,3, Partnership with global supply Establishment of long-term
development of 6, 7, chains and capitalist partnerships
indigenous 16, and organizations Respectful Attention to the legal
communities 17 regulation and finance tools aspects of the project and
respect for community
autonomy
Ability to finance
sustainable projects
developed by community
members
Possibility of acquiring
resources for the continuity
of established initiatives
Strengthening the territory’s
governance systems
exceed the indigenous communities’ religious or traditional cultural values. There-

fore, we concatenate SDG 12, 9, 14, and 16; that is, “Build resilient infrastructure,
promote inclusive and sustainable industrialization and foster innovation”; “Ensure
sustainable consumption and production patterns”; “Conserve and sustainably use
the oceans, seas and marine resources for sustainable development”; and “Promote
peaceful and inclusive societies for sustainable development, provide access to
justice for all and build effective, accountable and inclusive institutions at all levels.”
Finally, the fourth axis addresses the gap in business activities in alignment with
indigenous traditions, including entrepreneurship, handicrafts, extractivist, fishing,
and small rural animal and vegetable production. In this axis, we endorse the
capacity of the indigenous people to seek beyond subsistence and to have the right
to profit as any other type of business. In this sense, REDD+ has directly favored the
community by providing: establishment of long-term partnerships, attention to the
legal aspects of the project and respect for community autonomy, the ability to
finance sustainable projects developed by community members, the possibility of
acquiring resources for the continuity of established initiatives, and strengthening
the territory’s governance systems.
This includes the income-generating potential of businesses and the need for
better access to essential services such as food, education, health, and sanitation. In
this sense, we sought to group the SDGs synergistically, including SDG 1, “End
poverty in all its forms everywhere”; 2 “End hunger, achieve food security and
improved nutrition and promote sustainable agriculture”; 6 “Ensure availability and
sustainable management of water and sanitation for all”; 7 “Ensure access to
affordable, reliable, sustainable and modern energy for all”; 16 “Promote just,
peaceful and inclusive societies”; and 17 “Revitalize the global partnership for
sustainable development.”
Limits to predatory growth can be set at the outset of new ventures before the
desire for larger scales can compromise outcomes that benefit the environment and
indigenous society, corrupting values and colonizing people in the pursuit of unbri-
dled profit.
Implications for Governance and Organizational Processes
Despite the project structure, indigenous communities has diffuse social organiza-
tions related to their development process based on cultural aspects and their
relationship with the forest. To understand the governance system in this study, it
is necessary to know that the Paiter Surui people have a social system divided
between clans; that is, the decision-making processes must respect this social
arrangement. The four words, e.g., Gameb, Gamir, Kaban, and Makor, give a
sense of political and social organizations among community members.
Several meetings were held over 2 years to systematize the REDD+ and share
interests. As a result, the leaders of the clans and members of the villages distributed
throughout the territory could discuss the main aspects of the project and share their
doubts and points of resistance concerning establishing an initiative such as REDD+.
Taking as a basis that governance processes are related to the way multiple
stakeholders interact in decision-making processes (Gustafsson and Schilling-
Vacaflor 2021; Morgan et al. 2023), for deliberation about a specific topic, it must
be that about forests and carbon emission reduction initiatives, the considerations
and representations can be divergent at the same time as complementary (Gustafsson
and Schilling-Vacaflor 2021). Understanding the form of organization of the Paiter
Surui people in the case of the REDD+ project allows us to think about how
indigenous communities can, based on their social and political organization, estab-
lish mechanisms for controlling the assets available in their territory as a way of
safeguarding the collective interest. At the same time, potential funding is generated
for the activities developed in its territory.
From the perspective of legitimacy, capacity, and power (Morgan et al. 2023),
there is a strengthening of the community not only as stewards of biodiversity or
forest assets that can help fight climate change but also as land tenures that are
capable of creating their governance systems, respecting main cultural, social,
and political aspects when inserted on the broader environment such as international
and political negotiations, creating an open space to highlight indigenous concerns
and putting the people in central discussions to decision-making processes.
Thinking about aspects like transparency, accountability, inclusiveness, and col-
laboration (Morgan et al. 2023), the REDD+ project constituted an essential mech-
anism for financing protection (Gustafsson and Schilling-Vacaflor 2021), inspection,
and capacity to monitor activities in the territory through payments for environmen-
tal services (Ávila 2010). Furthermore, this project paved the way for the Paiter
Surui to receive financial resources through fees for environmental services, focus-
ing on selling carbon credits. In addition, it assured autonomy to the people so that
there were the monitoring of resources, the definition of initiatives to be contem-
plated, and the purpose of short, medium, and long-term strategies for investments in
conservation actions (Shinbrot et al. 2022), sustainable production, and the estab-
lishment of new models of businesses to keep up with emerging opportunities.
Credit Access and Territory Governance Status
When considering the potential of a project like REDD+ and its innovative features
to encourage the reduction of carbon emissions by developing countries, some
aspects must be considered, such as the ability to obtain financial resources for
indigenous communities and government organizations, among others (Shinbrot
et al. 2022). Those agents are seekers to contribute to mitigating these emissions
in the form of compensation.
Furthermore, the project underwent validation of environmental aspects and
whether it followed the main guidelines for calculating and establishing targets for
carbon levels. At this point, it was necessary to carry out the validation process based
on two criteria, namely Climate, Community and Biodiversity (CCB) and the
Verified Carbon Standard (VCS) (Idesam 2012). The first indicator, CCB, seeks to
delimit how much the project meets socioenvironmental criteria linked to the
territory and its capacity to contribute to removing greenhouse gases (GHG).
Because it is a protocol that does not allow for the generation of verified carbon
reductions, it was also necessary to establish VCS so that the project met the carbon
accounting criteria to be accounted for and remunerated by the project (Idesam
2012).
Analyzing the project developed by Paiter Surui, some aspects can be understood
that face the perception that a plan for obtaining resources goes beyond purely
marketing interests. Given its social structure, the Paiter Surui sought to establish
fronts for getting resources to invest in activities aimed at the continuity of the
community and its territory based on respect for the particularities of the Surui
culture and society. This would strengthen the concept of preserving the existing
ethnobiodiversity in the territory and establishing sustainable production mecha-
nisms, among other initiatives that could boost the territory’s economy.
From the various rounds of negotiation to align interests, the Paiter Surui people
managed to delimit the certification, and the resources from the project would be part
of the Paiter Surui Fund launched at COP16 (Idesam 2012). With this financial
mechanism, the members of the Paiter Surui community were able to establish a
resource distribution system delimited by a sound governance system, with carbon
credits that belonged to a specific portfolio. Therefore, the financial return from
carbon offsets (Shinbrot et al. 2022) allows, in addition to the maintenance of forest
assets, the ability to invest in strategic areas that can ensure greater dynamism to the
local economy and new ways of obtaining income for this indigenous community
(Idesam 2012).
Furthermore, the fund sought to comply with good governance and transparency
principles. The indigenous deliberative councils monitored the destination of the
resources obtained from the carbon redemption through the REDD+ initiative. Once
the project was established, a training process was also carried out so that commu-
nity members could create strategies and delimit the purpose of the resources
obtained from the plan.
Implications for Sustainable Finance
One of the unique solutions for sustainable finance is financial bonds with environ-
mental and social ends. An illustration of the kind of innovation the World Bank is
attempting to promote within this framework is the World Bank Green Bonds. The
World Bank Green Bond is a way for investors with fixed incomes to contribute
money to the World Bank’s lending program for projects that either work to reduce
climate change or assist those who are affected by it in adjusting to it (WB 2023).
Although Green Bonds are a relatively new financial product, since 2007, they
have grown tremendously. These are bonds like any other, but they feature environ-
mental projects like energy efficiency, clean energy production, sustainable land use,
etc., as a condition for their issue. Green Bonds finance a range of projects with
environmentally sustainable features, including water and waste treatment, pollution
prevention and control programs, wind farm railways, and more general programs
related to sustainable water use or eco-friendly construction, to name a few
(EU 2023).
With the revenues from a new class of bonds called “transition bonds,” compa-
nies can migrate to having less influence on the environment or reducing their carbon
emissions. The money can only fund legitimate transition initiatives, whether brand
new or already underway. The issuer of these bonds must pledge to adopt more
environmentally friendly company practices. While neither the project nor the issuer
is needed to be “green,” the proceeds from the bonds must be used for activities that
support the climate transition (ISF 2023).
This restriction implies a trade-off between “goods” valued differently and
conflicting relationships with the forest and conservation methods. There is a strong
need for information to gauge the program’s ramifications, mainly about using the
land for sustaining their productive traditions, even though the REDD+ idea may
have detractors in the governmental and indigenous communities (Marin-Herrera
et al. 2021). In the international arena, REDD+ received support from multilateral
organizations, including UN-REDD, FCPF, CMNUUC, World Bank, and govern-
ments of developed economies in the technical preparation process for the REDD+
funding process.
So, it is crucial to consider all feasible options, with REDD+ being one of the
most significant. REDD+ might be among the most important. Forest fragments
contain effective carbon that can be released due to land use changes from livestock
grazing to livestock grazing at rates currently about 1.5%. However, that could
reduce to 1.5% if the socioeconomic factors that cause this forest loss are modified
(Leija et al. 2021). Despite these attempts, REDD+ project developers need help
growing their operations. This is due to the initial capital intensiveness, lengthy
cycle durations of REDD+ initiatives, and the risky character of these projects,
contributing to the need for more financing. Because of this, developing more
precise ways to evaluate projects and programs is becoming increasingly important
to investors, banks, and governments. Risk is another crucial factor in investment
decisions that determines whether a project can draw investors into high levels of
risk (Fajardo et al. 2020).
Despite contributions that emerge from REDD+ projects, it is also essential to
understand that indigenous communities have a reasonable environmental income
from which they can develop other activities. The agroforestry nontimber goods,
such as Brazilian nuts, copaiba, banana, and coffee, or even handicrafts, allow the
establishment of a complex system of incomes and revenues necessary for these
communities to create designs more challenging to manage your resources. It is also
worth understanding that these complex systems emerge from economic activities
linked to the territory’s capacity concerning the central cultural and social precepts
and the relationship between the people and the forest. Business models are
established so that the primary potentialities of sustainable exploration allow the
continuity of life of the Paiter Surui people in the territory and contribute to
mitigating global warming and reducing carbon emissions from a sustainable finan-
cial system and economy.
Conclusion
The REDD+ developed by Povo Paiter Surui in Brazil is an important initiative for
acquiring assets arising from carbon offsets to expand financing possibilities and
establish strategies for creating a community based on the resources available in its
territory. Processes such as REDD+ pave the way for the establishment of a
reduction in deforestation and minimization of environmental harms, among other

issues concerning indigenous knowledge, traditions, and daily life aspects, and
making investments in strategic areas possible. The conservation of the territory’s
ethnobiodiversity is obtained from strengthening governance over the territory,
bearing in mind that the community acts as stewards and tenures of the natural
resources available. Among others, its key aspect is to understand how the Paiter
Surui structure a cycle of governance based on their social, political, and cultural
elements, with respect for traditions and divisions between clans. This division
allowed initiatives for the preservation and conservation of the territory to material-
ize, and mechanisms such as legitimacy, capacity, power, transparency, accountabil-
ity, inclusiveness, and collaboration were essential for structuring the project.
Thus, this study described a case of indigenous sustainable finance in Brazil using
REDD++ and provides links to the Sustainable Development Goals Agenda.
It is essential to highlight how indigenous sustainable finance (ISF) contributes to
understanding the main aspects that ensure autonomy for an indigenous community
to establish its accountability and governance mechanisms based on territorial
management. Thinking about strategies contributing to economic development and
intrinsic characteristics of indigenous entrepreneurship makes it possible to under-
stand how indigenous knowledge can establish new parameters for understanding
the relationship between nature and the market. Also, establishing business and
investment capacity from an indigenous perspective allowed the Paiter Suruí to
develop parameters that respected their social and economic dynamics, inserting
indigenous leaders and the community in general in decision-making processes that
respected their opinions.
Concerning the SDGs as a guiding agenda that holds substantial contributions to
the ISF’s main aspects, it is essential to consider that the analyzed REDD+ project
allowed some points to be linked to mechanisms that contribute to sustainable
development and improved quality of life in the community, such as decision-
making with the active participation of indigenous leaders; autonomy to the territory;
territory management plans and sustainable production; financial return respecting
sustainable production systems, as well as social and cultural projects; ownership of
emission reduction certificates; establishment of long-term partnerships; and
strengthening the territory’s governance systems.
Although the project was finalized in 2018 by the decision of the Surui commu-
nity, the contribution that a REDD+ project can ensure to the indigenous community
is observed as a form of financial return from conservation initiatives and offsetting
carbon offsets. Furthermore, it is noteworthy that additional benefits, such as biodi-
versity conservation, improved quality of life, and reforestation of degraded areas,
can establish parameters for other communities to seek to develop similar projects.
Being the first indigenous community to establish a REDD+ of this kind worldwide,
the Paiter Surui demonstrate how they can strengthen governance mechanisms to
obtain strategic resources for preserving their territory and developing sustainable
production systems contributing to the mitigation of the climate change crisis.
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Sustainable Tourism in the Southern Santa
Catarina and Highland Plateau Region
Ivone Junges, Priscila Cembranel, Raissa Maria Rita,

José Baltazar Salgueirinho Osório de Andrade Guerra,
Luis Armando Martínez, Bruno Dutra Della Giustina, and
Orlandy Orlandi
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1086
Sustainable Tourism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1088
Tourism and Sustainable Development Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1088
Tourism and Territory Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1089
Tourism in Santa Catarina: Related Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1090
Methodological Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1092
Analysis and Discussion of the Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1093
General Vision of the Regional Touristic Potential . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1094
Mapping of the Touristic Route . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1097
Tourist Route Proposal and Guide for the Tourist Consortium . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1100
I. Junges (*)
GREENS at the University of Southern Santa Catarina, Tubarão, SC, Brazil
e-mail: ivone.junges@animaeducacao.com.br
P. Cembranel · R. M. Rita
UNISOCIESC-University Educational Society of Santa Catarina, Jaraguá do Sul, SC, Brazil
J. B. S. O. de Andrade Guerra
Cambridge Centre for Environment, Energy and Natural Resource Governance, (CEENRG),
University of Cambridge, Cambridge, UK
L. A. Martínez
Vanderbilt University, Nashville, TN, USA
e-mail: luis.a.martinez@vanderbilt.edu
B. D. D. Giustina
Student of the International Relations course at the University of Southern Santa Catarina – Unisul,
Tubarão, SC, Brazil
O. Orlandi
Municipality of São Bonifácio, Santa Catarina, São Bonifácio, SC, Brazil

https://doi.org/10.1007/978-3-031-16017-2_57
1086 I. Junges et al.
Final Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1104

Cross-References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1105
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1105
Abstract
The objective of the chapter is to propose a sustainable route and certification
criteria for the creation of a Consortium on Tourism in the Southern Santa
Catarina and Highland Plateau Region based on regional vocations and possibil-
ities. This is a qualitative study based on secondary data and documents, inter-
views, and visits to tourist spots in the cities in the target regions of the chapter.
The researchers executed journal techniques and unstructured interviews with
local actors, namely, residents and public and private institutions that support
tourism and entrepreneurs in local tourism. The chapter allowed for a greater
understanding of the structure of tourism by indicating a continuous entry of new
ventures and tourism modalities with challenges and problems that have not yet
been overcome, such as deficient infrastructure, the absence of a culture of
belonging to the territory on behalf of some actors and citizens affected by
touristic activity, economic activity aligned with the UN Sustainable Develop-
ment Goals (SDGs), and the lack of an innovative spirit and institutional support
from some governing officials. Tourism business arises from individual initiatives
that are still disconnected from a sustainable regional tourism plan. The Consor-
tium on Sustainable Tourism offers great possibilities for contributing decisively
to the achievement of the main goals and actions related to at least nine SDGs:
1 (eradication of poverty), 4 (quality education), 5 (equality and gender), 6 (clean
water and sanitation), 8 (employment and economic growth), 9 (industry, inno-
vation, and infrastructure), 10 (reduction of inequalities), 11 (cities and sustain-
able communities), 12 (responsible consumption and production), and
17 (partnerships in support of goals).
Keywords
Consortium on sustainable tourism · Sustainable development · Tourism and
territory development · Tourism in Santa Catarina
Introduction
Tourism is considered a sector whose economic activity is important in the state of

Santa Catarina, as it generates jobs, keeps individuals in the territory, develops
regional skills, and takes advantage of the benefits of existing natural resources.
Nonetheless, it is an activity that lacks greater specialization and construction of
expertise, as well as mapping, booklets, diagnostics, and the construction of routes
aligned with the UN Sustainable Development Goals (SDGs) (Honório and Rocha
2020). In Santa Catarina, especially in the Southern and Highland Plateau Region,
there are generally favorable geographical, cultural, environmental, and natural
Sustainable Tourism in the Southern Santa Catarina and Highland Plateau Region 1087
conditions. Despite these advantages, the territory requires further propagation and
construction of physical structure, human capital, and the mapping of the skills
necessary to leverage sustainable touristic activity (Anjos and Andrade 2021).
The region encompassed by the chapter is a territory with touristic potential and
many visitors who generate income for families and small businesses. Nonetheless,
there is potential for the further sustainable development and generation of positive
economic externalities for the regional community through the addition of value to
the touristic activity (Wallowski et al. 2021).
To that end, this chapter suggests the use of a methodology of aggregation and
articulation of the involved actors’ efforts, otherwise known as the “Tourism Con-
sortium.” The Tourism Consortium aims to bring together interested users of the
territory to generate skills, productivity, and collective gains since, individually,
businesses, families, and institutions would not be able to generate such an impact
(Brito 2020; Guzzatti et al. 2017).
The alignment of tourism activity with the SDGs through a Consortium can help
supplement the income of local families and promote the expansion of tourism in the
winter period, considered to be low season, especially for the coast, and high season
for the mountainous regions. Hence, it is essential that tourist attractions and spaces
are structured to encourage the implementation of signs for tourists and a program
for the regionalization of tourism for increasing touristic activity in these periods of
the year, as recommended in the Regional Development Plan for Tourism. In this
light, it is possible to support the local businesses as they respect the profile of their
municipalities to encourage cultural tourism by proposing a sustainable outline
according to the migratory route responsible for the settlement of the region (Spencer
and McBean 2020; Santa Catarina 2020).
The territory under study is a stimulant of tourism in Santa Catarina and covers
60 municipalities in the Southern and Highland Plateau region (Santur 2021a).
Another issue relevant to the chapter is investment in the infrastructure of the region,
especially in the Serra do Corvo Branco and Serra da Rocinha (Guia de Destinos
2020). Thus, this chapter highlights the potential of the local and regional tourist
economy, the necessary skills, and a capacity for indicating some trends in the public
and private management of resources in the tourism sector. By centering the sector’s
importance in the local and regional economy, the chapter indicates the vocations
and possibilities granted the implementation of a Tourism Consortium for the region.
It is worth noting that the region targeted by the chapter has unfavorable socio-
economic indicators. Thus, one of the strategies to leverage the regional economy is
the tourist activity in a more articulated, organized, and sustainable way, in compli-
ance with the SDGs (Santur 2020).
In this light, the chapter proposal presents the following research question: “How
to structure a proposal for the implementation of a Consortium on Sustainable
Tourism in the Southern Santa Catarina and Highland Plateau Region based on
regional vocations and possibilities?”
To continue the chapter, the research objective was chosen to propose a sustain-
able pathway and certification criteria for the creation of a Tourism Consortium for
the Southern Santa Catarina and Highland Plateau Region based on regional voca-
tions and possibilities.
The research intended, through the selected methodological design, to answer the
research question and reach the proposed objective.
This chapter is divided into five sections, starting with the introduction centered
on a discussion of the researched theme, the research question, and the chapter
objective. Next, the chapter presents studies regarding the tourism sector contextu-
alized in a global, national, state, and regional discussion. International and national
authors were consulted, as well as numerous official websites with secondary data,
both socioeconomic and ethnocultural about the tourism sector, and websites with
the main routes most frequented by tourists who provided their opinions, tips,
advice, and perceptions of the places visited. In the section “Methodological Pro-
cedures, ”the research methods used (methodological design) that are believed to be
closest to the objective of the chapter are presented. In section “Analysis and
Discussion of the Results,” the results of the chapter are presented and discussed,
starting with a contextualization of the main cities belonging to the studied region,
then the mapping of the tourist route and, finally, the proposal of a Tourism
Consortium aligned with sustainable development. The last two sections present
the main conclusions and lessons that were summarized from the research findings
and the references that provide theoretical support for the chapter.
Sustainable Tourism
The section on the theoretical framework addresses sustainable tourism, the main
theme of the chapter. It starts with the review of studies on tourism and the objectives
of sustainable development, followed by tourism and the development of territories,
and, finally, tourism as a platform for development of Santa Catarina, state in the
south of Brazil, which represents 3.4% of the national territory and has 295 munic-
ipalities (Ibge 2020).
Tourism and Sustainable Development Goals
Tourism at both global and regional levels is important for the achievement of the
SDGs, especially when one considers the pressure of climate change and the threats
it poses to nature and territories (Movono and Hughes 2020).
Sustainable tourism activities can contribute to improving gender inequality
(Alarcón and Cole 2019), job creation (Spencer and Mcbean 2020), land-based
life care and biomes (Hall 2019), water quality (Cole 2014), increasing quality of
life and health (Gossling et al. 2020), and employment (Robinson et al. 2019), for
example.
This is due to the improvement of the economy and the growth of communities
aligned with the SDGs and through partnership between public and private sectors to
match the expectations of all involved. This is a learning process that aims to respect
the culture of tourist destinations in search of economic development and invest-

ments in infrastructure that align with the law and at the same time preserve natural
heritage. When the tourism sector grows without planning, the establishment of
partnerships may be jeopardized, since investors end up not considering the local
complexities. This makes it impossible to implement improvements in communities
(Movono and Hughes 2020; Silva et al. 2013).
In this context, it is up to public policy actors to involve the SDGs in tourism
implementation strategies. This attitude, in addition to good partnerships, guarantees
the conservation and revitalization of cities to develop all sectors at the national and
regional level (Spencer and McBean 2020).
The responsibility of the private sector in the pursuit of sustainable development
must also be emphasized. After all, one of the main objectives of tourism activity is
economic development. This should be linked to the improvement of the conditions
of the local population and advocate the attainment of a healthy standard of living
based on the protection of the ecosystem in order to guarantee sustainable tourism
(Alhasni 2021).
Sustainable tourism meets the objectives of sustainable development by pursuing
economic growth, attracting investors, preserving the environment, and enhancing
the culture of the place. The main care is the non-politicization of these two themes,
considering that this is an important metric of prosperity for governments and should
not be tied to the interests of public managers (Streimikiene et al. 2020).
Thus, in line with the literature, the proposal of the sustainable Tourism Consor-
tium has great possibilities to contribute decisively to the achievement of the main
goals and actions related to at least nine SDGs: 1 (poverty eradication), 4 (quality
education), 5 (equality and gender), 6 (clean water and sanitation), 8 (employment
and economic growth), 9 (industry, innovation, and infrastructure), 10 (reducing
inequalities), 11 (sustainable cities and communities), 12 (responsible consumption
and production), and 17 (partnerships for goals).
Tourism and Territory Development
Tourism promotes economic development and has been gaining prominence in the
world economy in recent decades. The search for emerging international destinations
in which Brazil has been standing out, due to its great potential, is also growing.
According to Nunnes and Schlindwein (2017), in many countries there is growing
interest in this area for economic and social development through tourism.
With the development of the tourism sector, phenomena of consumption occur,
income is generated, and markets are created in equilibrium. “The results of the
resulting financial movement are very expressive and justify that this activity be
included in the programming of the economic policy of all the countries” (Oliveira
2002, p. 45).
Sustainable tourism is characterized by concern for economic, social, and envi-
ronmental impacts. Its goal is to serve the tourist and those interested without
harming the community and nature (Damas 2020). It also aims at economic
development and influences community life through social, economic, and cultural
relations (Nunnes and Schlindwein 2017). However, if not carefully planned, the
flow of travelers also brings about not always positive changes in the relationships
mentioned above, including environmental ones that “can make tourism a problem
for the receiving communities, causing the destruction of traditional ways of life and
ecologically preserved regions” (Dias 2003, p. 16).
Thus, as a way of providing development and mitigating the problems caused by
the exploitation of tourist destinations, the Program of Regionalization of Tourism
appears through Law 11.771/2008. The main objective of the law is to support the
structuring of destinations, management, and promotion of Brazilian tourism with
the support of public and private initiative. In addition, 219 tourist regions were
identified in 3319 municipalities (Brazil 2008, 2010).
Over the years, destinations have been structured and promoted through eight
premises: decentralized management of destinations, planning and market position-
ing to qualify services in the area, qualification of professionals and services, tourist
infrastructure, entrepreneurship and fundraising, promotion of training of informa-
tion to tourists, strengthening of campaigns to promote local trade, and monitoring
the impact of the sector (Fonseca et al. 2019).
Similarly, categories were developed through a program based on mapping,
categorization, training of managers in the territories, promotion of regionalization
through projects, communication, and monitoring of the development obtained.
Even so, despite the efforts of the regionalization program, there is still more
development in the coastal regions of the South and Southeast. Thus, the process
of internalization occurs gradually (Silva 2016).
Generally speaking, it is observed that the municipalities are evaluated by way of
a classification into categories A (consolidated and international destination), B
(destinations with Brazilian tourists only), and C, D, and E (destinations in the
process of organization). The variables are analyzed qualitatively and quantitatively
in terms of management and tourist activity (Brazil 2013).
Thus, the categorization of municipalities of tourist regions occurs through the
existence of five variables. These are number of accommodation establishment, jobs
in the hosting sector, estimate of domestic visitors, international visitors, and federal
tax collection from the hosting media. Thus, when verifying that these requirements
are met, classifications A (for those that present the five variables), B (for those that
present four), C (for those that present three), D (for those that present two), and E
(for those that present one) are given (Mtur 2019).
Tourism in Santa Catarina: Related Studies
For Ruchmann (2002, p. 1), “people travel to certain destinations because of their
climate, the beauty of their landscapes (...),” a fact that is remarkable in the region
under study. The south of Santa Catarina and the Serrano Plateau constitute a
territory that has been attracting visitors from various places of Brazil and the
world, for their natural beauty, biodiversity, wineries, and climate and canyons,
some of the largest in depth and extent in Brazil. It is an initiative within the National
Tourism Plan and the Program of Regionalization of Roadmaps of Brazil, with the
intention of promoting the tourist destination located in the South of Brazil.
Santa Catarina is divided into 13 tourist regions. These are Contestado Valley,
European Valley, Immigrants Valley, Great West, Princes’ Way, Border Paths,
Southern Charms, Green Coast and Sea, Canyons Way, Santa Catarina Mountain,
Greater Florianópolis, High Valley Paths, and Water Valley. The latter 2 were created
in 2017 to include 67 municipalities (Arnhold et al. 2018). However, even with the
inclusion of two new regions, the number of municipalities of tourist interest fell
from 251 to 177 cities (Santur 2020).
The municipalities covered in the consortium proposal are from two regions:
Charms of the South and Serra Catarinense. The Charms of the South region has
several attractions. There are options for visitors seeking cultural and historical
attractions, ecotourism, adventure sport, and beaches. In addition, there are hot
springs and gastronomic and experiential options that have emerged due to German
and Italian colonization of the site (Santur 2021a, b).
The Serra Catarinense region is known as the headquarters of one of the first
hotels in the country. The predominant attractions in the regions are focused on rural
tourism and ecotourism that exploit the natural beauties, such as waterfalls, araucaria
forests, valleys, and canyons. In addition, there are several wineries and the regional
cuisines of Campeira based on pinion, trout and beef, are the main attractions (Santur
2021a, b).
The study by Walkowski, Damo, and Loch (2017, p. 342) emphasizes that Tourist
routes, tourism routes and tourism are used as the main activity in Associação
Acolhida em Colônia was born as an opportunity for work and income for farmers.
In this activity, the following services are performed: accommodation, food, leisure,
activities related to tourism, guide, transport, etc. Rural tourism has become a
complementary source of income for families in rural areas, preserving its originality
and cultural heritage and contributing to the improvement of the quality of life in the
countryside.
The chapter discusses the importance of adopting strategies and mechanisms for
promoting economic and social development that “reconcile the fundamental prin-
ciples of sustainability is a contemporary challenge for public researchers and
managers in all three spheres of government” (Walkowski et al. 2017, p. 319).
Corroborating the studies indicated here as a reference for the chapter is the
research by Biz et al. (2017), which emphasized the importance of the construction
of tourist routes for the state of Santa Catarina with a view to 2022. The objective of
the study was to increase the competitiveness of tourism, through the Program of
Industrial Development Catarinense (PDIC), to identify the sectors inducing devel-
opment, indicate the future visions for each sector, trace the most likely path to
achieve it, and promote the articulation of all stakeholders. The study focused on the
tourism platform model of Portugal and Australia in line with sustainability in
economic activities, considering the articulation between small entrepreneurs, public
authorities, and urban mobility.
Arnhold Jr. et al. (2018) studied the tourist categorization of the municipalities of
Santa Catarina. For these authors, the successful regionalization of tourism requires
“the participation of representative entities, collegiate bodies (councils, forums),
representatives of the tourist trade universities, associations and other entities inter-
ested in the process were fundamental” (p. 292). The authors also point out that
regional governance plays an important role in this process with the involvement of
tax authorities, public policies, entrepreneurs, and other actors in the territory
involved in tourist activity.
Methodological Procedures
As for the procedures, documentary studies and secondary data were carried out on
the sector of activity (socioeconomic and ethnocultural data) and primary data with
semi-structured interviews with entrepreneurs, industry leaders, residents, etc. and
direct observation with groups of entrepreneurs.
According to Richardson (1999), studies of the qualitative type have character-
istics rendering them similar to studies that investigate the complexity of a given
problem by analyzing the interaction of certain variables, with the purpose of
understanding and classifying the dynamic processes experienced by certain social
groups.
In this sense, the research was developed by means of a qualitative, descriptive,
and exploratory approach, in order to raise perceptions and information about the
reality studied, with the purpose of indicating a proposal for a tourist route and a
sustainable Tourism Consortium as a way of subsistence for small- and medium-
sized entrepreneurs, as well as for the better use of the tourist spaces, including
certification as a differential of a consolidated and adherent regional vocation with
the best sustainable practices.
According to Saunders et al. (2009), the study presents characteristics of an
interpretive paradigm study, since during the visits (field research), the researchers
set aside a considerable amount of time for listening and direct observation with
photos, observation in field diaries, conversations and information, capture of
images, etc. The data were also collected taking into consideration the experience
and expertise of the researchers and the exchange of ideas with specialists from the
tourism sector.
Initially, recognition of reality developed. To this end, the necessary criteria were
raised to define the potential of local tourism and the tourist spots consolidated with
the municipal secretariats, tourism companies, and residents of the communities
visited. This data was analyzed in terms of infrastructure, human capital, and
websites specialized in its dissemination.
Subsequently, the proposed tourist route was developed. This stage started from
the description of historical data and ethnocultural and socioeconomic indicators to
consolidate the sketch of the personalized map. From the sketch of the map, the
needs for infrastructure were identified by means of direct observation in the locale.
The tourist route when implemented should provide greater viability of the
consortium.
Data analysis was performed by content analysis for secondary data and inter-
views, and document analysis for the documents and technical reports identified as
relevant to the chapter. For Bardin (2016), the content analysis includes three
important phases, namely, pre-analysis, where the researcher manages to get an
overview of the contents of documents and talks of the interviewees; followed by
the exploration of the material, when one has familiarity and knowledge to create
categories and units of analysis based on the collected data; and finally, the
processing and analysis of the data. In this chapter, the analysis of content was
used in a more general manner, without so much detail, since the focus of the
chapter was the diagnosis of reality that allowed the proposal of the Tourism
Consortium.
In summary, the research followed, respectively, the following survey proce-
dures: (1) secondary data on the enterprises of the sector, socioeconomic data of
the region, local public policies, cultural characteristics, sector studies, etc.;
(2) choice of the main anchor municipalities for the development of work stages;
(3) identification of strategic actors; (4) thematic meetings; (5) data collection and
systematization; (6) data validation with strategic actors (local actors); and (7) the
proposal to systematize the methodology of Tourism Consortium for the territory
with local actors.
After the collection of all the data and the systematization of the collected
information, the illustrative map of the route was constructed and information that
can serve as material for the construction of guides and signs indicated the tourist
route.
Finally, the researchers proposed to create a committee to generate the certificates
and verify the standards adopted in the sector, to define the certification criteria, and
to propose the creation of the certification seal for the Tourism Consortium of the
analyzed territory.
Analysis and Discussion of the Results
The main results achieved with the realization of the project are divided in the
following order: an overview of the regional tourism potential, mapping the tourist
route, infrastructure needed to boost tourism in the region studied (consortium),
tourist route proposal, proposal for a tourist guide for the Tourism Consortium,
proposal for a flowchart for the implementation and operation of the Tourism
Consortium of the south region of Santa Catarina and the Serrano Plateau, and the
proposal for sustainable criteria for the certification of the actors involved in the
Tourism Consortium.
General Vision of the Regional Touristic Potential
The municipality of Imbituba is located on the southern coast of the state of Santa
Catarina, recognized for its natural beauty. Belonging to the Encantos do Sul Region
and classified in category B, it is considered the national capital of the Baleia-franca
(Mtur 2021). It has 40,170 inhabitants, according to the last IBGE census of 2010
and has an area of 186.78 km2. It borders Garopaba, Imaruí, Paulo Lopes, and
Laguna. The city is financially busy largely because of the presence of the Port of
Imbituba on its coast and fishing activities. Its greatest tourist highlights are the
beaches of Itapirubá, Vila, D’Água, Luz, Porto, Ribanceira, Praia Vermelha, and the
internationally known Praia do Rosa. The project Baleia Franca is based in Imbituba
and attracts visitors who want to learn how the promotion works for the preservation
of the species, through the education of tourists and residents, being that the
municipality was once a fishing pole of the animal. There are also a number of
possible trails to be made in the midst of the vegetation that end up on the seaside.
For lovers of extreme sports, there is a team that offers skydiving services in the city,
with a stunning look (Oliveira et al. 2020; Holiday Brazil 2020c; Moulin 2020;
Litoral de Santa Catarina 2020).
Laguna is known for having the largest carnival in southern Brazil. The munic-
ipality is part of the region of Encantos do Sul, is classified in category B among the
tourist municipalities, and has almost 45,000 inhabitants according to 2016 estimates
and sees a quantity many times greater than its population visiting the city and its
beaches during the summer (MTur 2021). The historic center of the city is listed by
the IPHAN, due to the importance of its ancient constructions that help to retell the
stories of its long existence, being one of the stages of the Treaty of Tordesillas and
of the Ragamuffin War, the latter revealing outstanding figures such as Giuseppe
Garibaldi and Anita Garibaldi, also known as Heroine of Two Worlds. The city has
an area of 336.39 km2 and is bordering Imbituba, Imaruí, Capivari de Baixo,
Pescaria Brava, Tubarão, and Jaguaruna. A historic tourist circuit in Laguna takes
place through visits to the Anita Garibaldi Museum, Fonte da Carioca, and Igreja
Matriz Santo Antônio dos Anjos. The beaches with the greatest highlights are the
Praia do Farol de Santa Marta, which has the largest lighthouse in the Americas and
third in the world in range, as well as the beaches of Mar Grosso, Cardoso, Galheta,
and Praia do Gi, which have the curious Pedra do Frade and the Molhes da Barra, the
place that gained international notoriety because of the help porpoises gave fisher-
men in catching fish (Giovani et al. 2018; Map in Hand 2016; Prandi 2020).
The name Jaguaruna comes from the Tupi-Guarani: “Yaguara – jaguar” and
“Una – black.” The municipality is part of the region of Encantos do Sul and was
classified in category B in relation to tourism (MTur 2021). With 19,527 inhabitants
according to IBGE estimates of 2017, the municipality borders Içara, Sangão,
Thirteen of May, Tubarão, and Laguna. The beaches are the main tourist spots; the
shell mounds of the region being recently pointed out to have a great potential,
although unknown and devalued by a good part of the population, are one of the
largest in Brazil and the world. There are also ten lagoons in the region that serve as a
fresco for bathers, especially the Lagoa do Arroio Corrente. During the course of the
water flow, the “Chuveirão” is formed, a waterfall that the population and tourists
use to cool themselves, usually after the beach day. Two striking historical points of
the city are also the railway station that helped transport many shipments of coal
from Criciúma in the twentieth century and the Museum of the City of Jaguaruna that
helps to understand the emergence of the municipality to the present day (Cipriano
2015; Portal de Turismo 2020a).
The town of Capivari de Baixo was colonized by Azoreans, has 21,689 inhabi-
tants, and is 142 km away from the state capital. This is part of the region of
Encantos do Sul and was not categorized according to MTur between 2019 and
2021. Capivari de Baixo is recognized for housing the largest thermoelectric com-
plex in Latin America, the Jorge Lacerda Power Plant. The plant produces energy
through coal, a material found abundantly in the region. The tourist highlight in the
municipality is the Environmental Park Encantos do Sul, referenced throughout the
southern region of the state. There are 35 hectares of green area, with 600 species of
animals and 50 species of flowers and trees, making it a lush place in the urban
environment. The park is widely used on weekends by the population for hiking,
play, and picnics. Counting also with the Center for Culture and Sustainability, the
place is much sought after for holding congresses, conventions, lectures, parties, etc.
(Guimarães 2018; Tourism Portal 2020c; Encantos do Sul 2020).
Part of the region of Encantos do Sul, the municipality of Tubarão is the second
largest shopping center in the southern region of Santa Catarina and received the
tourist classification C (MTur 2021). With more than 100,000 inhabitants, it is
strategically located between the mountain and the sea and is cut by the BR-101.
The city also has several cultural attractions, among them being the Municipal
Center of Culture – Willy Zumblick Museum that houses part of the work of the
shark plastic artist and the Cathedral in modern style with its rich stained glass. There
is also the Maria Fumaça that leads to the municipalities of Imbituba, Laguna,
Jaguaruna, Criciúma, and Urussanga. The tour is done in a steam locomotive with
old cars and the starting point is the Railway Museum. There are two seasons with
thermal waters: Baths of the Guard, with hotels and places for relaxation and ideal
for those who search for mud baths or with thermal waters, and Baths of Rio do
Pouso with hotel, quality gastronomy, and thermal baths. Likewise, there are still
possibilities for development for archeological tourism (Guimarães et al. 2018;
Tourism Guide 2020b; Holiday Brazil 2020d).
Gravatal had all its development based on tourism, having as its main attraction
the thermal waters of the region. This is part of the South Charms region and is
classified in category B for tourism (MTur 2021). In the 1940s, studies were started
on the mineral water that sprouts in the municipality and from there investments to
turn Gravatal into a tourist city. The city has three main hotels: Cabins, International,
and Baths. The hotels offer baths in the thermal waters that are recommended in the
treatment for dermatoses, arthritis, and ailments of the nerves, among others. There
is also a water park that you can enjoy the day. A good option also for visitors is to
walk down the main street of the city that concentrates several shops, mainly clothes,
and good cafe options. The must points of the city are the Tataiwarê Mirante, with a
breathtaking view, and the Casa do Mel, where the traditional and natural production
of honey is preserved so unique to the region (Calegari et al. 2020; Guide to Tourism
2020a; Holiday Brazil 2020a; Taketani 2018).
Braço do Norte, without categorization on the Mtur between 2019 and 2021, is a
municipality of the region of Encantos do Sul and has approximately 32,000
inhabitants. This is known as the “Catarinense Capital of Moldings” and the
“National Capital of the Jersey Cattle,” housing every year Feagro, the largest Jersey
cattle trade fair in Latin America. The city has special religious points, starting with
the Church Our Lord of Bonfim which is a beautiful construction in the center of the
city in Gothic architecture. The Gruta Nossa Senhora de Fátima, in turn, is in the
Azeiteiro community and is an interesting refuge in the middle of nature. There is
also the Chapel of Santa Augusta, which is the oldest church of Braço do Norte, built
in 1887 by the Italian immigrant John Baptist Uliano (Guzzati et al. 2017; Portal de
Turismo 2020b).
The town of São Ludgero, in the region of Encantos do Sul, has approximately
13,000 inhabitants and has the first religious seminary of Santa Catarina. The work
was completed in 1944 and it worked as a seminary until 1974, but it was sold to the
State Government and today it is known as the Municipal Administrative Headquar-
ters. The municipality has not yet received tourist classification (MTur 2021). São
Ludgero has a fair of colonial products in the center of the city. This fair arose
through the association of farmers and craftsmen of the municipality who market
items from the field direct to the consumer in the city, attracting many people during
the days of operation. The Umberto Brüning Schlickmann Colonization Museum is
also located in the municipality and was founded in 2000, with more than 2,000
varied items, telling the story of the colonization of the valley of the River Arm of the
North in the mid-nineteenth century (Assing 2021; Tourism Portal 2020f; Traveling
with Marcosh 2020).
Orleans, also part of the region of Encantos do Sul, was a wedding gift from Dom
Pedro II to his daughter Princess Isabel and has a population of 23,000. The city,
category D in relation to tourism (MTur 2021), stands out for its Italian colonization
and has buildings that are in the National Immigration Roadmaps. In the city there is
also the Open Air Museum, in which visitors can see closely the functioning
of equipment and tools used in the late nineteenth century. The site also has exhibits
of objects used by the colonizers. The “Walls of the Yogi” is a well-known attraction of
the city. In it, the sacred artist José Fernandes carved biblical passages on a wall of
rough stone, located next to the River Tubarão, which cuts the city (Preve et al. 2020;
Tourism Portal 2020e; Almeida 2018; Adventure to Two 2017).
Lauro Muller in the region South Charms, category D among the tourist munic-
ipalities (MTur 2021), is located in one of the most famous and beautiful highways in
the world: the Serra do Rio do Rastro. This part of the SC-370 draws attention to the
sharp curves and the beautiful sights along the way of the climb. Producer of cachaça
and beer, the Lohn Bier brewery in the city receives many visits, for having been
awarded in 2017 and 2018 with the best beer in Brazil and other international awards
for its quality (Stangherlin 2018; Tourism Portal 2020d; Holiday Brazil 2020b).
Bom Jardim da Serra belongs to the region of Serra Catarinense and was
classified in category C (MTur 2021). The city with a little more than 4000
inhabitants is one of the most beautiful places of Santa Catarina, being among the
most popular destinations for visitors both from Santa Catarina and from outside the
state. The best-known view is that of the Mirante da Serra do Rio do Rastro, from
which you can see the winding highway and a wide view of the territory of Santa
Catarina on clean days. As for the wind farms close to the viewpoint, they call
attention not only for their large capacity for producing clean energy but also for the
immense size of the giant equipment. The Ronda, Laranjeiras, and Funil Canyon are
other options to appreciate the greatness of the Santa Catarina mountain range, after
crossing some trails and streams. The region is well served with guesthouses, hotels,
and resorts for visitors’ accommodation. Many offer extra activities to guests who
wish to connect with nature through trails, horseback riding, and sports. There are
also many small and family-run shops in the city that offer typical products of
mountain culture and cuisine (Cassão et al. 2019; Elaina 2020; Minotto 2020).
Mapping of the Touristic Route
The mapping of the tourist route (Fig. 1) takes place in a radius of approximately
250 to 300 km if it covers the entire tourist route studied. In the whole route there are
hostels and/or hotels, restaurants, tours, information, and guides prepared.
The main vocations of the consortium include the typical gastronomy with
unprecedented and past recipes from generation to generation, hospitality, adequate
sanitation and hygiene conditions, and family enterprises that provide products and
services with creativity and are sustained by the tourist activities they develop.
The family enterprises are of interest to the owners’ children, that is, they will
have continuity to meet the demand generated by the consortium. It has also been
verified that there are adequate natural conditions that require infrastructure, capacity
building, and dissemination, particularly with respect to the hygiene and food
preparation conditions in the beach regions.
In Fig. 1 the mapping of the touristic route is displayed.
Fig. 1 Outline of the southern regions and highlands of Santa Catarina with the demarcation of the
tourist route. (Source: Map Data ©2022 Google, Brazil. Image adapted by the authors to map the
proposed tourist route, 2020)
The blue dots on the map mean they are central and represent the region within
the tourist route. The highlights of the map are the following regions: Plateau
Serrano and Braço do Norte region that includes São Martinho and surrounding
and the coastline, highlighting the beaches of Imbituba and Laguna. The cities of the
interior by peculiar characteristics, such as gastronomy, generous welcome and
hospitality, with emphasis on the mountainous region by the degree of picturesque
and the beaches, especially the most rustic and natural characteristics (Fig. 2). In
addition, the city’s beaches prioritized infrastructure.
The tourism sector with its most varied segments shows significant potential in
the region studied, which allows the implementation of a Tourism Consortium with
the membership of the regional community, lacking articulation between local
leaders for implementation.
The chapter indicates three major municipal leaders (governments, entrepreneurs,
and community), considering a degree of maturation in activity and behavior of
belonging to the territory: Santa Rosa de Lima, São Martinho, Laguna, and Imbituba.
Fig. 2 Photos of the studied region. Photographic camera photos from researchers, unpublished
photos. (Source: Ivone Junges, 2020)
Fig. 2 (continued)
Such territories could initiate the call process for the implementation of the Tourism
Consortium.
In Fig. 2 some images (photos) are recorded during the field search. The records
were made by the researchers and were linked to the conversations with the
inhabitants; they were not selected randomly, but from the opinion of the local
citizens. The places have a meaning for the community and were selected for
inclusion in this chapter (study summary). The first image is from the Museum of
Colonization in the city of São Ludgero, a place with rich material on German
colonization, much visited by tourists. On its side is the image of a plaque with the
name of one of the houses in a rural area, in the city of São Martinho, which receives
tourists in an environmental preservation area with waterfalls and space for sports
and walking. The third photo is of a guest house and next to it a green house – casa
do chocolate – both houses in a rural area in the municipality of Urubici on the
highland plateau, receiving tourists all year round. In the next sequence, two
churches are much visited by tourists in the municipalities of Santa Rosa de Lima
and Braço do Norte. Next, in the municipality of Armazém, are photos of a space
used for local festivities and attracting tourists to the region. The next photos are
from Fluss Haus – River House, the largest German colonial cafe in the region and
located in the Vargem do Cedro community, receiving tourists from all over Brazil
and other countries. Then two photos, one of the seaside and another of one of the
oldest churches in the region, are from the city of Imaruí, on the coast of Santa
Catarina. Finally, two photos of two historic monuments that are part of the heritage
of the historic center of the city of Laguna, on the south coast of Santa Catarina, a
city that at the time of the Republic was the capital of Brazil for a few days.
In terms of the infrastructure needs of the tourist route, during the on-site visits it
was possible to observe the need to include signage to visitors by means of printed
tourist signs and information. Installation of information centers would also be
welcome along the route. Finally, the investment in tourist marketing is needed to
publicize the regional vocations and the particularities of each place.
Tourist Route Proposal and Guide for the Tourist Consortium
The tourist route proposal comprises a route of 300 km. Considering the possibilities
of stops, shortcuts, overnight stays, and restaurants, it is suggested that it starts by the
beaches in Imbituba, as it is the beginning of the tourist route of the region covered
by the study, and then, for ease of travel, it proceeds to Laguna and Jaguaruna.
Afterwards, it should continue with the historical, religious, and gastronomical
attractions in the other municipalities until arriving to the region of Bom Jardim da
Serra.
The tourist guide for the Tourism Consortium follows the following highlights in
the region, as provided in Fig. 3.
The route would be built in the form of a path, containing signage signs and
information stations and having specific reception events, tips and travel advice, and
the delivery of a brochure with general information and with the address of the link
of the Complete Virtual Tour Guide: access to videos, the history of the municipal-
ities, sights, sports, gastronomy, hotels, and hostels, religious sites, festivities, etc.
The tourist route would also include enterprises and partner families that would
host the specific events and “distribute” information to visitors. The route would be
an experience to be publicized by the visitors passing through it.
The tourist route would be divided into two routes: a more general one with signs
and information on the federal highway and the state highways, and a more person-
alized route close to the most visited or sought-after tourist locations.
Stops on the following touristic spaces and places:

Slabs: juice factories, the Pinhão Festival, the central plaza.
The White Crow Road/Urubici: aprons, House of Chocolate and Coffee, stone
hill, grottos, restaurants, Caminhos da Natureza Inn.
Bom Jardim da Serra: Orange Field Canyons, apple orchards, Santa Rita Inn,
Snow Valley.
Santa Rosa de Lima: Thermal water balneary, Fortune River: Cathedral and
cultural plaza.
São Martinho: Fluss Haus, local inns, Salto da Capivara, Recanto da Natureza
Restaurants.
Armazém: Friendship Nook, Restaurant Tia Maria.
São Ludgero: Cross Hill, Filipe Bakery, Museum of Colonization, Multi-use
Center.
Braço do Norte: Matriz Church, Restaurant Castelinho, Fish and Pay in the city,
Jane Nourishment.
Gravatal: Gravatal Spas, kiosks, Restaurant Divina Gula.
Tubarão: Ironrail Museum, Spas of the River Inn, Spas of Guarda, Cathedral,
Restaurants.
Jaguaruna: Running Brook Beach, Lagoa, Chuveirão, Dune Walk, Sea Slab for
surfers.
Laguna: Lighthouse, Teresa Beach, Galheta Beach, Molhes, Tourist Hotel,
Grosso Sea, historic city (historic center), Little Port, diversity of hotels, inns, and
restaurants, and of different gastronomical varieties.
Imbituba: Ibiraquera Lagoon (beach and bar at Ibiraquera), Light Beach, Rose
Beach, Villa Beach, Beach of Songs, Itapirubá Beach, Port of Imbituba, diversity of
hotels, inns, and restaurants, and of different gastronomical varieties.
Fig. 3 Touristic spaces in the different cities within the studied region. Unpublished illustration.
(Source: Authors, 2020)
The researchers propose that the tourist route be specific to the Consortium of the
Region, but that place and/or tourist space may have autonomy to make its disclo-
sure, however, always linked to the question of the consortium and to sustainability.
Proposed Flowchart for the Implementation and Operation

of the Tourism Consortium of the Southern Region of Santa Catarina
and the Serrano Plateau
The Tourism Consortium of the Southern Catarinense Region and the Serrano Plateau
should involve the leaders of the communities to verify the interest in the consortium,
the choice of leadership for its implementation, and the use of material and human
resources (which will be provided by the tourism secretariats of the municipalities
belonging to the consortium). From then on, the benefits and the purposes of the
regional tourism consortium can be discussed, the demarcation of the territory and the
route of the consortium made, and meeting with municipal and state authorities for
officialization and choice of coordination/secretariats and committees of the Tourism
Consortium conducted.
After this stage, the signs of the consortium’s tourist route, a virtual tour guide,
the creation/adaptation of information centers, and the dissemination on social
media, local newspapers (print and TV), radio, and sites specialized in regional,
national, and international tourism should be developed and installed. The costs may
be apportioned to the tourism offices of the consortium municipalities.
As a proposal to strengthen the consortium, it is necessary to establish a work plan

with some courses of cinema and communication from partner universities for the
development of videos on the main characteristics and curiosities of the municipal-
ities that are part of the tourism consortium of the region.
The creation of a site of the Tourism Consortium of the South Region of Santa
Catarina and Plateau Serrano with resources subsidized by entrepreneurs belonging
to the territory of the consortium is also indicated.
After this stage, training is developed in partnership with Santur and the seals of
belonging to the Tourism Consortium of the Southern Region of Santa Catarina and
the Serrano Plateau. Seals are delivered using three criteria: participation in the
training, coordination of the consortium, and the allocation of expenses, as in Fig. 4.
The seal will be awarded by a committee to entrepreneurs, public entities, and
autonomous local governments that participate in the consortium and should gener-
ate a logo with the intention of, in the future, claiming a geographical indication or
designation of origin.
The fundamental stage is the training of the local actors of the territory of
coverage of the Tourism Consortium:
(a) Training of local guides, as a suggestion: the project proposes a program

according to guidelines and courses of Santur. The regional community repre-
sentatives of the consortium will select the people in the municipalities who
Fig. 4 Deployment of the

Preliminary meeting with local leadership
Tourism Consortium.
Unpublished illustration.
(Source: Authors, 2020)
Detailing and sensibility regarding the

importance of acting in the Tourism Consortium
Consolidation of consortium coordination with

municipal and state leaders
Demarcation of the consortium’s territory, training, signage,

preparation of the route, guide, and site implementation
Dissemination in official and social networks in the

local, state, and national tourist sector. Certification of
member establishments of the consortium
would like to act as local tourism guides and include these professionals in
existing tourism training programs in the country.
(b) (b) Training in gastronomic improvement: from hygiene, improvement of food
preparation, exposure of food, customer service (waiters, box, cleaning staff,
valet, etc.), and welcoming of the tourist. Everyone will win with this action,
from the resident tourist (resident frequenter) to the sporadic tourist who comes
from other places to the tourist passing by or on business.
(c) Course for entrepreneurs (restaurants, bakeries, hostels, hotels, commerce, real
estate, etc.) in welcoming the tourist, service, tourism business management,
harnessing local resources, etc.
(d) Course for public managers in tourism.
Courses can be ordered by segment, but it is understood that a module can be

performed in common for all audiences, that is, for all actors working with activities
directly and indirectly linked with tourism. Other modules can be realized from local
demands.
The forecast is that the costs for financing the training will come from an
investment agreement for the realization of the modules: teachers’ pay, transporta-
tion, food, hosting, and instructional materials. The resources will be allocated to the
enterprises and local governments and state government through budget per munic-
ipality from the elaboration of a global project of the Consortium.
It is crucial to note that, with skills, linkages between local and regional actors,
communication, tourism management techniques, sustainability, public policies with
incentives and tax exemptions, and inherent and pecuniary potentialities to the
different territories, it is possible to consolidate a tourism ecosystem. This ecosystem
would operate on a foundation of differentiated, sustainable, and inclusive innova-
tive entrepreneurship in tourism service and business models. In this context, the
consortium would be a governance strategy (Caldas 2007; Dolabella 1999;
Osterwalder and Pigneur 2011; Teece 2010).
The committee is a part of the Tourism Consortium made up of entrepreneurs,
public entities, and local governments and integrates SDG 17 (partnerships for
goals). The benefits resulting from the activity of the Tourism Consortium include
possibilities for the improvement of infrastructure, thus meeting SDG 6 (clean water
and sanitation) and SDG 9 (industry, innovation, and infrastructure), reaching all
actors involved.
In addition, the consortium will implement the activities of the local entrepre-
neurs and may assist in the achievement of the projects (SDGs 8, 11, and 12).
Further, one of the most relevant actions of the positive economic externalities
arising from the consortium will be the effective contribution to achieving SDG
1 (poverty eradication) and SDG 10 (reduction of inequalities) and SDG 4 (quality
education).
Externally to the committee, it is suggested that a fiscal council be formed with
representatives of civil society, entrepreneurs, and technicians from institutions
linked to the tourism sector to monitor the work of the committee and contribute
to mitigating possible situations of partiality in the decisions of the committee.
The municipalities analyzed in this chapter show aptitude for tourist development,
since they have natural attractions such as beaches, mountains, the countryside, and
mountains. Further, they provide options for travelers, such as museums, squares,
buildings, and landmark monuments.
The region also presents cultural options such as regional cuisine, customs, and
specificities based on European colonization; Azorean, German, and Italian charac-
teristics and traditions; and 32 other ethnicities present in this region of Santa
Catarina.
Through the Tourism Consortium presented, the creation of a committee is
proposed. The committee will consist of entrepreneurs, public entities, and local
governments and integrate SDG 17 (partnerships for goals) and contribute to the
other objectives. However, some structural investments will be needed. These relate
to improvements of SDG 6 (clean water and sanitation) and SDG 9 (industry,
innovation, and infrastructure), benefiting not only visitors but also the local
population.
Coordination will be needed between the objectives of the tourism development
plans of the cities that comprise the proposed route. Coordination is needed to boost
the growth of the sector in the region; promote the valorization of local resources,
such as agriculture, cuisine, and crafts produced by the community (SDGs 11 and
12); and consequently assist in their economic development (SDG 8).
This consortium also integrates SDG 1 (eradication of poverty) and SDG
10 (reduction of inequalities), with the generation of wage labor and SDG 5 (equality
and gender) enabling the inclusion and empowerment of women in the labor market.
With the qualification of tour guides, it is possible to contemplate the SDG
4 (quality education), providing a deepening in the regional historical context and
specialization in the projected tourist route.
Besides raising the tourist vocations, the chapter contributes by establishing a
step-by-step guide for the development of a consortium capable of fostering tourist
planning and improving the classification of municipalities, considering that
although some are part of the planning of regionalization of tourism, they have not
earned a classification yet.
The development of a label with logo also promotes the accreditation of estab-
lishments with the tourists and ensures that people are prepared to receive visitors
both by providing quality services and by improving their infrastructure. The
proposed disclosure by the consortium also allows people to find up-to-date and
unified information on the official website and disseminates the information in a
uniform manner among all participants. This strategy strengthens the hospitality
services and tour guides that will have more opportunities in the region.
One of the major limitations of the chapter was that despite the coverage of the
territory and the team’s visits to all the cities of the region, it was not possible to carry
out a significant number of interviews with all the main players. This limitation was
due to the scope of the territory studied, that is, an extensive territorial area and also
the limited time and resources to carry out the study.
As suggestions for future research, it would be interesting to expand the number

of interviews and carry out a survey with both tourists and local residents to identify
citizens’ perceptions concerning sustainable tourism.
For future studies, it is suggested that detailed research be undertaken along with
the possible development of a consortium with tourist routes covering the other
tourist regions of the state of Santa Catarina, since all have exuberant natural beauty
and a rich historical and cultural collection, as well as ample potential for sustainable
development.
Cross-References
▶ Implementing the SDGs Through Community Rural Tourism in Central Mexico:

COVID-19 Pandemic
▶ Social Action as an Instrument for Implementing SDG12: Southern Brazil
▶ Spatial Analysis of Fortín, Veracruz, Mexico: Agritourism Entrepreneurship Pub-
lic Policy
Acknowledgments This study was conducted by the Centre for Sustainable Development
(Greens) and the Graduate Program in Administration (PPGA), from the University of Southern
Santa Catarina (Unisul) and Ânima Institute (AI), in the context of the project BRIDGE – Building
Resilience in a Dynamic Global Economy: Complexity across scales in the Brazilian Food-Water-
Energy Nexus, and funded by the Newton Fund, Fundação de Amparo à Pesquisa e Inovação do
Estado de Santa Catarina (FAPESC), Coordenação de Aperfeiçoamento de Pessoal de Nível
Superior (CAPES), National Council for Scientific and Technological Development (CNPq), and
the Research Councils United Kingdom (RCUK).
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Sustainable Spatial Development
in the Urbanised Amazon: Promoting
Circular Bioeconomy in the Manaus
Metropolitan Region
Maurizio Pioletti, Giancarlo Cotella, and Tatiana Schor
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1112
Unfolding the Circular Bioeconomy Paradigm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1114
The Manaus Metropolitan Region: A Promising Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1119
Spatial Plans and Instruments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1120
Environmental Protection Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1123
Actors Engaged in Bioeconomy. The Amazon Bioeconomy Investment Innovation
Forum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1125
Towards a Participatory Action Research Agenda on Circular Bioeconomy . . . . . . . . . . . . . . . . . 1127
Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1129
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1130
Abstract
In the Amazonas State (Brazil), the Manaus Metropolitan Region is a vast
territory of “urbanised forest”, featuring a long-standing high deforestation rate,
culminating in the loss of biodiversity and ecosystems. Given its specific char-
acteristics, this region is used as a case study to argue that the current spatial
planning and environmental protection tools are insufficient to significantly limit
deforestation and promote sustainable development. According to the authors,
M. Pioletti (*)
Politecnico di Torino, Torino, Italy
e-mail: maurizio.pioletti@gmail.com; maurizio.pioletti@polito.it
G. Cotella
Interuniversity Department of Regional and Urban Studies and Planning (DIST), Politecnico
di Torino, Torino, Italy
e-mail: giancarlo.cotella@polito.it
T. Schor
Departamento de Geografia, Universidade Federal do Amazonas, Conselho de Ensino e Pesquisa,
Manaus, AM, Brazil
e-mail: tschor@ufam.edu.br

https://doi.org/10.1007/978-3-031-16017-2_96
1112 M. Pioletti et al.
this trend should be inverted adopting an alternative, bottom-up development

model based on the circular bioeconomy paradigm. Indeed, bioeconomy is a
notion widely discussed at the international level and is central in the discourse on
Amazon’s sustainable development. More specifically, the Amazonas State has
developed a multi-scalar definition of bioeconomy, focusing on (i) the
valorisation of sociogeobiodiversity, (ii) the level of forest exploitation and (iii)
the production of commodities. Aiming at shedding light on the matter, the
chapter discusses the circular connotation that bioeconomy may assume, as
well as the importance of its acknowledgement as a sustainable spatial planning
practice. In particular, it analyses the existing spatial planning and environmental
protection tools and how the latter may be adjusted to promote a circular
bioeconomy in the Manaus Metropolitan Region. In doing so, the authors envis-
age an innovative local development paradigm for the urbanised regions of
the Amazon, that can contribute to the achievement of the multiple targets
composing SDG 11 (Sustainable Cities and Communities), while also touching
upon selected targets of SDG 12 (Responsible Consumption and Production) and
SDG 13 (Climate Action).
Keywords
Amazon · Bioeconomy · Circular Economy · Manaus Region · Action Research ·
Sociogeobiodiversity · Rainforest · Commodities · Spatial planning ·
Environmental tools
Introduction
According to the Paris Agreement (2015), Brazil should recreate approximately

120,000 km2 of forestland by 2030 for its Nationally Determined Contribution
(Wang et al. 2020; Viola et al. 2021; Serra et al. 2021). Nevertheless, internal
deforestation increased by 46% in 2019 (Müller 2020) and the forest capacity as a
carbon sink is projected to drop to zero by 2030 (Hubbau et al. 2020), with
significant consequences for climate change, biodiversity loss, desertification and
soil erosion, both at the global and regional levels (Lapola et al. 2019; Fonseca et al.
2019; Peng et al. 2020). In 2019, deforestation extension was about 83% larger than
in the previous year. Similarly, forest fire alerts increased by 80% and deforestation
in the indigenous territories by 30% (INPE PRODES DETER Online; Müller 2020).
The federal prevention of logging has dramatically decreased, due to the
decommissioning of the institutions and the weakening of governance and planning
instruments devoted to rainforest protection (Alencara et al. 2020; Rapozo 2021).
Increasing deforestation is caused by economic activities such as extractivism,
agribusiness and large-scale, unsustainable bioeconomy of commodities (Fonteyne
2020), which are stimulated by the raising global demand for raw materials, and
justified by international trade agreements.
In light of these negative trends, rainforest protection has become a priority, as
also acknowledged by the 2030 Agenda for Sustainable Development and its
Sustainable Spatial Development in the Urbanised Amazon:. . . 1113
Sustainable Development Goals (SDGs) (Diaz-Sarachaga et al. 2018). SDGs are

increasingly influential in policy-making especially in the Global South (Blanc and
Cotella 2022) and should represent a consistent guide for the definition and imple-
mentation of national and local policies. Nevertheless, both at the international and
domestic levels, the commitment to forest protection continues to show evident
contradictions between official policy aims and their implementation on the ground
(Granziera and Rei 2013). In fact, the exploitation of the Amazons is often justified
in the name of wide-scale national economic interests (Londres et al. 2021). More-
over, the ongoing trends have been also showing inconsistent in relation to their
social sustainability, since the present economic model excludes local communities
from most economic benefits (Alves 2007).
Against this background, the chapter argues the potential role that the circular
bioeconomy paradigm could play in the achievement of a more sustainable develop-
ment model for the Manaus Metropolitan Region (MMR) in the State of Amazonas
(Brazil). The region was selected as a promising case study due to the presence of an
articulated environmental regulation and spatial planning system (Paulino 2019) and is
here intended as a proxy of and a possible pilot for other Amazon urbanised areas.
Importantly, the State of Amazonas has already developed an articulated definition of
the dimensions that concur to bioeconomy in the Amazon region (Pagina22 2021) and
the MMR also hosts the Amazon Bioeconomy Investment Innovation Forum, a
multilevel platform gathering various local, national and international actors commit-
ted to bioeconomy. This makes the case study even more significant to the aim of the
present work. The authors draw on the literature on spatial governance and planning
system analysis (Janin Rivolin 2012; Berisha et al. 2021) to identify and explore the
existing spatial planning and environmental regulation tools and how the spatial
practice of circular bioeconomy may be incorporated into the latter. Practices here
result from the social experience of spatial production and consumption in a given
institutional context, shaped as they are by actors’ orientations, needs and capabilities
(Gaeta et al. 2013; Mazza 2015; Janin Rivolin 2012). More in detail, forest circular
bioeconomy is analysed and discussed, both in relation to its implications for eco-
nomic theory as well as concerning the involvement of local stakeholders in devel-
opment practices. The analysis is based on the existing literature on the subject, official
government documents and reports, spatial planning and environmental regulation
instruments as well as grey materials concerning the forest bioeconomy in the Amazon
metropolitan regions. The results of the work were articulated through the interaction
between the three authors in light of their different geographical and disciplinary
backgrounds. Further, they were tested in the light of the experience developed by one
of the authors when serving as Executive Secretary of Science, Technology and
Innovation in the Secretariat of Economic Development, Planning, Science, Technol-
ogy and Innovation (SEDECTI), in the State of Amazonas.
After this introduction, the authors reflect on the bioeconomy definitions devel-
oped in Europe and Brazil, to highlight similarities and differences and to identify
the main types of bioeconomy. The following section introduces the MMR and
illustrates the features that make the region a promising case to explore the potentials
of circular bioeconomy. It also presents the main actors engaged in bioeconomy
identified so far in the MMR, as well as the tools in place at the different territorial
levels and how can they be adapted to the goal. Drawing on the presented evidence,
the subsequent section proposes a participatory action research approach that will
allow further investigation and bring forward the local implementation of circular,
small-scale bioeconomy activities. A concluding section rounds off the discussion,
highlighting how a circular and small-scale bioeconomy could be a powerful driver
of a low-embodied deforestation development in rainforest urbanised areas. It argues
that this driver should be promoted through adequate spatial governance and plan-
ning mechanisms and tools at the different territorial levels.
Despite the obvious limits due to the early stage of the research on which the
contribution is based, the presented evidence is relevant in so far as it introduces and
articulates systematically the challenges concerning the definition and implementa-
tion of small-scale circular bioeconomy as a social practice. This practice can be
embodied by public policies so practitioners can be supported in the effort of
carrying out successful initiatives. In this light, the proposed participatory action
research activity indicates a possible path to develop a new general public orientation
to spatial development in such strategic geographic areas as the urbanised rainforest,
in so doing using spatial governance and planning as a means to achieve the UN
SDGs (Berisha et al. 2022).
Unfolding the Circular Bioeconomy Paradigm
The concept of circular economy refers to a restorative, regenerative model where

“nothing is lost and everything feeds a new cycle” (Ellen MacArthur Foundation
Online). At the international level, the Circular Economy Action Plan – provided by
the European Commission within its broader Energy and Environment Acquis
(Cotella et al. 2016) – represents a strategic reference document on the matter. It
considers the circular economy as the economic space “where the value of products,
materials and resources is maintained in the economy for as long as possible, and the
generation of waste minimised” (European Commission 2015). The concept of
bioeconomy develops from a similar standpoint. It refers to a type of economy
based on the production and conservation of renewable biological resources and
related waste flows that are transformed into added-value outputs such as food, feed,
bio-based products, and bioenergy (European Commission 2012; Carus and
Dammer 2018). This is explicitly recognised by the European Commission’s strate-
gic long-term vision for 2050 “A Clean Planet for All”, which identifies circular
economy and bioeconomy as key strategic areas for achieving a climate-neutral
economy.
Acknowledging this policy framework, the studies addressing the transition
towards a sustainable, circular bioeconomy (Gottinger et al. 2020) focus on hard
sustainability and ecological processes (Bugge et al. 2016). They argue the need to
go beyond both the more limited biotechnology-based vision devoted to global
economic growth & job creation as defined by OECD, and the bioresource-based
one, focusing on the maximisation of biomass efficient use. In this sense, small-scale
circular bioeconomy is here brought forward as a preferable option in environmental
and social terms, so far as it has the potential to reduce the extraction of raw materials
while ensuring social inclusion opportunities. More in detail, the biotechnology
vision is devoted to global economic growth and job creation. The bio-resource
vision is based on the maximisation of biomass efficient use, focusing on the
processing and upgrading of biological raw materials, as well as on the establishment
of new value chains for economic growth and sustainability in rural or peripheral
regions. By contrast, the bio-ecology drivers are more ambitious and deal with the
identification of favourable organic agroecological practices, ethics, risk, transdisci-
plinary sustainability, ecological interactions, re-use and recycling of waste, land
use, in the logic of circular and self-sustained production (Bugge et al. 2016).
When it comes to its implementation, the transition to a small-scale, circular
bioeconomy requires the evolution of various sectors and the upgrading of new
value chains and not just the use of new technologies. Gottinger et al. (2020) recently
identified the following different approaches to the transition towards sustainable
territorial development models based on circular bioeconomy:
• The multi-level perspective, which considers regimes’ stability, i.e. structures that
may have different levels of institutionalisation, that “account for the stability of
an existing system” (id. p. 4) and rules of the social groups’ activities.
• The technological innovation systems, which consider the obstacles to “technol-
ogy diffusion and capital goods industry development”.
• The strategic niche management, which deals with fruitful clusters for the
development of new technologies.
• The transition management approach, which coordinates and legitimises policy
and attracts capacities to solve problems, by involving stakeholders. The
so-called transition management cycle includes the capacity to define the problem
and the related transition arena; develop a transition agenda and images; carry out
and evaluate transition experiments.
In particular, the transition management approach seems to be particularly prom-

ising to study the spatial implications of small-scale, circular bioeconomy develop-
ment and how the latter could overcome the transition barriers proposed by the same
author in terms of policies and regulations (i.e. missing policies or unfavourable
policies and politics) and policy implementation problems, including also their
social acceptance (Valkenburg and Cotella 2016).
When it comes to the Brazilian context, the Executive Secretariat of Economic
Development, Science, Technology and Innovation (Secretaria de Estado de
Desenvolvimento Econômico, Ciência, Tecnologia e Inovação, SEDECTI) of the
Amazonas State has widely discussed the concept of bioeconomy. This was intended
as the set of economic activities of production, promotion of production, distribution
and consumption of goods and services originating from the socio-biodiverse forest
ecosystems. From an Amazonian perspective, the bioeconomy deals with a market
structure based on products and processes led by four principles: (i) the conservation
of biodiversity; (ii) the use of science and technology for the sustainable exploitation
of sociogeobiodiversity; (iii) the reduction of social and territorial inequalities and
(iv) the expansion of bio-diverse and sustainable forested areas.
The foundations of the bioeconomy in the State of Amazonas state are defined in
the “Guidelines for the conceptual construction of the bioeconomy in Amazon”
(Amazonas, SEDECTI 2021). This conceptual construction deals directly with the
knowledge of nature embodied in the uses of native resources (fauna, flora and
microorganisms of the Amazon biome). Based on the State’s experience of a
bioeconomy-oriented policy and given the complexity of bioeconomy and its imper-
fect markets, it is more appropriate to consider production knowledge networks
rather than production chains. The mechanisms of these knowledge networks in
Amazonas, or even in the Amazon in general, have a strong territorial dimension. In
fact, it has been observed that every territory establishes specific forms of articula-
tion of the market of bioeconomy products based on diverse forms of knowledge.
Given the framework developed by SEDECTI in partnership with the initiative
“A Concertation for the Amazon” (Pagina22 2021), the bioeconomy in Amazonas
was classified as (1) Sociogeobiodiversity-based bioeconomy, (2) Forest-based
bioeconomy and (3) Commodity-based bioeconomy, as illustrated in Table 1. Each
type corresponds to a certain network arrangement that implies different
Table 1 Bioeconomy classification in production chains

Types of bioeconomy
Sociogeobiodiversity- Forest-based Commodity-based
Dimensions based bioeconomy Bioeconomy Bioeconomy
Dependence on High dependence Medium/high Low dependence,
the ecological requiring permanent dependence, requiring Recovering
systems’ preservation of forest the forest enrichment degraded areas to
biodiversity and massifs and restoration of avoid the negative
their conservation degraded areas effects of
monoculture.
Production scale Small and Medium and Large and
and community heterogeneous scale, heterogeneous scale, homogenous scale,
involvement based on the application with direct or indirect with an indirect
of traditional involvement of local involvement of
knowledge thanks to the communities local communities
direct involvement of
local communities
Level of waste Low production Low production Medium production
production
Level of applied Low for extractivism Low/medium High
technologies and or high in some
exceptions
Capital allocation Low allocation, Medium/high High allocation,
and financial Based on family allocation, Based on the
organisation farming or cooperatives Based on financial
or associations professionalized mainstream.
cooperatives or
associations, start-ups,
micro-enterprises
Source: Adapted by the authors from the article “The Value of Diversity for the Bioeconomy”
(Pagina22 2021)
understandings, investments and development trajectories, and is characterised by its

operational mechanisms and territorial conformation.
In the Sociogeobiodiversity-based bioeconomy, the inputs are obtained from
forest extractivism and agriculture within traditional family farming, with high
dependence on biodiversity resources and ecosystem services, such as natural
regeneration and rain irrigation. This sector shows a low negative environmental
impact and a high degree of environmental protection in the exploited areas. They
are socio-ecological systems kept in dynamic balance (i.e. below or very close to the
carrying capacity of the environment) and perfectly adapted to the habits of produc-
tive populations. This kind of bioeconomy stands out for the application of tradi-
tional knowledge and for the predominance of the family production method, which
involves numerous units that are well distributed in the region. In some cases, they
are community organizations such as associations and cooperatives, with diversified
and small-scale production. This scale includes indigenous groups and other tradi-
tional forest dwellers, whose local market respects social habits and traditions.
Productive knowledge networks established in traditional knowledge must undergo
a development based on the sharing of benefits, a legal framework protecting
traditional and collective knowledge, and innovating market structures to achieve a
non-disruptive scale for traditional practices and cultures.
In the Forest-based bioeconomy, resources are intensively exploited affecting a
limited number of species. With the use of planning and management techniques and
technologies, production has increased. Techniques may include the cultivation of
higher-value species in the respective chain. This typology mainly focuses on the
better use of degraded areas for specialized production. Economic agents operate in
associations or other cooperative arrangements, but with a business vision. They are
committed to socio-environmental sustainability and the promotion of innovative
businesses, for example, start-up companies. These agents also deal with environ-
mental issues since the increase in production implies such problems as waste
accumulation, especially in production processes that are not circular. In terms of
market structure, imperfect markets and information asymmetries can occur. Issues
such as crop forecasts, production volumes, and price formation occur informally
and can be based on personal relationships.
The Commodity-based bioeconomy mainly consists of agribusiness and biotech-
nology. The use of resources within the productive knowledge network adopts a
more industrial and business orientation, but can also establish links with family
farmers downstream in the chain. This sector is characterized by the intense use of
technological resources to maximize productivity and raw material exploitation.
Intensification requires high technical, financial and capital investments. The partic-
ular field of biotechnology deals with industrial processes based on the active
principles of biodiversity, which implies bio-inputs, bioplastics, pharmaceutical
inputs and other important inputs for innovative industrial processes. In addition,
also bioinformatics must be included in this category.
An exemplary product of the Amazonian sociogeobiodiversity is açaí. It repre-
sents an input in productive knowledge networks and is found in the three above-
presented models. Up to 2015, the production was mainly based on the extractive
system. Açaí is a regional, native species and its production could positively
contribute to biotic processes. So, sustainable açaí agroindustry that uses green
technologies would contribute to mitigating negative environmental impacts
(Maciel-Silva et al. 2021). Due to the high demand especially by the markets of
Southeast and South Brazil, açaí fruit left a mostly traditional and extractive scale.
Through bioeconomic processes, this production rose to a forest-based bioeconomy
and, in certain places, became a bioeconomy commodity, reaching international
markets. However, despite the cross-sectoral success of açaí, a place-based analysis
focusing on productive knowledge networks is necessary. In most of the sites, the
açaí chain remains a traditional bioeconomy, mostly depending on extractive activ-
ity. This is the case in several municipalities in Amazonas where production and
processes use low-technology applications and have limited added value. The
Amazonas municipalities of Carauarí and Codajás represent an exception. The
presence of the processing agro-industry moves the local açaí chain to the forest-
based bioeconomy sector, with nuances of the commodity-based one. In fact, açaí
small farmers, who have usually adopted agroecological production systems, are
now intensifying their production because of the increasing demand, but this is not
combined with adequate policies and incentives (Maciel-Silva et al. 2021). This
example is useful to foresee that each type of bioeconomy has different implications.
The traditional bioeconomy, based on sociogeobiodiversity, deals with primary
processing and trade (industrialisation of extractivist products), sale of ecosystem
services and biotechnology research and innovation. The forest bioeconomy, based
on forest management, requires the concession for the management of native forest
species in public areas, consists of large-scale production of certified seedlings and
planting of native species, setting silvopastoral, agroforestry and Integrated Crop-
Livestock-Forest systems. The commodity-bioeconomy determines the production
of biomass for industry and consumption. It consists of monocultures and fish
farming, but also regenerative agriculture, biorefineries (biofuels, medicines, cos-
metics) and sets silvopastoral, agroforestry and integrated Crop-Livestock-Forest
systems.
Each bioeconomy type, in turn, features specific socio-spatial implications
summarised in Table 2.
Despite the fertile conceptualisation, the implementation of this conceptual tool-
box in the actual practices has, until now, failed to meet expectations. It is therefore
worth reflecting on how a circular bioeconomy could be further operationalised,
bridging this gap between theory and practice. More in detail, this would require
more R&I investments, embedding bioeconomy in the economic ecological zoning,
infrastructures, development of bio-industries, stronger governance for the
resources’ distribution and in environmental service payment policies, coordination
of public and private actions. These actions should be defined, coordinated and
implemented within a spatial governance and planning system that actually
prioritises the sustainable bioeconomy as the main driver for the spatial development
of the region. This sustainable bioeconomy mostly gathers the features of the above-
mentioned circular and small-scale bioeconomy and the bioeconomy based on
sociogeobiodiversity. For this reason, the term “circular and small scale
Table 2 Spatial and social implications of different bioeconomy types

Sociogeobiodiversity-based Commodity-based
bioeconomy Forest-based Bioeconomy Bioeconomy
Consolidation of protected Consolidation of protected Sustainable practices to
areas and land title rights areas and struggle against reduce externalities
illegality
Strengthening of associations Adaptation of forestry Re-establishment of
and cooperatives concession legislation sugarcane agroecological
zoning
Professional training and Review of legal frameworks Diversification of production
valorisation of human and rules that block for food security
resources agroforestry development
Elaborated by the authors from the article “The Value of Diversity for the Bioeconomy” (Pagina22
2021)
bioeconomy” is used without substantial distinction from the term “socio-

geobiodiversity-based bioeconomy” considering both two different ways to
approach the same notion.
The Manaus Metropolitan Region: A Promising Case Study
In the Brazilian Legal Amazon – composed of the States of Acre, Amapá, Amazo-
nas, Mato Grosso, Pará, Rondônia, Roraima, Tocantins and partially Maranhão – the
urban population accounts for 70% of the total inhabitants (Guedes et al. 2009) and
urbanisation is mostly organised on the road-river networks. A close relationship of
mutual dependence can be observed between the urban and rural domains, challeng-
ing the notion of a clear separation between the space of social relations and the
space of production (Schor et al. 2018). The concept of an Urban-Riverine Territorial
System (Bartoli 2017) is therefore an interesting lens for understanding contempo-
rary urbanisation in the Amazon. In fact, the extensive nature of municipalities and
the specificity of access to them, mainly by water transportation in the Western
Brazilian Amazon, create a unique territorial configuration.
Located in the Amazonas, the MMR is the largest Brazilian metropolitan region
(127.287,789 km2). It is characterised by a very low density (21,38 habitants/km2)
and a vegetation cover of 90% of the total surface. The State capital is the munic-
ipality of Manaus, which is much larger than the other metropolitan municipalities in
terms of both population and productive or commercial activities. It is located in the
mouth of Rio Negro and has experienced an extremely high demographic growth
rate i.e. 573%,1970–2010 (IBGE Cidades e Estados Online; FNEM Brasil Online),
gaining the region the appellative of “urbanised forest” (Becker 2013). Given these
geographical features, the region represents a promising case study to explore under
the lens of the bioeconomy paradigm, as it is characterised by both a large share of
forest reservoirs and multiple opportunities of raising social and entrepreneurial
innovation. At the same time, due to its complex institutional nature summarised
ENVIRONMENTAL
LEVELS & AUTHORITIES PLANNING TOOLS ACTORS
PROTECTION TOOLS
CIVIL SOCIETY PARTICIPATION

FEDERAL LEVEL Regional Plan of the Amazon Policy network:
Superintendence of the Development - PRDA (2020- Uma Concertação pela
Nature Conservation Units
Amazon Development 2023) Amazônia
(SUDAM) Regional Development Grupo de Trabalho em
National Policy Bioeconomia
INNOVATION & TECHNOLOGY

STATE LEVEL
Executive Secretariat of
Plurinannual Plan
Economic Development,
(PPA 2020-2023)
Science, Technology and
Integral protection units Innovation (SEDECTI) F2iBAM
Sustainable use units Amazon Bioeconomy
REGIONAL DEVELOPMENT Investment Innovation
Legal Reserve
Forum
Permanent Preservation Area INTERFEDERATIVE
METROPOLITAN LEVEL
Urban Integrated
State Secretariat of
Development Plan
Infrastructures & Metropolitan
Region (SEINFRA)
Environmental Protection Areas URBAN PLANNING

Private Reserves of Natural
Heritage
Municipal Parks MUNICIPAL LEVEL
Development Master Plan Small-scale bioeconomy
Permanent Preservation Areas Municipality of Manaus
practitioners
Green Urban Building and Land
Tax
MANAUS METROPOLITAN REGION
LEGAL AMAZON CONTEXT (States of Acre, Amapá, Amazonas, Mato Grosso, Pará, Rondônia, Roraima, Tocantins, partially Maranhão)
Fig. 1 The institutional configuration of the Manaus Metropolitan Region. (Elaborated by the
authors)
in Fig. 1, the region also allows reflection on the spatial governance and planning
efforts required to promote and upscale circular bioeconomy initiatives, as it will be
further detailed in the following subsections.
Spatial Plans and Instruments
This subsection presents the spatial planning instruments impacting the development
of the MMR, produced at the different governmental levels, i.e. Federal, State,
Interfederative and Municipal, as reported in Table 3. For each of them, it also
reflects on how small-scale circular bioeconomy logic could be integrated and
further promoted.
At the federal level, the Superintendence of the Amazon Development (Super-
intendência do Desenvolvimento da Amazônia, SUDAM) produced the Regional
Plan for Amazon Development (Plano Regional de Desenvolvimento da Amazônia,
PRDA) that covers the period 2020–2023, based on the Regional Development
National Policy (Política Nacional de Desenvolvimento Regional). The document
aims to orient public interventions in the Amazon, in partnership with the Regional
Development Ministry (Ministério do Desenvolvimento Regional) and to foster civil
society participation, throughout the Public Consultation. Its scope concerns envi-
ronmental issues and sustainable production, making the document a suitable
Table 3 Main spatial planning tools actually or potentially dealing with bioeconomy promotion.
Elaborated by the authors
Governmental
level Authority Planning tool Main role
Federal Superintendence of the Regional Plan of the Orientations to
Amazon development Amazon public action in the
(SUDAM) Development - Amazon
PRDA (2020–2023)
Regional
development
National Policy
State Executive secretariat of Plurinannual Plan Structuring projects
economic development, (PPA 2020–2023) Bìopolis Amazonas
science, technology and Descomplica OU
innovation (SEDECTI) Simplifica
Others
State inter- State secretariat of Urban integrated Environmental
federative infrastructures and development plan protection
metropolitan metropolitan region (PDUI)
(SEINFRA)
Municipal Municipality of Manaus Development Urban Management
master plan & Development
(PDUA)
opportunity to orient public action towards the implementation of small-scale circu-

lar bioeconomy initiatives. Nevertheless, the concept of bioeconomy is not explicitly
mentioned.
At the State level, the already mentioned SEDECTI contributes to the definition
of the Plurinannual Plan (Plano Pluri-Anual PPA 2020–2023. Lei n 5.055, de 27 de
dezembro de 2019), in order to organize and enable the public action with in mind
the achievement of the Amazonas development objectives. The plan presents an
overall strategy for Amazonas within the 2030 horizon, and its innovative potential
lies in the introduction of Structuring Programs that offer goods and services to
society and have priority in the State budget, in line with the SDGs. More in detail,
its sustainable development strategic trajectory includes environmental protection
and socio-environmental and economic development. Integrated development
includes infrastructures and logistics, innovation, science, technology, and finally
regional development respecting the native communities. Although bioeconomy is
not directly mentioned, the plan includes the structuring program Bìopolis Amazonas
that, drawing on the concept of SocioBioGeoDiversidade, foresees the direct
engagement of rural settlements in the improvement of living conditions and distri-
bution of wealth. This should occur through the institution of so-called Lab-cities,
aimed at the promotion of peri-urban agriculture, agroindustry, sustainable mining,
alternative protein production for the local and global markets and tourism.
At the interfederative level, the MMR was legally established in 2007 (Lei
Complementar n 52/2007; Lei Complementar n 59/2007; Lei Promulgada n
64/2009) and currently includes 13 municipalities (Manaus, Itacoatiara, Presidente
Figueiredo, Manacapuru, Iranduba, Careiro, Itapiranga, Novo Airão, Autazes,

Careiro da Várzea, Manaquiri, Rio Preto da Eva and Silves). The MMR Integrated
Development Plan (Plano de Desenvolvimento Integrado, PDIMMR) represents the
basis for defining the metropolitan plan, namely, the Integrated Urban Development
Plan (Plano de Desenvolvimento Urbano Integrado, PDUI), as required by the
Metropolitan Statute (Pioletti and Dalla Vecchia, in Gelli & Basso 2022). PDUI
shapes the interfederative and territorial governance between the State and the
municipalities, and specifies the Public Functions of Common Interest (i.e. the
public services of metropolitan interest in the fields of housing, transportation,
environmental conservation, basic sanitation and integrated planning). Circular
bioeconomy could be listed among them, providing it is acknowledged as a driver
for the strategic sustainable development of the region. Importantly, the MMR also
hosts the Sustainable Development Council (Conselho de Desenvolvimento
Sustentável da Região Metropolitana de Manaus, CDSMMR), a deliberative body
composed of State Executive members, the heads of the executive municipalities, the
president of the State Legislative Assembly (Assembleia Legislativa do Estado do
Amazonas), a member of the Manaus Municipal Chamber Council (Câmara Munic-
ipal de Manaus) and others representing the other chambers and the civil society.
At the municipal level, the Manaus Master Plan was established in 2002 and
updated by Complementary Law 002/2014 (Lei Complementar n 002, de 16 de
janeiro de 2014) under the name of Urban and Environmental Master Plan (Plano
Diretor Urbano e Ambiental, PDUA). Art 50 divides the municipal land into four
macro-areas:
• Urban area (Área urbana).

• Transition area (Área de transição), a buffer zone of the urban area, including the
Adolpho Ducke Reserve (Reserva Florestal Adolpho Ducke), although
established agricultural activities, low-density urban activities and promote
ecotourism.
• Conservation Units in the urban and transition areas or out of the urban
boundaries,
• Areas of agriforest, mineral and tourism interest (Áreas de interesse agroflorestal,
mineral e turístico), out of the permanent protection and defined to ensure the
sustainability of agricultural, forest, mineral and touristic activities.
From the perspective of circular bioeconomy, this classification is particularly

important because it helps to understand which locations are more suitable for the
implementation of the related initiatives. At the same time, the Master Plan high-
lights the role of the city of Manaus as a metropolitan municipality, pointing out the
municipal public functions in the metropolitan context and providing an orientation
for inter-federative planning. Among them, it is worthy to mention the
interinstitutional and administrative articulation with the adjacent municipalities. It
promotes the metropolitan economy and the integration of functions and services of
common interest as well as the effort to strengthen the economic agents and the
coordination with organisations, cooperatives and associations of small producers.
All elements that may be relevant to the diffusion of circular bioeconomy on the
territory.
The implementation of the master plans in most of the metropolitan municipal-
ities contributed to the decrease of deforestation rates, also thanks to the promotion
of the maintenance of the forest areas, although the phenomenon was not arrested
(Paulino 2019, p. 142). The effect of the implementation of the master plan,
combined with the regulations targeting protected areas, is however not sufficient
to reach the substantial level of forest protection that could be reached with a large
participation of civil society along with the environmental accountability carried out
by the States (Paulino 2019, p. 143). These last two factors imply a strong political
commitment that is hard to achieve as State governments are often influenced by
economic lobbies whose profits are mostly generated by deforestation-based activ-
ities. Despite the action of the described instruments, in all the metropolitan munic-
ipalities, extractivism of forest resources is present both in terms of economic
activity and sociocultural attitude. Disposal of extractivist products is complicated,
as well as the agricultural practice of small local farmers, especially due to the lack of
logistic planning, institutional support and a weak resilience of infrastructure to
extreme events.
Environmental Protection Tools
The MMR is extremely rich in the number and typology of “Conservation Units”
(Unidades de Conservação, UC) and indigenous lands (Terras Indígenas, TI).
Despite the UCs occupy approximately half of the land of the metropolitan region
(Schor et al. 2018), the region has experienced the highest rate of deforestation in the
Amazonas state, due to both urban and agricultural expansion (Monteiro et al. 2021).
At the State level, the Amazonas State Environment Secretary (Secretaria de
Estado do Meio Ambiente, SEMA) manages 42 UCs, 8 “integral protection units”
and 34 “sustainable use units”, totalling 18.907.378,34 ha of legally protected forest,
i.e. 12,13% of the State area (Estado do Amazonas Online). Nevertheless, regarding
environmental management, in the last decades, ecosystems’ fragmentation has been
worsening, due to an indiscriminate development of anthropic activities such as
wood extraction, forest fires, reforestation with not native species, expansion of
grazing areas, artificial agricultural techniques supported by credit granted to
farmers, land grabbing, current land (property) regime and the agrarian reform
implementation measures, unplanned urban growth, increasing tourism, hunting,
modifications of the hydrographic structure due to the realisation of sanitation works
(Rambaldi and de Oliveira 2003). To mitigate and contain the environmental impact
of these activities, the “Nature Conservation Units” were introduced, as environ-
mental regulative tools aiming at preserving the target areas. The creation and
management of these units are regulated by Law 9.985/2000 (Lei n 9.985, de
18 de julho de 2000. Regulamenta o art. 225, § 1o, incisos I, II, III e VII da
Constituição Federal, institui o Sistema Nacional de Unidades de Conservação da
Natureza e dá outras providências). This provision introduced the National System

of Nature Conservation Units (Sistema Nacional de Unidades de Conservação da
Natureza, SNUC), to account for natural resources (including jurisdictional water) in
the concerned areas (Paulino 2019, p. 83) and foster ecosystem restoration. How-
ever, their overall effectiveness is not granted, as it depends on the extent to which
these tools are actually used and on whether the concerned areas are monitored and
protected.
After the Integral Protection Units and the Sustainable Development Units
(Unidades de Proteção Integral e de Uso Sustentável), the new Forest Code (Código
Florestal, Lei n 12.651, de 25 de maio de 2012) regulates:
• Legal Reserve (Reserva Legal), which is an area belonging to rural ownership,

defined to ensure sustainable resource exploitation, contributing to biodiversity
conservation and ecological restoration.
• Permanent Preservation Area (Área de Preservação Permanente), which is a
protected area, eventually covered by native vegetation, devoted to the preserva-
tion of the hydric resources, landscapes, geology stability and biodiversity,
favouring the gene flow of flora and fauna.
The Legal Reserve could be considered to assess the opportunity to settle

low-impact bioeconomy activities.
At the metropolitan level, the MMR features 31 UCs. This amount is composed
of three Integral Protection Units (Unidades de Proteção Integral), State Forest and
National Parks (Floresta Estadual e Parques Nacionais) and the others are of
Sustainable Use reaching 4.665.677,93 hectares of legally protected areas. The latter
could be also considered to develop bioeconomy initiatives.
At the municipal level, the municipal area of Manaus features 19 UCs (Environ-
mental Protection Areas, Áreas de Proteção Ambiental, Private Reserves of Natural
Heritage and Municipal Parks, Reservas Particulares do Patrimônio Natural and
Parques Municipais). The establishment of the UCs has somehow ensured the
limitation of overall deforestation in the MMR and some of those areas cover
residual urban forests. It must be pointed out that the already mentioned Manaus
Master Plan (Plano Diretor Urbano e Ambiental do município de Manaus, Lei
Complementar n 002/2014) promotes the protection of the urban forests as ecolog-
ical corridors acknowledged as urban natural heritage. Furthermore, municipal law
1838/2014 (Lei n 1838, de 16 de janeiro de 2014) regulates land use and occupation
of land, including areas of environmental relevance. At the local level, the effort for
building ecological corridors should be integrated with the assessment regarding the
instalment of low-impact bioeconomy activities. Furthermore, it is interesting to
report that the municipal government created Permanent Preservation Areas (Áreas
de Preservação Permanente, APA) and the Green Urban Building and Land Tax
(Imposto Predial e Territorial Urbano, IPTU verde). The Green IPTU foresees that –
given the extent of the vegetation in the area – the area is recognised as a Private
Reserve of the Natural Heritage (Reserva Particular do Patrimônio Natural, RPPN).

The PPA will be exempt from the IPTU payment.
In general terms, the spatial pattern provided by the fragmented geography of the
conservation units and the other environmental zones could be reinforced by the
identification of buffer zones where small-scale bioeconomy initiatives could be
installed throughout a comprehensive and integrated project that also considers the
possibility to improve or recreate ecological connections.
Actors Engaged in Bioeconomy. The Amazon Bioeconomy

Investment Innovation Forum
The MMR is an interesting case also because of the presence of the Amazon
Bioeconomy Investment Innovation Forum (F2iBAM Online) which gathers a
number of actors engaged in bioeconomy. Through a transversal approach,
F2iBAM focuses on the investment innovations in the bioeconomy in order to create
an entrepreneurial ecosystem including enterprises, projects, programs and invest-
ment sources, and thus, new business financing mechanisms linked to the Amazon
bioeconomy. It means rethinking funding sources able to leverage the green econ-
omy as a new development matrix. In fact, the Amazon biodiversity could foster
economic models capable of adding value to the standing forest and generating
prosperity for local communities.
The Forum was organised by the network called “Uma Concertação pela Ama-
zônia”, i.e. an Orchestrated Action for the Amazon, composed of different public
and private agents and the Interstate Consortium of the Legal Amazon. In particular,
the Consortium represents the nine Brazilian Amazon states for the definition of an
agenda on Amazon sustainable development.
Since 2021, F2iBAM has become a permanent yearly networking event, belong-
ing to the Legal Amazon Green Recovery Plan’s programming. It is located in
Manaus and includes researchers, experts in bioeconomy, finance and investment,
entrepreneurs, start-ups and speedups, investors, development banks, public man-
agers, and civil society representatives. This community is united by the interest in
the increase of the scale of investments and the positive social impact of the
bioeconomy based on sociogeobiodiversity in the Amazon. In this regard, the
sustainability of economic models also depends on the potential investment in
infrastructure that allows the development of necessary productive chains and a
fair distribution of generated benefits.
Based on a survey by the National Bank for Economic Development (BNDES) in
2018, the Brazilian bioeconomy moved a market of US$326.1 billion. However, this
amount included 12 productive sectors, such as agriculture and cattle raising,
representing 53% of the revenue. For this reason, it is very useful to qualify
bioeconomy activities and demonstrate that a sustainable bioeconomy still requires
specific investments. F2iBAM is also included in the calendar inserted in the Green
Recovery Plan for the Legal Amazon, a set of measures to boost sustainable
economic development at the regional level. The initiative is from the Consortium of
nine states that are part of the Legal Amazon and was presented to U.S. and
European ambassadors affirming the struggle against deforestation and the strength-
ening of the bioeconomy.
The Innovation Forum is sponsored by the German International Cooperation
Agency (GIZ), the JBS Fund for the Amazon, the banks Bradesco, Itaú-Unibanco,
Santander, and institutional support from the Inter-American Development Bank
(IDB). F2iBAM has the support of the Amazonas State Government, under the
responsibility of the Amazonas State Secretariat for Economic Development, Sci-
ence, Technology, and Innovation (SEDECTI-AM); the Arapyaú Institute; and
World Resources Institute Brazil. The network is composed of individuals, entities
and companies organized to seek Amazon preservation and sustainable development
solutions, and engages more than 200 leaders. Going back to its origins, the F2iBAM
was conceived by the Work Group on Bioeconomy (Grupo de Trabalho em
Bioeconomia, GT Bioeconomia) from the above-mentioned initiative called Uma
Concertação pela Amazônia that valorised diversity, i.e. the conversion of the
Amazon biodiversity, the use of science and technology for sustainable exploitation
of biodiversity, the decrease of social and territorial inequalities and the expansion of
forest areas.
Regarding the circular bioeconomy, F2iBAM has held a specific session on
Circular Bioeconomy as the State of Amazonas organised two Amazonas
Bioeconomy Seminars broadcast on mass media. To date, spatial planning in the
State of Amazonas has not included territorial promotion of a circular bioeconomy,
but a more complex and comprehensive environmental regulation could create the
proper context for the institutionalization of innovative collaborative practices as
new norms of planning practice (Lauria in Salet 2018). Moreover, regulations
influence the ability of local actors to achieve legitimate and effective sustainable
solutions through governance processes. Also, regulations would normatively guide
and enable urban sustainable development but it is also true that the outcomes of this
process depend on the actors’ commitment, self-regulation and bottom-up gover-
nance (Buijze et al., in Salet 2018). Therefore, adaptive governance and central
regulation can be considered as complementary (Van Rijswick and Salet 2012),
although top-down planning has been progressively replaced by participatory
policies.
From this perspective, environmental norms stand between the practice of devel-
oping institutions to control risks in an increasingly complex society and an increas-
ing pluralism where actors aim to achieve tailor-made solutions to their problems.
Even though norms often impose constraints, they may also enable actors to carry
out their initiatives (de Vries and Zonneveld, in Salet 2018). In this sense, at the
regional level, building an institutional framework for circular bioeconomy devel-
opment arguably requires a strong and active participation of bioeconomy actors in
this process. To do so, actors should be involved in participatory action research, the
results of which could then be substantially taken into consideration by local and
regional institutions.
Towards a Participatory Action Research Agenda on Circular

Bioeconomy
At the local and regional level, a deeper understanding of circular bioeconomy

practices arguably requires empirical investigation based on the direct interaction
with institutions and practitioners (NGOs and the business community). This can be
attained through a variety of methods. First, participating observation sessions can
be carried out with specific target groups such as small farmers or entrepreneurs who
produce or develop products resulting from supply chains that respect circular
bioeconomy principles. Second, semi-structured interviews, structured surveys and
focus groups can be conducted with key actors. Periodical seminars with academic
and non-academic experts can be organised to present the progress of the research.
The participating observation should be framed in an overall Participatory Action
Research, PAR (McNiff 2013) to deeply understand the spatial and social practices.
It can be argued that small-scale and circular bioeconomy can be approached as a
spatial and social practice. This would imply cooperation/co-research (Saija 2014;
Grimm et al. 2013) with a few selected stakeholders. More specifically, PAR is
considered valuable in dynamic contexts with high social inequality where stake-
holders need collaborative production of knowledge to reach their objectives (Perz
et al. 2021), as in the case of bioeconomy practitioners, who could benefit from
action research results to improve their business. This kind of research consists of the
active involvement of the researcher in stakeholders’ activities (cooperation) and the
active participation of stakeholders in the research (coresearch). This implies a
codefinition of specific objectives and priorities, mutual involvement and phases
of action followed by phases of reflection to discuss the achievement of the shared
objectives. It could also be stated that it is a sort of reciprocal and cooperative
learning-by-doing. The researcher who carries out the analysis contributes also to the
chain, for example, by providing indications for improving some aspects of the
production. The practitioner provides pieces of evidence, data and knowledge
stemming from the everyday practice and his/her traditional and place-based culture.
Moreover, action research highlights the added value of social innovation
(Mikkonen et al. 2020) in sustainable economic initiatives and thereby helps to
include marginalised voices such as women, indigenous and young people (Perz
et al. 2021) who can find more personal and professional development opportunities
within innovative initiatives.
In the rainforest context, in recent literature, it is possible to identify three broad
types of experiences focusing on conservation and development in the Amazon:
(1) participatory data collection for the co-production of knowledge for environ-
mental governance, (2) inclusive environmental monitoring systems, and (3) inno-
vative models of knowledge exchange to facilitate collective action. Going deeper,
Perz et al. (2021) present seven elements that would make up the PAR in a forest
region: (i) trans-disciplinarity, (ii) traditional ecological knowledge, (iii) decoloni-
zation of research, (iv) the democratization of knowledge, (v) knowledge exchange,
(vi) citizen science, (vii) knowledge co-production. This classification seems to us a
very relevant and promising approach to field research and so, it is therefore repeated
briefly hereinafter. (i) Trans-disciplinarity is based on the valorisation of the contri-

butions of non-academic stakeholders, legitimising and embodying stakeholder
priorities in the research topic definition. This can require the use of such tools as
storytelling and visual representations. (ii) Traditional ecological knowledge among
indigenous and traditional groups regards perspectives concerning local ecosystems
and their basis in traditional spirituality. (iii) Decolonization of research replaces the
typical neo/post-colonial approach of Western researchers with local approaches to
knowledge management, such as those grounded in indigenous ontologies.
(iv) Democratization of knowledge enlarges the inclusion of stakeholders in the
production, management and access to knowledge for conservation and develop-
ment and in the stages of research, i.e. problem definition, data collection, analysis,
etc. (v) Knowledge exchange occurs among groups of stakeholders with different
knowledge funds, allowing a win-win sharing of complementary information.
(vi) Citizen science consists of the participation of non-academic stakeholders in
scientific data collection, strengthening communities of practice as regards knowl-
edge management. (vii) Knowledge co-production is carried out by researchers and
stakeholders who horizontally collaborate in all the stages of the research process.
This is forcedly due to the fact that knowledge funds, experiences, and interpre-
tations from both groups are seen as contributing in distinct and complementary
ways to the conclusions and thus the applications of the knowledge produced. The
same authors identify 6 phases:
1. Definition of a research problem, to which stakeholders contribute with priorities

and researchers with theoretical background.
2. Proposal development in terms of methodology, to which stakeholders contribute
with their networks and researchers with their empirical methods.
3. Data collection and compilation, to which stakeholders contribute with their
spontaneous capacities and researchers with managerial attitude.
4. Data analysis and interpretation as elements of knowledge co-production, to
which stakeholders contribute with their own interpretation and researchers
with analytical methods.
5. Dissemination of results and knowledge exchange, to which both stakeholders
and researchers contribute with their respective interpretations.
6. Application of co-generated knowledge to environmental governance via collec-
tive action, to which stakeholders contribute with their strategies and researchers
with their positionalities.
Furthermore, in the Amazon, expected stakeholders range from indigenous

groups and forest extractivists to small-scale farmers, large-scale ranchers, agribusi-
nesses, fishers, miners, loggers and others, who often engage in conflicts over natural
resources. In such a context, it could be useful to plan a scaling up of single-action
research, i.e. multiple groups of stakeholders and researchers could carry out the
same effort in different locations to move towards a result at the regional level. This
would enhance the socio-environmental model, based on the role of traditional
populations in conservation and land use planning, recognition of land rights and
the expansion in conservation, indigenous and sustainable settlement areas. This

contrasts with the hegemonic ‘post-environmental’ development model on the
Amazon land use based on a paradigm of commoditization of nature. Such com-
moditization clearly relies on market forces to serve as a mechanism to conserve and
control the use of natural resources in the Brazilian Amazon and that has been
contributing to deforestation (de Toledo et al. 2017).
To sum up, bioeconomy practices can widely benefit from a PAR approach
because a shared deeper understanding of their features and implications would
raise awareness and would build the capacity to enable and empower concerned
local actors, i.e. bioeconomy practitioners. They should become influencers of
public policymakers that should commit to creating the legal, administrative and
technical conditions that a small-scale circular bioeconomy would require to gain a
foothold in the region. As already stated in the Introduction, the result of the
co-production of knowledge is the process of acknowledging bioeconomy practices.
This would imply defining rules and regulations, building physical and virtual
infrastructures, setting direct and indirect incentives, and providing technical support
to local, traditional and ancestral practices. This could follow the logic of social
innovation that could be more careful of diversities when it comes to expressing the
voice of minorities as well as promoting new entrepreneurial opportunities for
women, LGBT, indigenous or black people.
Concluding Remarks
The contribution argued that a circular, small-scale bioeconomy could be a powerful

driver of low-embodied deforestation spatial development in urbanised areas in
rainforest regions. It did so by discussing the case of the MMR, which constitutes
a promising case study to collect empirical evidence and carry out participatory
action research, due to its geographical and institutional configuration.
At present, the main spatial planning and environmental protection tools that
characterise the MMR, despite their multilevel and thematic articulation, do not
seem able to keep their promises, as it occurs in various other Latin American
countries and regions (Blanc et al. 2022). Deforestation appears as a rather irrevers-
ible phenomenon, driven by the implementation of commodity and forest-based
bioeconomy models that are hard to overcome. Being the problem of deforestation a
challenge caused by economic variables that are not only strictly connected to land
use, its solution should reside in the adoption of a less impacting economic model. In
this light, experimenting with the sustainable models of bioeconomy – identified in
the literature and policy documents – appears to be a promising way forward. They
can be both the above-illustrated small-scale circular bioeconomy and the socio-
geobiodiversity-based bioeconomy. As a matter of fact, whereas bioeconomy is
widely and internationally studied in terms of a commodity-based economy, its
circular, small-scale logic and implications for rainforest regions have not been
explored yet to any reasonable extent and represent a potential way forward. In
institutional terms, this would mean adopting a small-scale, circular bioeconomy
paradigm as a driver of public action at all levels. This could be achieved with the
acknowledgement of bioeconomy as a public function of common interest in
municipal and metropolitan spatial governance and planning. In other words, an
institutionalisation of the bioeconomy paradigm would be necessary to allow an
upscale of sporadic, fragmented actions into the overall multilevel governance and
spatial planning system.
The collected evidence shows that the MMR would constitute a fertile environ-
ment for the development of action research finalised to the analysis of the imple-
mentation of small-scale circular bioeconomy initiatives and of their upscaling
potential. This activity should focus on how to strengthen the crucial role that
local actors may play in a locally driven paradigm change, and how to connect
them into a regional network aimed at this task. From this perspective, social science
methods can provide a substantial contribution and this chapter argues that the
participatory action research and social innovation approach may bring about
advantages once it comes to the identification and consolidation of circular, small-
scale bioeconomy activities.
In conclusion, it is worth reminding that this contribution builds on a research
process at it is still at an early stage and, due to this reason, its struggle to provide a
full empirical assessment of the possible impact that the upscale of small-scale
circular bioeconomy initiatives into the MMR spatial governance and planning
system would bring about. Nevertheless, through its conceptual and institutional
analysis, it provides a number of preliminary insights upon which to find a more
accurate action research agenda aimed at the transition towards a small-scale circular
bioeconomy in the area and, more in general, in the Amazon region. In turn, this
could contribute to the achievement of several targets established by SDG 11 Sus-
tainable Cities and Communities, as well as contribute to selected targets related to
SDG 12 Responsible consumption and production, SDG 13 Climate Action and
SDG15 Life on Land.
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Corporate Social Responsibility
of Humanized Companies According
to the SDG and ESG
Stephane Louise Boca Santa, Felipe Teixeira Dias, Rafael de Lima,

Ana Regina de Aguiar Dutra, Thiago Coelho Soares, and
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1136
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1139
Results and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1141
Main Connections Inserted in the Dynamics of Conscious Capitalism . . . . . . . . . . . . . . . . . . . 1141
Social and Environmental Responsibility, Corporate Governance, and Conscious
Capitalism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1143
Historical Description of the Company Irani Paper and Packaging . . . . . . . . . . . . . . . . . . . . . . . . . . . 1145
Strategic Definitions of the Company . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1146
Company’s Actions/Practices About SDGs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1147
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1165
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1166
Abstract
The Sustainable Development Goals (SDG), advocated by the UN, have been
enhanced in business organizations under the spotlight of the financial sector,
which guides the selection of investors in companies committed to ESG (Envi-
ronmental, Social and Governance) goals. People are reassessing their individual
choices, which affect business practices. This has leveraged sustainability and
S. L. B. Santa · R. de Lima · A. R. de Aguiar Dutra · T. C. Soares ·

University of Southern Santa Catarina (UNISUL)/Research Group on Energy Efficiency and
Sustainability – GREENS, Florianópolis, Santa Catarina, Brazil
e-mail: ana.aguiar@animaeducacao.com.br; thiago.c.soares@animaeducacao.com.br;
jose.baltazarguerra@animaeducacao.com.br
F. T. Dias
University of Southern Santa Catarina (UNISUL)/Research Group on Energy Efficiency and
Sustainability – GREENS, Florianópolis, Santa Catarina, Brazil
UniFG Observatory of the Northeast Semiarid Region, Guanambi, Bahia, Brazil
e-mail: Felipe.dias2@unisul.br

https://doi.org/10.1007/978-3-031-16017-2_15
1136 S. L. B. Santa et al.
placed more sustainable commitments on the CEOs’ agenda and the corporations’
strategic planning. Movements such as Conscious Capitalism and Humanized
Companies have grown while the style of companies’ business management
becomes evident. Thus, the activity of humanized companies should be reviewed
against the indicators of the sustainable development goals. Companies that place
customers’ focus at the core of their business, must develop their staff’s aware-
ness to act connected to a network for a greater purpose. Thus, within these
dynamics, this survey aimed at reviewing the ESG and SDG guidelines in
connection with sustainable and responsible activities carried out by the Irani
paper and packaging company (one of the four largest paper mills in Brazil).
Thus, the result of ESG business practices and the standards exhibited by Irani
shows that there are people who are more aware, satisfied and who contribute
better to the business, and the planet. Therefore, it is noteworthy that a conscien-
tious company voluntarily contributes to the sustainable development of the
surrounding communities. They favor people, the environment and the economy.
Corporate social responsibility begins from within, the ego and further expresses
and shares its values and develops its environment, the eco.
Keywords
SDG · ESG · Corporate social responsibility · Humanized companies
Introduction
In recent decades, themes involving environmental responsibility and sustainable

development have gradually become the object of different researches and studies,
with interdisciplinary nuances. Indeed, these themes enable analyses that unfold
from the matrix axis, that is, specific perspectives that stem from the matrix issue,
Sustainable Development.
As a result, it is worth highlighting the main Sustainable Development Goals that
relate to the actions inherent to the Corporate Governance function, namely, SDG 5
which aims to promote gender equality; SDG 7 accessible and clean energy, that is,
adherence to this kind of energies; SDG 8 decent jobs and economic growth; SDG
9 industry, innovation, and infrastructure; SDG 12 responsible consumption and
production; and not least SDG 16 peace, justice, and strong institutions and 17, part-
nerships for goals.
From this perspective, Corporate Governance (Shleifer and Vishny 1997) was
seen as an essential action to promote and achieve the company’s objectives in
compliance with social demands (Sciarelli et al. 2021; Peterson et al. 2021).
Although not recent, the structuring of the Environmental, Social and Governance
(ESG) dynamic has gradually gained strength in the face of the socioeconomic
scenario of business organizations, mainly as a result of international debates and
the conference “Who Cares Wins 2005 Conference Report: Investing for Long-term
Corporate Social Responsibility of Humanized Companies According to. . . 1137
Term Value,” which promoted discussions and reports to promote business and
organizational actions for sustainability.
Among the objectives that guide sustainable development, the issue of the
business triad Environmental, Social and Governance (ESG) stands out, which
leads to different perspectives applicable within different contexts, such as the
circular economy, which has gradually been debated as a possibility of sustainable
business initiative (Ünal et al. 2019). Hence, there is a growing number of studies
and applications focused on the circular economy, allowing for new strategies and
tests under this management and business model.
From this viewpoint, the tripod for sustainable development, that is, Environ-
mental, Social and Economic, has recently gained a new dimension, and it is possible
to consider it as a culture to be propagated from a business perspective in different
environments. It is worth mentioning that the Governance dimension, usually in the
term “ESG,” does not refer here to an integration with the SDGs in an institution-
alized way. However, from several scientific studies, the integration – practice –
between SDGs and ESG adopted by companies to promote sustainability is evident
(Hussain et al. 2016).
Other recent landmarks in the economy focused on sustainability are the Donut
Model and the Impact Economy. The Donut Model was developed by economist
Kate Raworth, in the work “Donut Economics: seven ways to think like a
21st-century economist” and includes planetary limits in a development model.
The social aspects of the Donut Model were inspired by the 17 SDGs (Raworth
2017).
The impact economy, defined by McKinsey & Company, in the report “Catalyz-
ing the growth of the impact economy,” is a System where social, environmental,
and financial impacts have the same priority (McKinsey 2018).
Thus, a new outlook correlated with the dynamics of Sustainable Development
emerges from the addition to Governance policies, giving rise to the practices of
Environmental, Social and Corporate Governance – ESG, which becomes an
extremely necessary performance for corporate finance and sustainable organiza-
tional dynamics (Pavez et al. 2020).
Consequently, corporate Sustainability strategies, aligned with ESG practices and
Corporate Social Responsibility (SCR), presuppose essential dynamics for the future
scenario of More Sustainable Development (Sciarelli et al. 2021; Shaikh 2022). In
this connection, Governance policies have a corporate, but also an organizational
dynamism, responsible for fostering evolution in the business system (Del Río
Castro et al. 2021).
As a result, it is noticeable that smaller to larger companies will gradually tend to
seek to understand the ESG dynamics and subsequently incorporate these perspec-
tives as values to be added to the dynamics of management and organizational
performance (Pavez et al. 2020). Added to this perspective is a dimension focused
on adaptations, in which corporate and collective interests, in a relationship between
economy and society, become conditions for a development process, with Gover-
nance playing a crucial role (Singh and Chudasama 2021a).
A starting point for thinking about governance as an aspect of holistic sustain-

ability within a business was Paul Hawken’s “The ecology of commerce,” which
described the antagonism between ecology and business (Hawken 2010).
In this connection, sustainability is comprehensive, holistic and, therefore, it
could be considered a target for the most diverse areas, sectors and industries. It is
not just about profitability, but the promotion of a sustainable culture, in which
companies provide society with a responsible return. Thus, Corporate Social
Responsibility (CSR) refers to the actions carried out by companies aiming at the
responsibility concerning their impact in a social and environmental framework
(Halkos and Nomikos 2021).
Regarding CSR, it is necessary to emphasize its practical approaches, which,
although not easy to define, refer to good social practices that seek to stimulate the
creation of projects and social campaigns (Hussain et al. 2016), propose forums and
events on environmentally relevant topics, propose strategies to reduce environmen-
tal impacts, seek engagement with society, and actions that are aligned with tax
incentives (Pollman 2019; Sciarelli et al. 2021).
Therefore, considering the growing importance of environmental and social
matters, the implementation of policies focusing on these issues, such as sustain-
ability reports with environmental-oriented management, can improve the
company’s social and environmental performance, catering benefits to society
(Halkos and Nomikos 2021).
Also, the humanistic issue linked to Governance practices has also been an
apparatus to measure people’s well-being, and among the main human needs is the
yearning for good social relations, which can develop institutional bonds that even
accrue to social capital (Singh and Chudasama 2021a). Indeed, in recent years,
research concerning human resources management has sought new systemic per-
spectives seeking improvements in the monitoring of practices to improve human
sustainability (Aust et al. 2020).
Consequently, concerns with the social element, expressed in the humanistic
corporate dynamics, are also correlated with a dynamic of corporate conscious
valuation, within a business perspective (Biglan et al. 2020). Therefore, human
conditions in the organizations have a value, which is the one of the human condition
itself, a pillar for sustainable social development (Biglan et al. 2020).
Thus, companies tend to look for models and solutions that allow humanistic and
more sustainable practices, striving for leveraging on sustainable corporate devel-
opment mechanisms, inserted in governance dynamics, which can be seen from the
angle of conscious capitalism. That is, a broader view is sought from companies, in
addition to profit, ethical, social and environmental aspects, among the company’s
values (Boone et al. 2020).
To characterize and discuss the proposed theme, in this work it will be necessary
to correlate the discussions with an examination of sustainability results reports
superimposed by a conscious vision; thus, it becomes necessary to reflect on the
conceptions inherent to the expression “Corporate Social Responsibility”.
To that effect, the methodological construction proposed below reflects the
theoretical-practical dynamics evidenced in this survey, whereby the topics’
discussion present dynamics that permeate the contextualization of the expression,

and its connections with other humanistic perspectives under a corporate
governance view.
The company studied, supports the SDGs, as it has a series of practices that are
aligned with the SDGs. This study aims to identify which company practices are
related to the SDGs.
Methodology
The theoretical-methodological proposal that supported the design and course of this
investigation was structured along two pathways, namely: (1) Theoretical discus-
sion, (2) Practical elements, extracted from a document analysis. This approach
sought to consolidate theoretical and practical interdisciplinary elements inherent to
the issue of social responsibility and conscious capitalism in humanized companies.
To give support to the theoretical discussions, systematic search criteria were
structured, as shown in Fig. 1.
In addition, as a practical contribution to contextualize the discussions, the
sustainability reports of the Irani Papel e Embalagem company were used. For the
interpretation and extraction of data, the last three company’s sustainability reports
were specifically selected; in other words, the reports published in 2017, 2018, and
2019 were used and data analysis was performed, which helped to characterize the
company, its strategic definitions, and helped to review the company’s actions/
practices about the SDGs.
Fig. 1 Organizational chart of method selection. The flow described in this figure presents the
research methods, the techniques used, and the research classification, in addition to the search tools
This company was selected based on its reference model of correlating its
practices and techniques in line with the Sustainable Development Goals and
corporate governance issues identified in its sustainability report.
As a result, to correlate the analysis of the sustainability report, this survey is
characterized as applied research, both considering practical applicability, and by
seeking to contextualize Social Responsibility and Governance aligned with the
SDG. In this connection, the deductive reasoning method was used, in line with
bibliographic-systematic and integrative procedures. Figure 1 demonstrates the
structuring of the methods.
The nature of this survey was defined as qualitative, since in addition to the
practical mechanisms, a systematic literature review was also carried out. This
approach establishes data analysis, definitions, and conceptions and, to that effect,
the theoretical assumptions are verified (Martins and Theóphilo 2018).
Thus, the use of descriptive-exploratory methods combined with the document
analysis procedure is highlighted, as this research excelled both in verifying the data
and in their description, as well as in the exploration of inherent meanings and
conceptions of the study object (Martins and Theóphilo 2018). As a result, mecha-
nisms inherent to document analysis were used under the practical aspect and
bibliometric analyzes under the theoretical aspect; first the search words were
established and then their application was carried out in the selected database.
Figure 2 shows the systematic route used for searches in the selected database,
also describing the filters used together with the search words previously defined.
Figure 2 summarizes the search words and the chosen databases; the search words
consisted of the following terms: Conscious Capitalism, Environmental, Social and
Governance (ESG), Corporate Social Responsibility, and Sustainable Development
Goals. The main databases selected were: Science Direct, Scopus, and Web of
Science, as they are databases with wide availability of open access scientific
Fig. 2 Sequential structuring for the definition of systematic bibliographic review and data filtering
works. However, complementary and essential works were also used, made avail-
able in databases such as Springer and Emerald, as they are available to the authors.
After the definition of the search words, a systematic structuring for search filters
was carried out, including the English language, selection period between the years
2017 to 2021, that is, an updated perspective. This operation was necessary to obtain
the most delimited and updated results to support the review.
After performing the search procedures, delimiting and filtering the results, the
articles collected were organized in the Reference Software, Mendeley ®, and,
subsequently, for bibliometric analysis, the Software, VOSviewer ® was used. This
analysis was performed to verify the correlation between the terms contained in the
titles and abstracts of the selected articles.
Main Connections Inserted in the Dynamics of Conscious Capitalism
Since conscious capitalism is within the systematic route used for the database, the
need for a clarification arises. New perspectives emanate from the junction of
existing terminologies, common viewpoints, even in an interdisciplinary correlation
so that through consubstantiation, new theoretical aspects can foster social and
environmental improvement, striving for a sustainable balance of supply and con-
sumption could be developed.
Figure 3 shows a cluster in which a connection between several aspects included
in this research is evidenced supporting the idea that permeates the term “Conscious
Capitalism”.
Figure 3 shows that the issue of values, consumption, sustainability, governance,
actions, and organizations converge directly and indirectly with the premises of
Conscious Capitalism.
Sisodia (2009) clarifies that conscious capitalism and Corporate Social Respon-
sibility (CSR) are not synonymous, as society is a stakeholder, and therefore,
companies must be socially responsible. That is, conscious capitalism is not like a
tool that is applied to manage some area of the company. Dion (2021) studied
conscious capitalism and to what extent it can favor anti-corruption strategies,
finding no relationship between the application of theory and corruption.
Freeman and By (2022) studied stakeholder capitalism. According to these
authors, stakeholder capitalism is a form of conscious capitalism with five key
ideas: purpose and profits; business as a social institution; human and economic
people; shareholders; and business ethics.
Sustainable Development in a Historical Perspective

With the industrial development and especially the recovery of countries from the
havoc caused by World War II, the economic activities contributed to the negative
impact on the environment. Thus the literature on sustainability expanded from the
Fig. 3 Cluster word mapping, demonstrating the main connections with the term conscious
capitalism
1960s onwards (Duran et al. 2015), due to the emergence of different groups that
were concerned with the promotion of more sustainability.
As early as 1972, the first report issued by the Club of Rome identified more than
60 interpretations regarding the concepts of development. Among these interpretations,
the concept of eco-development, highlighted the need for sound development strategies
capable of demonstrating sustainability and ecology in a given system, aiming to meet
the needs of the local population (Gardner 1989; Kidd 1992; Duran et al. 2015).
One of the sustainability concerns is the growing population of the planet (Boca
Santa et al. 2021). The world population today is 7.8 billion people (United Nations
2021), it was about 800 million in 1750, at the beginning of the industrial revolution.
The world population grows by approximately 75 million people a year (Boca Santa
et al. 2021). Thus, the world population has grown substantially in recent years
(Laslett and Urmee 2020).
In the early 1980s, the understanding of sustainable development and its impact
on the world was still in its infancy. However, large organizations such as the
UN-recognized sustainable development’s importance, and that is why in 1983,
the Environment and Development Commission was created, known as the
Brundtland Commission whose purpose was to issue a report that would demon-
strate the importance of sustainable development and how to achieve it (Duran et al.
2015; United Nations 2018).
In 1987 the Brundtland Commission made public its first report, entitled “Our
Common Future”; thus, for the first time the concept of sustainable development, as
used today, was mentioned; the definition represents the capacity to meet the needs
of humanity in the present without jeopardizing the ability of future generations to
meet their needs (Yang et al. 2017; Sinakou et al. 2018).
The report stated that sustainable development was no longer a goal only for
countries that were still under development, but had become a global objective
(Holden et al. 2014). Sustainable development is a process of change, not a fixed
state in which something, company or place, is in harmony with the environment.
The change process guides development to meet the needs of the present, but it also
ensures that future needs are met. The 17 SDGs are integrated and development must
balance environmental, economic and social sustainability (United Nations 2018).
The SDGs are more holistic than the version suggested by the Brundtland report.
The implementation of policies aimed at these issues, such as sustainability reports
with environmental management, can improve the company’s social and environmen-
tal performance, bringing benefits to society (Halkos and Nomikos 2021).
Transparency about economic, environmental, and social impacts is based on
offering credibility to organizations vis-à-vis their stakeholders, by providing infor-
mation on corporate sustainability, resulting in the need for a structure of global
concepts in a coherent and metric language. The Global Reporting Initiative (GRI)
developed a set of guidelines for the preparation of sustainability reports, helping to
standardize the information to be presented by organizations, so that the data could
be verified and compared.
The Global Reporting Initiative (GRI) was born in 1997, through an international
agreement entered by several Organizations, conceived mainly by CERES (Coali-
tion for Environmentally Responsible Economies), in collaboration with the United
Nations Environment Program (UNEP). GRI’s mission is to provide a framework
that is credible for issuing sustainability reports, in an accessible manner for all sizes
of organizations (GRI 2021).
Aiming to guide countries around the world toward achieving the goal of making
the planet more sustainable, the United Nations (UN) created the Sustainable
Development Goals (SDG). These consist of 17 goals and 169 indicators. The
goals address the following themes: zero hunger and sustainable agriculture; erad-
ication of poverty; quality education; health and wellness; gender equality; clean and
affordable energy; clean water and sanitation; decent work and economic growth;
reduction of inequalities; industry, innovation and infrastructure; sustainable cities
and communities; action against global climate change; responsible consumption
and production; life in water; peace, justice and effective institutions; terrestrial life;
and partnerships and means of implementation (United Nations 2018).
Thus, to contextualize the SDGs with corporate management and production
process, as well as their behavior, the next topic deals with the dynamics of conscious
capitalism correlated with the role of humanized companies and their concepts.
Social and Environmental Responsibility, Corporate Governance,

and Conscious Capitalism
Corporate social responsibility (CSR) is a concept perhaps as old as the business

concept itself. In this context, different examples of undertakings can be found in the
history of the ancient world. As a result of the massive industrialization in Europe
and other regions of the world, large companies emerged and the debate on corporate
social responsibility began. Therefore, the first book on CSR, entitled, “The entre-
preneur’s social responsibility” was written in 1953 by Bowen and Johnson, and
since then, various debates on the theme of CSR in the literature have been ensued.
Corporate Social Responsibility (CSR) surveys have been administered since the
1950s, when more formal papers on the subject began to be published (Carroll
1999). However, this subject gained emphasis starting in the 1990s, when academic
research progressed in this direction. It has recently evolved and stands as one of the
pillars of appreciation in the field of business organizations.
The issue of sustainability echoes as a challenge for companies, whereas old
managerial cultures, sustained by more traditional companies, will have to adapt to
the directives of more sustainable development. From the most traditional to the
most remote companies, these will all have to align themselves with the ESG not as a
normative standard, but as an ethical, rational, and socio-environmental precept that
promotes a culture for a more conscious capitalism (Ritala et al. 2021).
However, it is noteworthy to mention that the dynamics inserted in the ethical
and sustainable conception of the ESG idea should not remain as a theoretical
model, and even less as a fashionable term, but rather must be put into practice by
both small and large companies (Kozin 2019). In this context, it appears that the
dimension that supports the concept of corporate social and environmental responsi-
bility is commonly used as a synonym for corporate sustainability, which does not
necessarily have the same practical connotation and applicability (Kozin 2019).
Within corporate business perspectives, governance will have to adapt itself more
and more to meet the demands that support the management of each company, from
the human, to the economic-sustainable aspects, even adhering to new technologies to
improve the organizational performance as a whole (Leone et al. 2021). From another
standpoint, although not under the direct realm of corporate governance actions, there
is an indirect end, that is, the consumer, who is also co-responsible for promoting an
improvement in the products that will be consumed from the choice of materials, to the
choices of which company to consume consciously (Milne et al. 2020).
Indeed, consumers and investors gradually tend to enter conscious, ethical and
socio-environmental sustainable business markets, striving for the reduction of
global effects arising from urbanization and industrialization, but also promoting a
humanized social return (Mirvis 2021). These dynamics represents an advance in
responsible corporate sectors, in which, given the scenario of the 2030 agenda, with
the goals for Sustainable Development – SDG, companies that neglect their pro-
cesses, people, and products, will gradually lose their place to obtain resources, as
well as consumers (Del Río Castro et al. 2021).
Hence, the socio-environmental responsibility and a spirit of good corporate
governance, add up to a correlation that increasingly supports conscious capitalism,
allowing both an improvement of the economic system in a sustainable way, as well
as the advance in the sustainability of companies that adhere to this logic (Peterson
et al. 2021).
Finally, some aspects that managers should promote within companies and in
connection with consumers are the creation of added value for products, services,
and the systematization of companies’ operations (Sheth 2020). As a result, it
appears that conscious capitalism emerges as a new concept, embedded in
sustainable development. In addition, socio-environmental responsibility appears as

a strategy capable of promoting both good governances in the corporate setting, as
well as promoting actual conscious capitalism (Singh and Chudasama 2021b).
Given the above, to reconcile the theoretical assumptions established so far, the
company Irani was contextualized, becoming the object of this work.
Under the perspective of a holistic view sustainability-oriented and sustainable
business, the issue of conscious capitalism emerges as a way to promote goals and
objectives inherent to Sustainable Development, in which capitalism also implicitly
exercises functions in an economic framework, being one of the sustainability pillars
(Cavusgil 2021).
From this perspective, thinking about ideas suggested by the term “Conscious
Capitalism” highlights new challenges to be reviewed and to be put into practice by
corporations under the perspective of good governance. Indeed, new attributes are
generated from the value embedded in the quality of services provided by compa-
nies; here, not only the monetary value of services, products, and labor is addressed,
but, above all, the added value in strategies of good governance and quality of the
actual services (Berry et al. 2020; Sheth 2020).
As a result, companies should review their mechanisms, striving to offer a
selection of products, services, and promotions that are in line with healthy, sustain-
able, and environmentally balanced practices. These dynamics requires an evolution
of corporations, making companies not only humanized, but also capable of break-
ing with a previous paradigm, in which there was a capitalist consensus that led to
the deterioration of the environment, in addition to causing an array of social,
economic, and health problems (Chen and Eriksson 2019).
Thus, the role played by the most varied branches of a business activity in
promoting products, services, and quality in human and material resources in the
process of global change is highlighted. Here by way of example, mention is made of
food companies that provide professional sports products and services, as well as
technology and innovation companies (Gwartz and Spence 2020).
Caparelli (2010) studied sustainability and shareholder’s returns, that is, whether
the company adds value to the shareholder, whereas Guimarães et al. (2017)
analyzed the influence of sustainability on the compensation of managers. Their
study found a positive and statistically significant relationship between managers’
compensation and corporate sustainability practices, as well as the quality of behav-
ioral governance.
When it comes to seek to reinforce the positive impacts of sustainability on
shareholder returns, Lueg and Pesheva (2021) discovered that environmental, social,
and governance practices were taken into account yielding a positive relationship
between corporate sustainability and shareholders’ returns.
Historical Description of the Company Irani Paper and Packaging
In 1939, when the Second World War began, a Brazilian winery was aware that
Brazil imported paper and cellulose pulp, but because of the war, Brazil was having
difficulties importing; thus, management saw a good business opportunity in
developing its own pulp industry. Then, in 1941, the construction of the first factory
began. Irani was founded in 1941 in the town of Campina da Anta, in the munici-
pality of Vargem Bonita, in the state of Santa Catarina, Brazil.
In 1945, the company built a dam and a power generation plant. The energy
generated by that thermoelectric plant, powered by firewood, would be used to
produce steam and supply the factory. In 1949, the power plant was already
generating enough energy for the factory and the workers’ houses.
In 1960, the company’s Pinus forest area was established. In 1977, a new road
was opened and vehicles were replaced. The company greatly contributed to the
development of the city where its head offices are located and because of these
achievements, its founders were honored several times. There are schools in the city
that bear the name of the factory founders. In 1979, the company began the
construction of the third hydroelectric plant.
In 1994, a publicly held company in the hotel and tourism industry took over the
company’s shareholding control. In 2000, the company obtained the ISO 9001
Certification for its paper unit. In 2004, the Environmental Management department
was created. In that same year, the company was already operating on the interna-
tional market, in countries in Europe, Asia, Africa, and the United States.
In 2005, Irani, through an investment made by the Banco Nacional de
Desenvolvimento Econômico e Social (BNDES, National Bank for Economic and
Social Development), invested in the construction of a biomass power generation
plant, to produce energy and reduce the emission of greenhouse gases. Also, at that
same year, the company issued the first Social Balance Sheet.
In 2006, Irani was the first company in the paper and cellulose industry in Brazil
and the second in the world to obtain carbon credits issued within the Kyoto
Protocol, with a project approved by the United Nations (UN). In 2007, the company
published the first Sustainability Report. Also, that year the company carried out the
Inventory of Greenhouse Gas Emissions (GHG), to assess the potential of “Zero-
Carbon”.
In 2008, the company had the Clean Development Mechanism (CDM) project
approved by the UN with the Effluent Treatment Plant (ETP). In 2010, Irani
voluntarily participated in the Carbon Disclosure Project (CDP). In 2011, manage-
ment prepared the Annual Report by the international standards on Global Reporting
Initiative (GRI).
According to the 2021 integrated report, the company has six units, located in the
following Brazilian cities: Porto Alegre, Balneário Pinhal, Joaçaba, Vargem Bonita,
Indaiatuba, and Santa Luzia.
Strategic Definitions of the Company
The company’s mission is to “Build valued relationships.” This does not directly
reflect the issues associated with environmental sustainability, but the social and
economic ones. The company’s vision is “To be the best, the most profitable, one of
the best to work for and be among the largest paper and corrugated cardboard
packaging companies.” The company’s values are: “First, life; Challenged and
valued people; Customer focus; Focus on the result; Integrity; Friendliness; Innova-
tion; Social and environmental responsibility”. The company’s values are reflected
in its actions, as will be shown in the following topic.
Company’s Actions/Practices About SDGs
The company’s actions were identified through the analysis of the 2018 and 2019
Sustainability Reports, aiming to identify actions that are SDGs oriented, as shown
in Fig. 4. The blue bar represents the number of practices that the company has
related to the SDGs analyzed in each bar.
No actions were found aiming at the following SDGs: No poverty (SDG 1); Zero
hunger (SDG 2); No inequality within and between countries (SDG 10); Conserva-
tion and sustainability in the use of marine resources (SDG 14); Peace and justice:
Promote peaceful and inclusive societies for sustainable development (SDG 16); and
Strengthen the means of implementation and revitalize the global partnership for
sustainable development (SDG 17).
It is noteworthy that SDG 17 was considered, according to the methodology used,
as an SDG without actions. However, this happened because the company does not
have a GRI topic to talk only about partnerships. But, the company has several
partnerships and these will be described in the relevant analysis of other SDGs.
It is worth noting that when it is stated in this work that the company has taken
initiatives aimed at a particular SDG, it is pointed out that there is information about
this SDG in the GRI; however, this does not mean that actions are necessarily
positive. The SDGs have been identified in the company’s shares and will be
reviewed one by one.
10
9
7
6
5 5
4
3 3
0 0 1 0 2 0 0 0
SDG SDG SDG SDG SDG SDG SDG SDG SDG SDG SDG SDG SDG SDG SDG SDG SDG
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
Fig. 4 Company’s actions about SDGs. (Source: © Irani Papel e Embalagem S.A., with kind
permission (Sustainability Report 2019))
Table 1 Company’s actions related to SDG 3

SDG 3 Ensure a healthy life and promote well-being for everyone, at all ages
403-1 Occupational health and safety management system
403-2 Hazard identification, risk assessment and incident investigation
403-3 Occupational health services
403-4 Workers’ participation, consultation and communication on occupational health and
safety
403-5 Training of workers in occupational health and safety
403-6 Workers’ health promotion
403-8 Workers covered by an occupational health and safety management system
403-9 Work-related injuries
416-1 Assessment of health and safety impacts of products and services
416-2 Non-compliance incidents related to health and safety impacts of products and services
Source: © Irani Papel e Embalagem S.A., with kind permission (Sustainability Report 2019)
Table 1 shows the company’s actions related to SDG 3, ensuring a healthy life and
promoting well-being for everyone, at all ages, as well as the location of the
information in the GRI published in the Sustainability Report.
The company has several programs aimed at workers’ health, such as the Pro-
grama Cuida, Diálogos de Saúde e Excelência (DSEs, Care, Health and Excellence
Dialogues Program), medical and dental plan, hypertension and diabetes monitoring,
pregnant women monitoring, hearing conservation program, and security patrol. The
company uses software for managing health and safety programs. Also, the company
claims to have completed 100% training in regulatory standards.
However, according to Table 2, accidents have occurred and employees have
suffered injuries. The company divides the injury chart between direct employees
and service providers; however, it does not make all the information available for the
assessment of the service providers’ casualties. Thus, only the information referring
to the direct collaborators was considered for the analysis.
The company clarifies that the way to calculate the severity rate accounts for the
number of accidents 1,000,000/man-hours worked (MHW). The severity rate was
reduced by 65% in 2019 compared to the previous year. It can be seen that there was
a reduction in hours worked by 717,828 hours. The reduction of hours worked
together with training programs may have reduced the number of injuries with lost
time; however, the number of injuries without lost time has doubled.
The company highlights the actions of the Serviço Especializado em Engenharia
de Segurança e em Medicina do Trabalho (SESMT, Specialized Service in Safety
Engineering and Occupational Medicine) and also the Comissão Interna de Pre-
venção de Acidentes (CIPA, Internal Accident Prevention Commission) in the
aforementioned actions. In addition to the Programa de Observação e Prevenção
de Acidentes (POP, Observation and Prevention Program), professional rehabilita-
tion, and compliance with the International Organization for Standardization (ISO),
especially ISO 45001 on the Occupational Health and Safety Management System
and the Forest Stewardship Council (FSC) seal.
Table 2 Collaborators’ injuries

Injuries: Direct collaborators 2018 2019
Number of fatalities resulting from work-related injuries 1 0
Severity rate 362.33 235.15
Number of injuries without a lost time 16 32
Number of injuries with lost time 74 51
Number of hours worked 5,561,273 4,843,445
Main types of occupational-related injuries Upper limbs Lower limbs

Ensuring quality, inclusive and equitable education and promoting lifelong learning
SDG 4 opportunities for all
401-1 Average hours of training per year, per employee
404-2 Programs for updating employee qualifications and programs to aid in career transition.
404-3 Percentage of employees receiving performance and career assessment
Regarding the assessment of health and safety impacts of products and services,
the company claims, according to their Sustainability Report (2019, p. 27) that Irani
maintains “legal service and good manufacturing practices that avoid physical and
chemical or biological contamination of the product, and the continuous evaluations
ensure that these products do not impact consumers’ health and safety”. The
company further claims that every 2 years the German International Institute
(ISEGA) proceeds with the certification.
In addition, about the assessment of products and services’ health and safety
impact, the company claims that the forestry, the paper packaging, and resin busi-
nesses hold the FSC, ISO 9001:2015 and ISO 14064:2006 certifications. Further-
more, the packaging business follows ISO 14001:2015.
Table 3 shows the company’s actions related to SDG 4, to ensure quality,
inclusive and equitable education, and to promote lifelong learning opportunities
for all, as well as the location of the information in the GRI of the Sustainability
Report.
The company has actions in place aimed at training employees. Table 4 presents
the total workload, the number of employees and the average training hours in the
years 2017, 2018 and 2019, for the leadership, administrative, technical and opera-
tional positions. However, with the implementation of new systems, the technical
positions were discontinued, according to the 2019 Sustainability Report.
One can see that there was a variation in the average number of training hours for
the leadership and administrative positions. As for the operational positions, the
number of training hours varied very little. The average training by gender (Table 5),
remained with little variability over the years for men and women, even though
the number of employees changed, the workload decreased and the number of
workers too.
Table 4 Average training hours by functional category

Average training
Hierarchical Total workload Number of employees hours
level 2017 2018 2019 2017 2018 2019 2017 2018 2019
Leadership 13,944 6297 9350 168 161 138 83 39 68
Administrative 8230 9419 15,071 340 410 476 24 23 32
Technical 6634 8226 0 254 179 0 26 46 0
Operational 36,530 37,231 35,460 1751 1670 1511 21 22 23
Total 65,052 61,174 59,881 2513 2420 2125 26 25 28
Table 5 Average training hours by gender

Total workload Number of employees Average training hours
2017 2018 2019 2017 2018 2019 2017 2018 2019
Female 11,761 8390 9191 368 358 327 32 23 28
Male 53,577 52,954 50,690 2145 2062 1798 25 26 28
Now it is pointed to the average hours of training comparing women and men, in
2019, both sexes had access to the same average hours of training. An interesting
piece of information in Table 4 is the number of employees by gender, which can be
better visualized in Fig. 5.
In this sense, there is a big difference in the number of employees by gender. In all
the years reviewed, the number of men was always higher. On average, females
represent 15% of total employees and males represent 85%, in the 3 years reviewed.
The company highlights the Supera program, which, according to the Irani
Sustainability Report (2019, p.67), “allows self-knowledge, the strengthening of
the feedback culture, the encouragement of productivity, the identification of talents
and the recognition of differentiated performances”. The program covers leadership,
administrative, technical, and operational positions.
Table 6 shows the company’s actions related to SDG 5, achieving gender equality
and empowering all women and girls, as well as the location of the information in the
GRI published in the Sustainability Report.
Table 7 shows the proportion of salaries paid to men and women, for all
functional categories; women’s salaries are lower, in all the years reviewed. The
company claims that the salary paid to men and women who perform the same
function is the same. However, according to the report reviewed, because men are
the majority at all levels, on average, men earn more.
Water is one of the most important resources for the manufacture of pulp and
paper. Table 8 shows the company’s actions related to SDG 6, ensuring the
availability and sustainable management of water and sanitation for all, as well
as the location of the information in the GRI published in the Sustainability
Report.
2145 2062
1798
368 358 327
2017 2018 2019

NUMBER OF EMPLOYEES
Female Male
Fig. 5 Number of employees by gender. (Source: © Irani Papel e Embalagem S.A., with kind

SDG 5 Achieving gender equality and empowering all women and girls
405-2 The proportion of basic salary and compensation for women and men
Table 7 Proportion of salary paid to men and women

2017 2018 2019
Man Woman Man Woman Man Woman
Leadership 1 0.78 1 0.71 1 0.77
Administrative 1 0.9 1 0.73 1 0.88
Technician 1 0.91 1 0.79 – –
Operational 1 0.8 1 0.8 1 0.76

SDG 6 Ensure the availability and sustainable management of water and sanitation for all
303-1 Interaction with water as a shared resource
303-2 Management of impacts related to discarded water
303-3 Water withdrawal
303-4 Water discarded
303-5 Water consumption
306-1 Total water discarded, broken down by quality and destination
Table 9 Total water Source 2017 2018 2019

withdrawn by source
Superficial 4745.36 4728.24 4902.47
(in megaliter)
Underground 154.44 158.4 123.72
Utility company 17.2 15.93 21.18
Total 4916.99 4902.58 5047.36
Source: © Irani Papel e Embalagem S.A., with kind permission
(Sustainability Report 2019)
The company states in its Sustainability Report (2019, p.77) that it has a grant for
“the release of effluents into receiving water bodies not located in areas of water
stress” (Irani 2019). Table 9 shows the total amount of water withdrawn from each
source; the company states that the industrial units have water consumption goals,
defined by historical analysis and by projection. The company further states that,
according to the Sustainability Report (2019, p.77), “we participate in a basin
committee that brings together different sectors of society to define guidelines that
ensure the conservation of springs, water sources and local biodiversity” (Irani
2019).
The company has a water consumption control in place aiming to produce more
using less water. There is also internal control over reused and non-reused water. The
reused water is that which remains in a closed circle, that is, water pumped from
wells or surface water, which is treated internally and then returned to the water
wells. The water affected by discarded water is fresh and is not located in environ-
mental protection areas (Irani 2019).
Water treatment is carried out according to the priority established by environ-
mental licenses and specific legislation. Laboratory analyses are carried out period-
ically and the reports are sent to the regulatory agency.
Table 10 shows the company’s actions related to SDG 7, ensuring reliable,
sustainable, modern, and affordable access to energy for all, as well as the location
of information in the GRI published in the Sustainability Report.
Energy self-sufficiency is one of the features that draw the most attention,
including in the company’s history, which, already in its early years, invested in
power plants and continues to highlight the matter in the company’s strategic map
2018–2027. The Vargem Bonita units are high-energy consumption units, which is
why the company has invested in the use of biomass from forest residues. So, instead
of the material being discarded in landfills, producing greenhouse gases, the com-
pany has had, since 2005, a boiler to generate steam and energy from the burning of
biomass. This process has been registered with the United Nations (UN) and vali-
dated as a Clean Development Mechanism (CDM) (Irani 2019).
In addition to the boiler mentioned above, the company has four additional
boilers for thermal energy generation, a Small Hydroelectric Power Plant (SHP)
and two Hydroelectric Generating Systems (HGSs). As for the self-generation of
energy in 2019 for the Paper unit SC, 50.48% refers to the production of the
cogeneration boiler, 41.79% refers to SHPs and 7.73% to thermoelectric power.
However, of all energy consumed by the company, 45.54% comes from purchased
energy (Sustainability Report 2019).

SDG 7 Ensuring reliable, sustainable, modern and affordable access to energy for all
302-1 Internal energy consumption of the organization
302-2 External energy consumption of the organization
302-3 Energy intensity
302-4 Energy consumption reduction
302-5 Reduction in energy requirements of products and services
The company has control over the total energy consumed within the organization
and the purchase of electricity and self-generated energy by source. It also controls
each generating source of energy consumed, the consumption of renewable and
non-renewable fuel, steam consumption and energy consumption outside the orga-
nization. Figure 6 exhibits the total power consumption in Gigajoules (GJ).
The consumption of non-renewable fuel (in GJ) in 2017 was 413,546,959.50; in
2018, it was reduced to 376,330,467.25; and in 2019, it continued to decrease,
totaling 356,076,949.92 in the year. These values include the consumption of BPF
oil and natural gas. The consumption of renewable fuel (in GJ) was also reduced
over the three years: in 2017, it was 3,471,021.94; in 2018, 3,299,353.87; and ended
the year 2019 with a consumption of 3,322,755.72 (Irani 2019).
On the other hand, energy consumption (in MJ) outside the organization was
reduced over the years. In 2017 it was 199,681.97; in 2018 181,867.32; in 2019
147,677.33. Therefore, the year 2019 is by scope 3 of the GHG inventory (Irani
2019).
Table 11 shows the company’s actions related to SDG 8, promoting sustained,
inclusive,and sustainable economic growth, full and productive employment, and
decent work for all, as well as the location of information in the GRI published in the
Sustainability Report.
The company states that it does not have compensation policies and a yearly rate
of compensation increase and that an external consultant handles the process to
determine the staff compensation. Also, regarding the fringe benefit plans and
retirement plans, the company informs that it does not have a retirement plan
(Irani 2019).
Table 12 shows the new hires of employees by age group; it can be seen that the
vast majority of new hires are men.
Table 13 shows the percentage of employees by age group and functional
category; it can be seen that most employees are men in all functional categories.
In the leadership positions, there are 0.89% women and 5.60% men; in the admin-
istrative positions, 8.14% are women and 14.26% men; for operational positions the
number is even more discrepant, 15.39% are women and 84.61% are men.
Figure 7 refers to turnover by age group and gender. As shown in the chart, in the
years 2017 and 2018, there was not a very discrepant difference between genders.
However, in 2019 there was a much higher turnover among women.
8,10,247
8,06,288
7,86,951
2017 2018 2019
Fig. 6 Total electricity consumption in GJ. (Source: © Irani Papel e Embalagem S.A., with kind

Promote sustained, inclusive and sustainable economic growth, full and productive
SDG 8 employment, and decent work for all
102-35 Compensation policies
102-36 Process for determining remuneration
102-37 Stakeholder involvement
102-38 The proportion of total annual compensation
102-39 Percentage increase in annual total compensation promotion
201-3 Defined fringe benefit plan obligations and other retirement plans
401-1 New employee hires and employee turnover
401-2 Benefits provided to full-time employees that are not provided to temporary or part-
time employees
405-1 Diversity of governance bodies and employees
Table 12 New employee hires by age group and gender

2017 2018 2019
Woman Man Woman Man Woman Man
Under 30 years 7% 61% 17% 50% 17% 50%
From 31 to 50 years 5% 26% 7% 24% 0% 1%
Over 50 years 0% 1% 0% 1% 9% 22%
Table 14 shows the proportion of wages paid for men and women. According to
the company, for the presentation of this information, only the average base salary
paid by employee category was considered. The company also claims that men and
women who perform the same function receive the same salary, but on average, men
earn more because they are the majority at all levels; thus, the salaries of senior
leadership positions impact the average (Irani 2019).
Table 13 Employees by Female Male Total

age group and functional
Leadership 0.89% 5.60% 6.49%
category
Under 30 years of age 0.09% 0.42% 0.52%
Over 50 years of age 0.19% 0.99% 1.18%
From 30 to 50 years of age 0.61% 4.19% 4.80%
Administrative 8.14% 14.26% 22.40%
Over 50 years of age 0.24% 0.85% 1.08%
From 30 to 50 years of age 4.24% 8.80% 13.04%
Operational 6.35% 64.75% 71.11%
Over 50 years of age 0.94% 8.89% 9.84%
From 30 to 50 years of age 4% 30.59% 34.59%
Grand total 15.39% 84.61% 100%
Source: © Irani Papel e Embalagem S.A., with kind permission
(Sustainability Report 2019)
36%
24% 24%
22% 23%
18%
16% 15%
10%
5% 4% 0% 6% 3% 1% 6% 5% 3%
WOMAN MAN WOMAN MAN WOMAN MAN

2017 2018 2019
Under 30 years of age From 31 to 50 years of age Over 50 years
Fig. 7 Turnover by age group and gender. (Source: © Irani Papel e Embalagem S.A., with kind
The company also informs that it employs a total of 2125 people and a total,
93.05% are hired under the Consolidação das Leis do Trabalho (CLT, Consolidation
of Labor Laws) regime and 0.30% pro-labore (Sustainability Report 2019). Also
according to the Sustainability Report (2019, p. 73), “the average of the lowest
wages practiced is equivalent to 1.45 of the minimum wage in force in Brazil, on
December 31, 2019. About the total number of employees 9.30% receive the floor-
salary of the category”. Also, according to the company, “proportionately the highest-
paid employee in the organization receives 36.96 salaries more than the average of
other employees. For the preparation of this datum, the following composition was
considered as total annual remuneration: base salary + 13th salary + vacation”.
Table 14 Proportion of salary paid to men and women

2017 2018 2019
Man Woman Man Woman Man Woman
Leadership 1.00 0.78 1.00 0.71 1.00 0.77
Administrative 1.00 0.90 1.00 0.73 1.00 0.88
Technical 1.00 0.91 1.00 0.79 – –
Operational 1.00 0.80 1.00 0.80 1.00 0.76
14,568
12,073 11,931 12,047 12,344

10,370
8,069 8,541
7,379
218 299 340
FOOD TRANSPORT LIFE INSURANCE HEALTH PLAN
2017 2018 2019
Fig. 8 Fringe benefits granted to employees (in R$ thousand). (Source: © Irani Papel e Embalagem
S.A., with kind permission (Sustainability Report 2019))
Figure 8 demonstrates the fringe benefits granted to employees. Benefits include

food, transport, life insurance and health insurance. Most benefits were increased
over the years reviewed, especially health insurance, which is in line with the
company’s policies.
The company also emphasizes that the food benefit refers to the sum of invest-
ments in meals and food baskets distributed to employees. Furthermore, the benefits
are, according to the Sustainability Report (2019, p. 73) “offered to full-time or part-
time direct staff, regardless of the type of labor contract”. In addition, regarding
parental leave, in 2019 there were 6 women and 69 men who enjoyed parental leave
and after the leave, 100% of them returned to work and continued to make up the
company’s workforce (Irani 2019).
Table 15 shows the company’s initiatives related to SDG 9, which is to build
robust infrastructure, promote inclusive and sustainable industrialization, and foster
innovation, as well as the location of information in the GRI published in the
Sustainability Report.
The company controls used, recycled, and recovered materials, as well as pack-
aging materials. The chart in Fig. 9 shows the total volume of materials used in the
years 2017, 2018, and 2019. It is possible to see that most units reduced consumption
in 2019 compared to 2017, while in 2018 a fluctuation occurred.

Build robust infrastructure, promote inclusive and sustainable industrialization, and
SDG 9 foster innovation
301-1 Materials used by weight or volume
301-2 Recycled input materials used
301-3 Recovered products and their packaging materials
2017 2018 2019

6,92,626
6,68,658
6,45,820
95,243
87,279
86,338
71,578
69,961
68,101
67,579
67,580
67,174
66,400
53,673
24,205
17,172
16,542
13,983
PAPER SC PAPER MG PACKAGING SC PACKAGING SP PACKAGING SP RESIN
I V
Fig. 9 Total volume of materials used. (Source: © Irani Papel e Embalagem S.A., with kind
The total volume of renewable materials is relevant information as it reflects a

significant action of corporate sustainability. Renewable materials are, for example,
soil, water, biofuels. But, more relevant than how much is used is how to use them,
so as not to harm the environment. Figure 10 reports the total volume of renewable
materials.
Although renewable materials consumption fluctuated among the units, the total
amount consumed (in tons) in 2017 was 981,599; in 2019, it was 926,804, so a
reduction is observed. Figure 11 shows the total volume of non-renewable materials.
Non-renewable materials generally increased consumption, but not in a very large
amount. The company has taken initiatives related to the use of recovered materials,
as shown in Fig. 12.
The SC Packaging unit stands out in terms of recovered materials considering the
use of recycled paper in the process, which increased 90% in 2018 and 96% in 2019
(Irani 2019).
In addition, the percentage of recycled materials used in the process in the Paper
SC and MG units stands out. In 2019, the SC Paper unit obtained around 10.73% of
recovered material and the MG Paper unit obtained around 6.87%. The company
points out that it considers recycled material the trimmings generated in the cutting
of sheets and boxes (Irani 2019).
2017 2018 2019

6,80,683
6,55,019
6,33,588
94,688
86,596
85,706
71,064
68,903
67,503
66,953
66,831
66,553
65,359
53,444
24,133
17,172
16,542
13,983
I V
Fig. 10 Total volume of renewable materials. (Source: © Irani Papel e Embalagem S.A., with kind
2017 2018 2019

13,639
12,232
11,943
1,058
1,041
1,026
683
632
627
598
555
514
343
229
72

I V
Fig. 11 Total volume of non-renewable materials. (Source: © Irani Papel e Embalagem S.A., with
kind permission (Sustainability Report 2019))
Table 16 shows the company’s actions related to SDG 11, which is making cities
and human settlements inclusive, safe, resilient and sustainable, as well as the
location of information in the GRI published in the Sustainability Report.
The company has actions involving the surrounding communities. Surroundings
are the municipalities where the business units are located and, therefore, where the
majority of employees dwell. The company has initiatives in 100% of the munici-
palities where it operates (Irani 2019).
The company highlights the following initiatives: (a) Outstanding Student, which
includes exclusive pedagogical guidance and scholarships; (b) Broto de Galho, where
industrial waste is used by artisans; (c) Partnership with Junior Achievement, comprising
corporate volunteering, with the purpose of training employees to apply methodologies
in communities’ schools regarding entrepreneurship, innovation, and sustainability;
2017 2018 2019
95.92%
92.99%
92.90%
92.58%
92.58%
91.69%
88.76%
87.55%
87.37%
87.36%
87.12%
86.99%
23.82%
23.69%
22.07%
PAPER SC PAPER MG PACKAGING SC PACKAGING SP I PACKAGING SP V
Fig. 12 Percentage of recovered materials. (Source: © Irani Papel e Embalagem S.A., with kind

SDG 11 Making cities and human settlements inclusive, safe, resilient, and sustainable
413-1 Operations with local community involvement, impact assessments, and development
programs
413-2 Operations with significant potential impacts or actual negative impacts on local
communities
(d) Partnership with the Joaçabense Volleyball Association (AJOV), where actions are
implemented to encourage the practice of sports; (e) Sports programs in partnership with
the Serviço Social da Indústria (SESI, Social Service of Industry), also encouraging the
practice of sports and transversal subjects such as respect and teamwork (Irani 2019).
Figure 13 shows the chart corresponding to social investments, which have been
reduced over the years. The company points out that it also donates native trees
seedlings, including Araucaria, Imbuia, and Butiá.
As for the potentially significant impacts or actual negative impacts affecting
local communities, in 2019, the company completed the socio-environmental impact
study on communities surrounding the business units in Indaiatuba and the State of
Minas Gerais. In Santa Catarina, the nuisance factors include odor, truck traffic, soot,
access, road maintenance and waste collection. In the Rio Grande do Sul, inconve-
niences include the existence of waste, the roads conditions, fires, lack of fences
between properties, workers’ health in the forests, spreading of Pinus trees by seed
dispersion and the use of chemical substances in resin extraction. In Minas Gerais,
the odor and trucks traffic was identified as a nuisance. In Indaiatuba (SP), no
negative impacts were identified (Irani 2019).
Table 17 shows the company’s actions related to SDG 12 that is ensuring
sustainable production and consumption standards, as well as the location of infor-
mation in the GRI published in the Sustainability Report.
314
214
176
41 10 10
2017 2018 2019
Direct investment Punctual donaons
Fig. 13 Social investments (in R$ thousand). (Source: © Irani Papel e Embalagem S.A., with kind

SDG 12 Ensure sustainable production and consumption patterns
306-2 Waste by type and disposal method
306-4 Transport of hazardous waste
306-5 Water bodies affected by water discharge and/or runoff
414-1 New suppliers selected based on social criteria
414-2 Negative social impacts in the supply chain and actions taken
Table 18 shows the total weight of waste broken down by disposal method
(in tons). According to the company, the waste disposal method follows the classi-
fication of NBR 10.004. This standard was issued by the Associação Brasileira de
Normas Técnicas (ABNT, Brazilian Association of Technical Standards) and estab-
lishes the criteria for the classification of solid waste, accounting for the waste
potential risk to human health and the environment. As for the transport of hazardous
waste, it is performed by licensed companies.
The company clarifies in its report that the reduction in hazardous waste in the
period 2018–2019 was a reflection of a reclassification of soap lye, which is why
non-hazardous waste increased during the same period (Irani 2019).
For the selection of new suppliers, the company applies a questionnaire to detect
social and environmental quality requirements that are demanded, according to the
Sustainability Report (2019, p. 112) “by the standards ISO 9001 (quality), ISO
14001 (environmental management system), ISO 22000 (food security) and AS
8000 (social responsibility)” (Irani 2019).
Table 19 shows the company’s initiatives related to SDG 13, which consists in
taking urgent measures to fight climate change and its impacts, as well as the location
of information in the GRI entered in the Sustainability Report.
Table 18 Total weight of waste broken down by disposal method (in tons)
Not hazardous Hazardous
Disposal method 2017 2018 2019 2017 2018 2019
Recycling 32,706.32 31,704.84 47,627.45 3798.37 3861.24 12.39
Reuse 90,491.83 70,359.52 81,326.33 0.00 87.87 0.00
Incineration 0.03 0.00 0.00 0.03 8.17 0.04
Blending 4.67 0.00 0.00 4.67 7.2 5.23
Compost 2145.13 16,710.38 23,153.93 0.00 0.00 0.00
Recovery 133,252.82 108,728.23 84,357.42 0.82 0.00 0.00
Landfill 21,913.69 21,094.55 20,839.46 308.06 18.51 88.31
Total 280,514.48 248,591.52 257,304.59 4111.95 3983 106.05

SDG 13 Take urgent action to fight climate change and its impacts
305-1 Direct GHG emissions (Scope 1)
305-2 Indirect GHG emissions (Scope 2)
305-3 Other indirect GHG emissions (Scope 3)
305-4 The intensity of GHG emissions
305-5 Reduction of GHG emissions
305-6 Emissions of substances that deplete the ozone layer
305-7 Nitrogen oxides (Nox), sulfur oxides (Sox) and other significant atmospheric
emissions
The company stands out when it comes to emissions, as the company has its
guidelines set by the GHG Protocol and by the National Policy on Climate Change in
scopes 1 (direct emissions), 2 (indirect emissions), and 3 (indirect emissions from
other sources), and therefore capturing more greenhouse gases than it emits. Irani
was the first Brazilian company to certify an Inventory of Greenhouse Gases (GHG)
under ISO14064:2006 (Irani 2019).
As for GHG emissions, the company clarifies that the base year used until 2013
was 2006. However, in 2013 the organization acquired Indústria de Papelão
Ondulado São Roberto, and this is why emissions got higher. Since then, the
company has sought to optimize processes to reduce emissions until
decommissioning the unit in 2019 (Irani 2019). Figure 14 shows the Direct Emis-
sions (Scope 1) of GHG.
Figure 15 shows Indirect Emissions – Energy. The company clarifies that,
according to the Sustainability Report (2019, p. 89) “the emission factors used for
calculation purposes are provided by the Ministry of Science and Technology and
comprise the indirect emission calculation according to the ISO14064:2006 guide-
lines” (Irani 2019). Figure 15 shows that, despite the increase that occurred due to
the purchase of a new industry, the company sought to reduce emissions.
103383
90005 87876
71850 72515
50689 49856
42557 45611
8441 10846 10823 13003 17454
2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019
Emissions
Fig. 14 Scope 1 – Direct GHG Emissions (in tons of CO2eq). (Source: © Irani Papel e Embalagem
S.A., with kind permission (Sustainability Report 2019))
13723
12959
12172
10167
8001 7979
7279
1188 1013 2480 1400 2432 1520 695
2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019
Emissions
Fig. 15 Scope 2 – Indirect Emissions – Energy (in tons of CO2eq). (Source: © Irani Papel e
Embalagem S.A., with kind permission (Sustainability Report 2019))
Figure 16 shows Indirect Emissions – Other sources. The company clarifies that,
according to the Sustainability Report (2019, p. 89) “the IPCC 2006 Guidelines are
considered as the source of the emission factors used and the rate of global warming
potential, according to the ISO14064:2006 guidelines” (Irani 2019).
Figure 17 shows the certified emission reductions of the Paper Mill SC in
Campina da Alegria (in tons of CO2eq), the effluent treatment plant and the energy
cogeneration boiler.
12719 12461 12926

11665 11461
11029
10414 10325
9868
9315
6927
5741 5945
4647
2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019
Emissions
Fig. 16 Scope 3 – Indirect emissions – Other sources (in tons of CO2eq). (Source: © Irani Papel e
Embalagem S.A., with kind permission (Sustainability Report 2019))
26073
24949
21982
9254 9568 8764
2017 2018 2019
Treatment plant Cogeneraon boiler
Fig. 17 Certified emission reductions at the Paper Mill SC (in tons of CO2eq). (Source: © Irani
Papel e Embalagem S.A., with kind permission (Sustainability Report 2019))
The company points out in the Sustainability Report (2019, p. 91) that “in 2019,
we recorded a greater consumption of biomass produced by third parties located
within a 200km range of the Vargem Bonita units, influencing the calculation of
certified emission reductions” (Irani 2019). Figure 18 shows atmospheric emissions
(in tons/year).
The company points out in the Sustainability Report (2019, p. 92) that “to define
the sampling methodology for emissions analysis, the Technical Standards of
2650.93
2310.19
1912.63
695.97
481.67264.45271.02124.43170.13 0.03 0.04 10.45 229.72400.18 1.78 6.97 83.96 533.69
2017 2018 2019 2017 2018 2019 2017 2018 2019 2017 2018 2019 2017 2018 2019 2017 2018 2019
NITROGEN OXIDE SULPHUR OXIDES SULPHURIC ACID REDUCED SULPHUR PARTICULATE CARBON
MATTER MONOXIDE
Atmospheric Emissions
Fig. 18 Atmospheric emissions (in tons/year). (Source: © Irani Papel e Embalagem S.A., with
kind permission (Sustainability Report 2019))
ABNT, CETESB and EPA were taken as a basis”. CETESB is the Environmental
Company of the State of São Paulo and the EPA in the United States Environmental
Protection Agency (Irani 2019).
Table 20 shows the company’s initiatives related to SDG 15, which are: pro-
tecting, restoring and promoting the sustainable use of terrestrial ecosystems, sus-
tainably managing forests, combating desertification, halting and reversing land
degradation, and halting the loss of biodiversity, as well as the location of the
information in the GRI entered in the Sustainability Report.
When it comes to biodiversity, care must be taken when analyzing a company that
needs trees to manufacture paper, as Irani’s management mentions in the Sustain-
ability Report (2019, p. 93) “the perpetuity of our business depends on the balance in
the interaction of processes and natural resources” (Irani 2019). The company states
in its report that in the State of Santa Catarina, 48% of the areas belonging to the
company are dedicated to environmental preservation. Also, company representa-
tives are part of the Advisory Board of the Instituto Chico Mendes de Conservação
da Biodiversidade (ICMBIO, Chico Mendes Institute for Biodiversity Conservation)
which manages the Araucárias National Park (Irani 2019).
The company carries out scientific research and environmental education work in
the Reserva Particular do Patrimônio Natural (RPPN, Private Natural Heritage
Reserve) in Vargem Bonita (SC), the area has 285 hectares of native vegetation
typical of the Araucaria Forest. Still, in the herpetofauna survey, there are Araucaria
Forest threatened species in the inventory, so the company also maintains fauna and
flora monitoring projects, with emphasis on the capuchin monkey project and the
reintroduction project of the purple-bellied parrot (Irani 2019).
As for the main impacts of forestry activities, products and services on biodiver-
sity, the company informs that it produces seedlings from seeds harvested from
native trees; in the company’s own Pinus and Eucalyptus nursery, seedlings are
grown for 6 to 12 months until ready for planting.

Protect, restore and promote the sustainable use of terrestrial ecosystems, sustainably
manage forests, combat desertification, halt and reverse land degradation, and halt the
SDG 15 loss of biodiversity
304-1 Own leased, managed operating sites in or adjacent to protected areas and areas of
high biodiversity value outside the protected areas
304-2 The significant impact of activities, products and services on biodiversity
304-3 Protected or reclaimed habitats
304-4 IUCN red list species and national conservation list species with habitats in areas
affected by operations
For soil preparation, subsoiling techniques are used and the holes in the soil are
dug manually. As for planting, in 2019, 947.12 hectares were planted, of which,
803.46 with Pinus and 143.66 with Eucalyptus. Forest management, on the other
hand, is carried out, controlling pests, with semi-annual inspections up to 5 years of
planting. Regarding the patrimonial structure and surveillance, in 2019 there were
3 fires, but without damage to the planted area. The forest emergency fire brigade is
made up of 15 trained members (Irani 2019).
It was not clear which are the negative impacts of the activity in 2019, besides the
information that the eroded roads are reclaimed. According to the Sustainability
Report (2017, p. 14) “when negative impacts are identified, we apply measures,
aiming at mitigating and preventing new occurrences” (IRANI 2017). However, in
the Sustainability Reports 2017 and 2018, a relevant information was entered
informing that in February 2017, a forest fire reached a forest area of 1255 hectares
of Habitasul Florestal in the municipality of Cidreira (RS), resulting in a negative
impact on the biological assets of more than R$five million. However, in 2018, it
was possible to recover 79% of the burned area (IRANI 2017, 2018).
As already reported, the company invests in research and also cares about health,
safety, and the environment. As a form of control, the company uses the Report on
Health, Occupational Safety, and the Environment (HOSE). The company maintains
roads in locations where there are critical sources of environmental impacts, such as
erosion or close to water sources. When the forest is 15 years, it is harvested. Harvesting
is mechanized, including cutting, dragging, treating, and loading the logs. Other sources
of impact include chip production for biomass and wood trading (Irani 2019).
Conclusion
With this research, first we sought to understand the correlation between the key-
words of corporate social responsibility, ESG, and conscious capitalism for the
promotion of the SDGs. Thus, based on the theoretical discussions in this systematic
review, it became clear that these subjects inserted in the context of Corporate
Governance became a strong element for discussions focused on Corporate socio-
environmental responsibility.
From a practical standpoint of the discussions held about Irani’s company’s

sustainability reports, this research identified the sustainability actions reported
and related to the SDGs. The company here assessed operates in the pulp and
paper business and deployed several actions associated with sustainability, which
contribute to achieving 11 SDGs. No actions were found regarding the following
SDGs: SDG 1; SDG 2; SDG 10; SDG 14; SDG 16, and SDG 17.
Further, as evidenced in the analysis that the company implemented actions
aimed at a certain SDG, there is information regarding this SDG in the GRI;
however, it does not mean that the initiatives are necessarily positive. There are
positive and negative actions, as every activity generates an environmental impact.
All actions corresponding to the 2019 Sustainability Report were identified and
assessed one by one. In this perspective, it is concluded that the company assessed in
this study encompasses several of the SDGs in its actions that benefit the environ-
ment and society, despite the impact of the activity in question.
Apparently, this is not a case of greenwashing, where the appropriation of
environmentalist virtues is not justified, since the company has, in fact, several
actions related to the SDGs; however, it is worth remembering that the company’s
activity generates environmental impacts. However, so that this question can be
affirmed, we suggest an in-depth study in the company.
Therefore, the triple contribution of this research is highlighted, the first of which
is directed to the academic field, which can use the methodological construction for
replications in other perspectives related to ESG and SDG. From a theoretical
perspective, it is asserted that this survey aimed to contribute to the discussions on
Corporate Responsibility due to the analysis of each activity, stages of the internal
process that involve this industry. In addition, and no less important, this industry’s
practical contribution stands out, reporting actions that companies in the pulp and
paper industry can take to contribute to the SDGs.
In light of the above, for future research also, it is suggested that a similar analysis
be carried out in one or more paper and cellulose companies, national or interna-
tional, to compare the methodology and the results of the analysis.
Acknowledgments This study was conducted by the Graduate program in Management (PPGA,
Unisul), and Graduate program in Environmental Science (PPGCA, Unisul), and also the Centre for
Sustainable Development (Greens), from the University of Southern Santa Catarina (Unisul) and Ânima
Institute (AI), with the kind permission of © Irani Papel e Embalagem S.A to use the data made available
by it, in this chapter, in the context of the project BRIDGE – Building Resilience in a Dynamic Global
Economy: Complexity across scales in the Brazilian Food-Water-Energy Nexus; funded by the Newton
Fund, Fundação de Amparo à Pesquisa e Inovação do Estado de Santa Catarina (FAPESC), Coordenação
de Aperfeiçoamento de Pessoal de Nível superior (CAPES), National Council for Scientific and
Technological Development (CNPq), and the Research Councils United Kingdom (RCUK).
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Sustainable Consumption and Production
in an Era of Uncertainty
Jennifer Bernstein
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1172
Problematizing the Regional . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1174
Commodification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1175
Commodity Chains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1176
Green and Ethical Consumerism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1178
Commodity Chain Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1181
Changes to Consumption Patterns During the Pandemic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1182
Segmentation of Consumer Behavior . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1184
Ethical Consumerism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1185
Fordism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1186
More from Less . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1188
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1189
Endnotes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1190
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1190
Abstract
The United Nations Sustainable Development Goal 12, Responsible Consump-
tion and Production, focuses on ways to reduce the environmental impact of
commodity extraction, distribution, and consumption, while ensuring the
flourishing of human life across the globe. However, the precarity of commodity
chains, and thus the metrics used to measure them, were fundamentally altered by
the COVID pandemic. Global trade was disrupted, leading to higher prices for
producers and consumers. All of a sudden, just-in-time production, environmen-
tal accounting systems, and global commodity chains were called into question.
As consumers, long-held environmental concerns and ethical concerns seemed
quaint, as disposable masks and single-use plastic gloves saved the lives of those
J. Bernstein (*)
The Breakthrough Institute; Case Studies in the Environment, Berkeley, CA, USA
e-mail: bernstjm@usc.edu; jennifer@thebreakthrough.org

https://doi.org/10.1007/978-3-031-16017-2_88
1172 J. Bernstein
around us. Psychologically, consumers were disoriented as these invisible and

allegedly solid commodity distribution systems melted into air, resulting in new
purchasing behaviors.
This chapter lays out the foundations of commodification, as well as the
history and evolution of commodity chains. More precisely, it asks the Covid
pandemic affected commodity chains themselves, as well as ethical purchasing
behavior by consumers. How did the psychological impacts of commodity chain
disruption affect those quarantined, and how were consumer segments affected
differently? Certain things are given – shopping moved online and demand for
gloves and masks increased. But another key point is that consumers regressed to
the local. While a logical response to empty shelves, it ignores the way in which
most of us in developed world are fully embedded in global commodity chains.
More problematically, it supports an ideology of exclusionism and ignorance of
inherent global integration. A second key point is the way in which ethical
consumption is secondary to simple consumption. Many consumers abandoned
visions of recycled toilet paper in favor of toilet paper. Moving forward, more
attention should be paid to the impacts of uncertainty on producers and con-
sumers, and how that will affect ethical consumerism going forward. In a world
where climate change is a reality, uncertainty will undoubtedly be wrestled with
moving forward.
Keywords
Sustainable Development Goal 12 · Ethical consumption · COVID-19 ·
Consumer behavior
Introduction
This chapter focuses on the impact of the COVID-19 pandemic on achieving

Sustainable Development Goal 12, Responsible Consumption and Production
(SDG12). It looks at commodity chains, the psychological impacts of the pandemic
on consumers, and how the pandemic might shape achieving the goals of SDG12 in
the future.
Sustainable Development Goal 12, Responsible Consumption and Production, is
based on the premise that unsustainable consumption and production are major
drivers of environmental problems such as biodiversity loss, climate change, and
pollution (United Nations 2022). This is achieved through 11 individual targets
including “achieve the sustainable management and efficient use of resources,”
“ensure that people everywhere have the relevant information and awareness for
sustainable development and lifestyles in harmony with nature,” and “encourage
companies, especially large and transnational companies, to adopt sustainable prac-
tices and to integrate sustainability information into their reporting cycle” (United
Nations 2022). Each target is matched with a number of indicators. At present, one of
the challenges of evaluating the effectiveness of SDG12 is the lack of data (Bernstein
Sustainable Consumption and Production in an Era of Uncertainty 1173
and Vos 2021). For example, Target 12.2 (“By 2030, achieve the sustainable
management and efficient use of natural resources”) has UN data only at the global
level, whereas localized data is critically important in evaluating the disparate use
and management of resources. Others, such as 12.8 (“Ensure that people everywhere
have the relevant information and awareness for sustainable development and
lifestyles in harmony with nature) has no data associated with it whatsoever.
Conversely, Target 12.4 (“By 2020, achieve environmentally sound management
of chemical and all wastes throughout their life cycle”) can be reasonably assessed
using country-level reports with respect to recycling and hazardous waste manage-
ment. Thus, a major barrier in knowing whether the Targets of SDG12 are being
achieved is simply a lack of quantifiable metrics (Bernstein and Vos 2021).
Further, the language of the goal suggests certain ideological neoliberal frame-
works are accepted a priori, thus limiting the set of possible solutions. For example,
Target 12.2 states, “By 2030, achieve the sustainable management and efficient use
of natural resources.” Many have critiqued the fundamental framework of sustain-
able development (e.g., Jacob 1994; Morse and McNamara 2013). Who decides
what determines sustainable management, or what a sustainable level of consump-
tion is? Is it based on future scenarios, and what parameters are put into futures
modeling? These questions may sound esoteric, but ultimately speak to the power
structures controlling the definitions and the unstated assumptions going into them.
Even more problematic is Target 12.8, “By 2030, ensure that people everywhere
have the relevant information and awareness for sustainable development and
lifestyles in harmony with nature”. While at face innocuous, two contested assump-
tions are built into it, namely, that (1) lack of information is a barrier toward making
more sustainable decisions, and (2) humans are out of harmony with nature. The first
claim, otherwise known as the deficit model, has been widely debunked (Nisbet and
Scheufele 2009). The second has been highly contested (e.g., Habgood 2002;
Wapner 2013). These examples are not intended to critique the intention of the
goal, but rather to demonstrate that the way in which they are embedded in time and
space and thus limit the set of solutions that could be envisioned.
The goals of SDG12 could broadly be stated as providing for human material
needs in a socially equitable way without degrading the functionality of global
ecosystems. Despite the problematic aspects of SDG12, it is widely accepted that
the model of a circular economy could facilitate and even improve the achievement
of the goal. Kirchherr et al. 2017 defines it as such:
A circular economy describes an economic system that is based on business models which
replace the “end-of-life” concept with reducing, alternatively reusing, recycling and recov-
ering materials in production/distribution and consumption processes, thus operating at the
micro level (products, companies, consumers), meso level (eco-industrial parks) and macro
level (city, region, nation and beyond), with the aim to accomplish sustainable development,
which implies creating environmental quality, economic prosperity and social equity, to the
benefit of current and future generations. (Kirchherr et al. 2017, pp. 224–225)
The umbrella of the circular economy concept includes the field of Industrial
Ecology and methods such as material flow analysis and life cycle assessment, as
1174 J. Bernstein
well as monetizing the circular economy in developing nations, as well as increased

producer responsibility of end-of-life waste management.
Problematizing the Regional
Before launching into the topic, the author would like to argue, with respect to
SDG12 in particular, against the regionalization of the goal. In fact, regionalization
and lack of global environmental governance along commodity chains is exactly
what has stymied progress. The intention of the series, to take a regional look at
progress toward the SDGs, is important. Sometimes, the global scope and impact of
consumption and production on human and biological ecosystems is simply too
unwieldy to engage with. But we live in a hybrid world that cannot be disambiguated
from far flung places. As this chapter will later discuss, during the pandemic there
was an ideological and logistical move toward the local, wherein people’s homes
became the epicenter of family life, work, and recreation, and communities came out
to support local businesses to keep them afloat (Alsetoohy et al. 2021; Minton and
Cabano 2022). If everyone simply focused on their own community, nation, or
region, it might seem, we could create the world we want to live in. There is a
dichotomization between the opaqueness and brutality of globalized commodity
chains with the idealized local, the site of all that is good (DuPuis and Goodman
2005). During a time of great uncertainly, the local increasingly became a scale at
which humans could enact agency.
A well-known concept in geography is “the friction of distance” (Rogers et al.
2013). This refers to the way in which space takes time and effort to overcome. The
concept shaped the work of many early economic geographers, like Weber, when
trying to determine where to locate a factory in relation to the marketplace. Deter-
mining factors include factors like the weight and size of a commodity, perishability,
mode of travel, etc. A logical outcome of this concept is that when the friction
becomes too much to overcome, regardless of cause, activities tend to take place
within closer proximity.
Up until the 1950s, the friction of distance prevented commodity chains from
becoming too far-reaching geographically. Post-World War 2, the effort globally was
toward cooperation, rather than the protectionism that characterized World War 1. In
particular, the General Agreement on Tariffs (GATT) was intended to reduce trade
barriers via dramatic reductions in tariffs (Council on Foreign Relations 2022).
Space-shrinking technologies, in particular transportation and communication,
helped reduce the friction of distance and, some have argued, make the world
smaller. In a globally connected world, dictated by capital flows, under a neoliberal
regulatory system, places become interchangeable on the bases of their resource
availability, not restricted due to their geographic location.
The very essence of contemporary consumption and production, especially with
respect to commodity chains, is global. To romanticize the local and disengage with
these commodity chains means to disengage with a fundamental part of how the
world is constructed, economically and socially (Blum 2013). A retreat to the local
will not suffice in making a just and sustainable world of 9 billion people able to
thrive. More sinister is the way in which a hyper-focus on the national scale has been
associated with the environmental ideology of the far right, where nature is used to
justify social and economic hierarchies and place environmental degradation at the
feet of groups that have been instrumentally othered (see Moore and Roberts 2022).
The argument, it goes, is reminiscent of Malthusianism. Without enough planetary
resources to go around, those whose quality of life rises dramatically creates the most
dramatic environmental change. Rather, the contrary has proven true (see Blomqvist
and Bernstein 2022). Further, isolating regions has been historically been used to
sidestep environmental regulation and outsource toxic forms of production. While
firms can be based in one location, they are inextricable from their contingent global
working parts.
Thus, despite the spirit of the topic, this chapter will not take a regional approach
to SDG12 during the 2020–2022 Covid pandemic. There will be an inevitable focus
on the Americas given the academic background of the author, and the social
psychological studies cited oversample the United States. But it is argued that it is
partly the very lack of environmental governance across spatial scales that makes
SDG12 so difficult to achieve.
Commodification
The majority of goods consumers purchase are called commodities. Commodities

are things, typically but not always physical objects, that have value in the market-
place. If a raw material, say a tree, has no commercial value and thus is left as an
ecologically functional forest, it has not yet been commodified. However if it is later
found that the tree has a particular market value and is thus harvested, the tree has
been commodified. This demonstrates two critical things. The first is that whether or
not something becomes commodified depends on circumstances that change over
time and space. This can include things like technological innovations, such as in the
1970s when surface mining and other techniques made it immensely more inexpen-
sive to extract tar sands. It can also be contingent on need, or the over-extraction of
raw materials that serve a similar purpose and thus put pressure on an adjacent but
often unrelated industry.
It is important to mention that while commodification typically conjures up
images of consumer goods, services; seemingly non-commodifiable phenomenon
can be commodified. Sometimes, this proves controversial. Emotions such as peace,
dominance, and achievement are commodified in car advertisements. Blood can be
commodified. In most countries, marriage can’t be commodified, insofar as you may
not purchase a spouse.
But perhaps most glaringly, commodification makes it glaringly obvious that in
its uninterrupted, unfettered state, the neoliberal1 economic system is not designed to
accommodate anything that cannot be valued by the marketplace. The marketplace is
1176 J. Bernstein
theorized to be a democracy where every person’s consumption decisions direct the

monolith in a particular direction for the greater good of humanity. Whether that is
the case is up for debate. However, regardless, anything unable to be monetized is
unable to be valued. For deep ecologists, this disrespects the autonomy and dignity
of non-human life. Ethicists like Peter Singer (who, to be clear, does not define
himself as a deep ecologist) argue that animals, by their existence, are voting that
they choose to be alive (Singer 2016). Therefore, they should not need to be assigned
a market value by humans, as system in which they have no agency, to deserve the
right of existence. The recognition of this problem forms the basics of the field of
ecological economics, namely, that ecosystems perform services that may be subtle
or unnoticed but would be extremely expensive were that “ecosystem service” to
disappear (Costanza et al. 1997). This field attempts to better capture environmental
externalities. Through commodifying the seemingly uncommodifiable, valuation in
a market system can provide ecosystem protection rather than vulnerability.
Commodities are not simply purchased for their use value. Given the relative
interchangeability of products with respect to use value, products must compete for
market share based on their symbolic value. This can be a number of things, often to
the point of comedy (who needs their face wipes to be masculine?), but meaning is
significant when consumer goods are brought into the public sphere. The meaning of
a product, when purchased, is transferred onto the buyer via their visible decision to
choose it over an alternative. That said, it is also important to remember that the
purchase of a product with meaning is in itself a privilege. Sometimes that meaning
is the price, such as good from a dollar store versus a Birkin bag. But meaning has
become less about price and more about access to the cultural capital needed to know
what commodities have what meaning, and even better, which commodities will
have a meaning in the future for a particular subgroup (e.g., Baudrillard 1998; Miller
1991, 1995; Glennie and Thrift 1996).
Commodity Chains
The vast majorities of commodities are extracted, manufactured, distributed, and

sold via commodity chains. At the simplest level, commodity chains include raw
material extraction, processing, logistics, and retail. Raw materials are extracted
from the biophysical environment, modified, and used at multiple points along the
commodity chain to ultimately produce a single commodity for purchase by a
consumer, who can be an individual or an organization. At points along the com-
modity chain, waste is generated. This waste is either reincorporated into the product
stream or otherwise disposed. While it depends on the commodity, more often than
not disposal is the responsibility of the consumer, with government providing
support along the commodity chain and especially at the end.
This description is the most basic supply chain, and it does not demonstrate its
complex dynamics. But a basic glance demonstrates that along the commodity chain
the biophysical environment is initially used as an input, and then as a repository for
waste generated through the production process. An individual who cares about the
biophysical environment could take even the most cursory look at a commodity
chain and see that the biophysical environment ends up on the losing end of the
equation. So when faced with the option to buy a traditional product, a green
product, or no product at all, the latter is the most environmental choice. The idea
that waste should be reduced when possible has been fully mainstreamed. This
ranges from more radical anti-consumerist groups to mainstream corporate and
governmental initiatives to reduce waste and pollution in the private and public
sector.
The biophysical environment is both a signified and a signifier (Sauserre in Harris
1986). The object is referred to as the signifier, the physical object for sale. In
traditional economic theory, a rational human purchase an item based on a balance
between its perceived value and its price point. Nature is obviously used as a
physical input, with the extraction, use, and often degradation of inputs like ore
and timber. Yet at the same time, attached to the commodity is what is signified. This
is the meaning attributed to a product, typically by advertisers and marketers, but
also incubated culturally and individually. Different commodities have different
meanings. In her classic essay, Looking for Nature at the Mall, Jenny Price (1996)
tours the now-defunct Nature Company retail store for the ways in which physical
modifications of nature (signifiers) are attributed with culturally-agreed upon mean-
ings of nature (the signified). While a sports-utility vehicle is associated with the
ability to conquer an aggressive nature, it is also made of a tiny chunk of that very
same nature, albeit modified through the commodity production and distribution
system. A similar advertisement could equate the same vehicle with the peacefulness
associated with a redwood forest. The signified may not be a physical commodity. In
tourism, the idea of place (and very often, intimate experiences with nature) are used
to market a location as desirable tourist destination. But while the meaning of nature
is at least somewhat malleable, or at least culturally situated, the material flows
underlying commodity production are not. The meaning of a product with respect to
the human-nature relationship and the physical “nature” used for its manufacture and
distribution may tell very different stories.
Advocates of circular economies advocate that the disposal of a commodity be
incorporated into life cycle analysis accounting, but that is not included in the
standard definition. Traditionally, commodities are presented in the marketplace as
new and placeless, and many products are popular because of their lack of variation
(e.g., Coca Cola). Thus, even when commodity chains became globalized, not much
attention is paid to the inner workings of the how raw materials are transformed into
finished goods. This, historically, has been the expectation of what the consumer
would want. However, in recent years, there has been an increased consumer
demand for authenticity along commodity chains. This originated via a number of
concerns – economic, political, safety, and otherwise. More and more, consumers
demanded products that were transparent about what they contained, where they
came from, and the environmental and labor practices used to manufacture them.
Thus began an increased consumer demand for the production of their projects to
meet ethical and environmental standards.
1178 J. Bernstein
Green and Ethical Consumerism
The term “green consumption” is at core problematic (see Alfredsson 2004; Elliott
2013). In most cases, the greenest product is the one never purchased. The term
“green consumption” can refer to the way a product is produced and its tangible
environmental impact as quantified by whatever metrics are inputted into the
assessment process, empirically and/or qualitatively. It can also refer to the way in
which a consumer perceives a product. There has been ample literature on the way in
which labeling and packaging is often more important that environmental credentials
(Kong et al. 2014). Thus, the term typically does not provide ample information as to
the means by which the product is produced or its bottom-line environmental impact.
At the intersection of environmental ethics and commodity chains is the idea of
sustainable production and consumption, as exemplified by SDG12. As commodity
chains became increasingly globalized in the 1980s, consumers became more
interested in where their commodities, especially food, came from and how it was
produced. This was exacerbated by environmental concerns (e.g., dolphin bycatch),
attention to workers rights (e.g., Nike labor rights abuses), and worries about
consumer safety (e.g., medicine tampering). All of these concerns, amplified by
high-profile cases in the media, contributed to the idea that the commodity chain was
something to be suspicious of, or at minimum, aware of. As will be discussed later,
on the producer side this is often manifested through standards, either voluntary or
mandated. The greening of the supply chain provides a way for organizations to
address environmental and social concerns, sometimes in preparation for (rather than
in reaction to) a mandate. On occasion, the process of auditing the supply chain
(often in the form of life cycle analysis) provides opportunities for cost-savings.
Thus, a green or ethical supply chain can be a win-win for actors along the chain,
including workers, corporate interests, the environment, and consumers. However,
there are downsides of standards and certifications. One lasting effect of these highly
publicized public environmental risks is a lingering suspicion surrounding the black
box of commodity chains.
With respect to the sustainable consumption side of things, this is where the
coordination between actors along the commodity chain comes to fruition in the
form of a product. The demand for this product can be from an individual consumer
or from an organization. In this scenario, the consumer, motivated by concerns about
the impact of a product on the biophysical environment and humans, chooses to
purchase a product that allegedly has a less negative effect on the environment as
compared to if the product to be produced in a traditional fashion. The consumer is
asked to value aspects of the product beyond its appearance of newness, color, style,
value, usefulness, need, etc. To think about the commodity chain, and the fact that an
individual product comes from somewhere, is made of something, is made by
people, is antithetical to the history of marketing. And yet, many organizations
have embraced this consumer turn to ethics to increase their premiums and fill a
market niche. And ostensibly help the environment.
To elucidate the above, there are different types of product “greenness”. One type
is a product that is not particularly “ethical” or “green” but it is marketed using
associations with the natural environment. This can be through terminology like
“natural” (which has no formal definition with respect to the FDA), employing green
imagery, or even outright false product claims. “Greenwashing,” in addition to
manipulating consumers, threatens the reputation of corporations and other organi-
zations legitimately trying to do the right thing (e.g., de Freitas Netto et al. 2020;
Zinkhan and Carlson 1995). As consumers are increasingly concerned about the
biophysical environment, corporations risk losing public trust, reduced consumer
demand, boycotts, and an overall bad reputation should they shallowly boast green
credentials. Today, this manifests itself especially within the discourse of “ethical
fashion” (Adamkiewicz et al. 2022). Another type of green product is not
greenwashed, but actually made of material that has a lower material impact on
the environment, yet still marketed and advertised to consumers using the symbolic
value of nature. These products are quantifiably more ethical, but draw upon nature’s
cultural meaning. Just because a product is intended to cause less environmental
impact than a similar product doesn’t means that does so successfully. The intention
of the most carefully designed green product disappears if the consumer purchases
two of them. And there are products who simply have a lower impact on the
environment, or accommodate worker’s rights, without being marketed as such.
Eco-friendly products serve as social signifiers in one’s everyday life (Pahlevi and
Suhartanto 2020; Chen et al. 2021; Rosenberg et al. 2019). Horton (1993) argues that
the sphere of the everyday is a critical, under-recognized aspect of environmental-
ism. The relations developed through price-sphere activities are indicative of the
performativity of environmentalism and the importance of material practices in
developing social cohesion. To this end, just as the way that the majority of
consumer goods are selected to demonstrate something about their purchaser,
eco-friendly products show that the purchaser prioritizes the environment. Similar
signals can be made online, via social media and other platforms. Regardless, the
need to connect with others on the basis of shared values is worth validating. In a
media-saturated world, we broadcast our values and preferences, likes and dislikes,
and make connections on that basis. Material goods, despite their carbon footprint,
enable connection on the basis of shared values, environmental values included.
Many have argued that focusing on environmental behavior at the level of the
individual is in itself a product of neoliberalism. From the beginning of the envi-
ronmental movement, environmentalists have been skeptical as to the value of
individual behavior. Many grassroots environmental groups neglected to participate
in the first Earth Day celebration due to the focus on individual behavior as
compared to corporate rapaciousness (Gottleib 1993). At bottom, the changes that
will make impact at scale are typically out of reach of most individuals. Paul
Hawken’s Project Drawdown analyzes an exorbitant amount of data to determine
which climate solutions would be most effective in reducing carbon emissions over
the next 30 years (Hawken 2017). The most effective, under three different emis-
sions scenarios, are refrigerant management, onshore wind turbine development, and
reducing food waste (along the commodity chain, not by the individual). A typical
adult would be challenged to explain what refrigerant management means, much less
its relationship to climate change and/or how “the individual” could get involved.
1180 J. Bernstein
Of course, acting on one’s environmental concern is not an impulse to suppress.

Environmental problems, especially climate, are so conceptually complex and
unwieldy that “climate anxiety” has become a real source of psychological distress
(Clayton 2020). Thus, making small choices, such as buying a more environmentally
friendly cleaning product, may make a relatively minuscule difference in terms of
carbon emissions but may, the consumer tells themselves, be better than nothing.
This represents a soft, pragmatic form of environmentalism, wherein the market
structure is accepted as established and change occurs within it through individual
decision-making. But it would be inaccurate to say these behaviors are not
meaningful.
Given the anti-materialist ideology of much of environmentalism, a lack of
commodities is also a means of facilitating environmental identity creation, affirma-
tion, and communication; a sort of “performative non-consumption”. In the devel-
oped world, there is a negative stigma associated with consumption and a positive
stigma associated with restraining from consumption. Excessive consumption is
portrayed as hedonistic. We gawk at syndicated television shows like “Hoarders”
(Barnes 2022), where an addiction to consumer goods leads to a disheveled,
unhealthy, problematic life. Conversely, on shows like Netflix’s “Tidying up with
Marie Kondo,” ridding oneself of possessions is associated with simplicity, purity,
clarity, and peace (Lucy 2022). Many behaviors associated with lifestyle environ-
mentalism, for example gardening, cooking from scratch, and using cloth diapers,
take more time than the store-bought alternative (Bernstein 2019). They also show
that that the individual has sufficient time to dedicate to these leisure activities
dressed up as survival. In this context, it is not the consumer good that represents
status, but rather the time to do as one pleases.
More starkly, green consumerism represents the privilege of being able to buffer
oneself from risk (Beck and Wynne 1992; Siegrist 2021). Chemical-free cleaning
products and pesticide-free produce keep the consumer from exposure to what are
perceived as risky ingredients, to both humans and the environment. Andrew Szasz
(2007) refers to this neoliberalization of environmentalism as “inverted quarantine”.
Rather than march in the streets or advocate for legislation, those with sufficient
disposable time and income can insulate themselves from a seemingly apocalyptic
fate that will befall the planet. This is not dissimilar to other types of risk, such as the
ability of elites to access medical care and treatment during the Covid pandemic.
Instead of advocating for risk reduction for all, one can simply quarantine oneself
from risk posed by the world outside (Leskinen et al. 2020). Of course, advocating
for equity while protecting oneself are not mutually exclusive. But as climate
instability increases, findings from social psychology suggests that society may
become more insular, isolationist, and regressive rather than magnanimous toward
those subject to the most risk. The individual and local scale becomes the buffer from
an increasingly hostile, uncertain, and unpredictable world.
Opting completely out of the economic system is near-impossible, thus putting
even more importance on the consumer choices one makes. If an individual states
that they believe that consumer choices are the most powerful way of enacting
environmentally beneficial outcomes, it may simply be because they believe that
other forms of engagement are useless. Thus, what may appear at surface value to be
support for green consumerism may be couched in isolationist fatalism and a
perceived lack of individual agency.
Commodity Chain Standards
Improving the efficiency and economic viability of a product while reducing its
environmental impact is critical in achieving the goals of SDG12. This means
expanding ones view beyond a single commodity, but looking at the entire com-
modity change and its impacts at each stage. Commodity chains are subject to
standards, whose complexity is proportionate to the complexity of the commodity
chain at hand. Standards are agreements, based on empirical data, as to the specifi-
cations of a particular product. These can be divided into process standards, which
regulate the process by which a product is produced (the commodity chain), or
product standards, which regulate aspects of the product itself.
Standards are wildly diverse. For one, they apply to different fields of product
characteristics. This can include things like quality assurance, health and safety, and
ethical concerns like labor rights, fair wages, and the impact of a product on the
environment. Standards can also be adopted for a number of reasons. Some stan-
dards are mandatory, such as country-of-origin labeling for unprocessed seafood.
Others are voluntary, such as forest stewardship council certification. The merits and
drawbacks of both have been widely discussed. Standards can take a number of
forms, including labels and certifications. These become shortcuts for consumers and
other actors to determine whether a product aligns with their priorities, be they
geographic origin, carbon emissions, processing technique, or genetic modification.
The certification process can occur through first, second, and third parties, as well as
governmental and non-governmental organizations. The scale of certification refers
degree to how certification covers a certain industry geographically, ranging from
local to global. Scale is of critical concern. For example, does it apply to where the
product comes from or the location at which it is consumed? How is transport
incorporated (or not) into means of assessing the environmental impact of the life
cycle of a product? What about where the product is used versus the location where it
is ultimately disposed of or returned into the commodity stream? Where does one
draw the geographic boundary around how to measure the impact of a product? This
must be carefully considered for each type of standard.
Standards are complex. The core phenomenon that complicates the establishment
and enforcement of standards is their globalized nature. While a consumer may want
a simple bottom line as to, say, the environmental impact of a particular good, the
reality is that the environmental impact is different at each point in the commodity
chain, and subsequently, different geographic locations. With respect to negotiations
along the commodity chain, it is not typical for constituencies at different points in a
particular commodity chain to agree when they are operating under different political
and ecological circumstances. Therefore, when an organization wants to adopt, say,
more environmentally friendly practices through conducting an internal life cycle
1182 J. Bernstein
analysis, actors will receive different benefits (or lack thereof). This can make
negotiations complex.
Economically, certification and labeling can be a benefit and a drawback. On one
hand, certification and meeting or exceeding standards can mean access to higher-
end markets. Producers and manufacturers may adopt standards under the guise of
being ethical while also operating using a simple cost-benefit analysis. For example,
one of the challenges with organic produce is marketing to consumers who are
uncomfortable with visual imperfections. Raisins, which are cosmetically similar
whether they are grown organically or not, provide more return on investment than
were the fruit need to look more appealing to a typical customer. It’s (quite literally!)
low hanging fruit. For distributors of specialty crops (what most of us understand as
simply fruits and vegetables), it is difficult to differentiate one apple from another
and thus establish brand loyalty that would allow prices to be raised. In this context,
organic certification (or alternative certifications) can simply be the easiest way to
charge more for a product. While pragmatic, some argue that this may dilute the
original intention of certification (Guthman 2014). Further, some have argued that
standards risk regressing to the mean. For example, once a standard is adopted or
mandated, what would be the incentive to exceed that standard? For some stewards
of working ecosystems, this fails to reward embracing the spirit that motivated the
standard in the first place. Certification (which shows a set of standards has been
met) can also be expensive. In the case of, say, sustainable seafood and MSC
certification, this means that larger fisheries based in developed countries have the
means to obtain certification while smaller fisheries in developing countries lack
access to the share of the market that MSC certification facilitates.
To conclude this section, a better understanding of commodity chains, including
increased coordination along them, is both a challenge and a requirement should the
goals of SDG12 be achieved.
Changes to Consumption Patterns During the Pandemic
The Covid pandemic changed consumer behavior far beyond the ethical consumer
sector (Sheth 2021). During the worst of the pandemic, consumer behavior was
inextricably linked to other aspects of existence, including employment, recreation,
and social activities, all of which were fundamentally altered. It is difficult to know
the long-term effects of the pandemic on consumer attitudes and behaviors. While
much rhetoric involved and still involves waxing poetic about “going back to
normal,” there is an increasing realization turn toward “the new normal” or the
“next normal”. Broad, initial findings as to the impacts of the Covid pandemic on
consumer behavior are discussed in this section, both during and in a transitioning
out of the pandemic phase (e.g., relatively at the time of authorship). These gener-
alizations that don’t apply equally across sectors, geographic regions, or income
levels. However, they provide a baseline by which to better evaluate the effects of the
Covid pandemic on consumption patterns, ethical, and otherwise.
The United Nations makes a debatable connection between the Covid pandemic
and the human-environment relationship:
The emergence of COVID-19 has underscored the relationship between people and nature
and revealed the fundamental tenets of the trade-off we consistently face: humans have
unlimited needs, but the planet has limited capacity to satisfy them. We must try to
understand and appreciate the limits to which humans can push nature, before the impact
is negative. (UN, ND)
The most dramatic changes to consumer behavior during the pandemic were
caused by the (already accelerating) move from brick-and-mortar institutions to
e-commerce, digital communication, and virtual environments (Remes 2021). To
be fair, most brick-and-mortar retail establishments were well-organized in terms of
their relationship with their online presence. But with lockdown, life moved online
to the furthest extent possible. With respect to employment, non-service work
suddenly moved remote. For individuals who had previously worked remotely,
this transition (both logistically and psychologically) was easier than for those
who hadn’t. Even so, many employees reported wanting to continue remote work
in some capacity when the pandemic subsided (Accenture 2020). At the same time, a
number of jobs in the service sector became instantly reduced or made redundant,
especially those requiring face-to-face contact. This disproportionately affected
low-wage workers. Industries relying on face-to-face work were impacted, such as
restaurants serving downtown commuter populations. Demand for other service
sector industries skyrocketed without notice, such as delivery drivers and medical
workers. With respect to consumer behavior, there were increases in online retail,
changes in purchasing behaviors caused by preference, and changes caused by
income.
During the pandemic, consumer behavior was typical of consumers who perceive
themselves to be in a time of crisis. Shopping can be divided into two categories –
utilitarian and hedonic. Utilitarian shopping is driven by anxiety, while hedonic
shopping is predicted by depression (Di Crosta et al. 2021). When faced with
uncertainty, consumers purchase familiar items. At the beginning of the pandemic,
consumers were highly focused on their basic needs, namely, the health of them-
selves and their loved ones. Unsurprisingly, the product categories that increased
across all consumer segments were personal hygiene products (e.g., soap, hand-
sanitizer, and medical-grade masks). Second were cleaning products, and third was
tinned food. Areas that went down, ranked, were fashion, home decor, and beauty
products. Contrary to popular perception, alcohol sales decreased.
Much attention was paid to the phenomenon of stockpiling, with toilet paper
perhaps being the most iconic. To be sure, there was a degree of panic buying. But
the rush on toilet paper may have been less about panic buying and more about
needing to privately acquire supplies previously provided in the workplace. Rather
than being panicked and hedonic, there was simply more of a need for toilet paper at
home. Stockpiling by consumers may have unintentionally stimulated further
stockpiling due to perceived scarcity (Ahmadi et al. 2022). Others may have not
1184 J. Bernstein
been panic-buying at all, but rather attempting to avoid multiple shopping trips
(Cranfield 2020). In general, the media coverage of stockpiling during the pandemic
was a headline-grabbing narrative but didn’t adequately capture why consumers
were changing their shopping habits.
Segmentation of Consumer Behavior
Economic theory characterizes all consumers as motivated by the balance between

price and quality. But consumers, as marketers know, are not a monolith block. They
vary in preferences and habits based not just on their demographics but also their
worldviews and affinity groups. A great deal of effort is made to segment consumer
populations, understand their motivations and values, and tailor products specifically
to fit their wants and needs. Thus, it is insufficient to ask how consumer behavior – in
this case, ethical consumer behavior – changed broadly during and after the pan-
demic. We must ask how these changes vary between groups as well.
Segmentation is the statistical process of dividing a larger sample into internally
cohesive groups. In choosing the appropriate number of clusters, statistics are used
to make each group internally as homogeneous as possible, but as different from one
another as possible. That said, it is important to remember that the number of clusters
is partly an artifice of statistical choices. Consumer groups are important, but
arbitrary.
Before we can consider green and ethical consumerism, we must consider
consumer segments more generally. The global professional services firm Accenture
conducted an international survey of over 3000 consumers early in the pandemic
(late March and early April 2020). While forecasters had little idea of how things
were to transpire over the following years, the firm recognized the fundamental ways
in which the pandemic would change life at all scales, everywhere, and that to be
able to survive the pandemic, business would need to recognize the new reality and
pivot quickly. The analysts segmented their sample into “new types of consumers”
based on attitudes and preferences. This study, whose methods were not fully
disclosed (likely because the data is proprietary) settled on five clusters. This
included “The Worrier,” the older, anxious consumer who is reactionary with their
purchasing. “The Individualist” disapproves of the government response,
stockpiling goods for themselves and those closest to them, concerned that others
might do the same. “The Rationalist” was pragmatic about the pandemic, not
changing their purchasing decisions except for those as recommended by reputable
agencies (hygiene and cleaning products). “The Activist” is committed to the
success of the community as a whole, practicing social distancing for the greater
good and assisting others beyond their immediate household. Finally, there are “The
Indifferent”. Less informed than the Individualist, the Indifferent goes about their
daily business with minimal compliance or behavioral modification, but out of lack
of awareness rather than a political statement. In the first few weeks of the pandemic,
the number of worriers decreased in regions where the cases had stabilized (though
no statistics, such as basic correlation, were presented in this report) (Accenture
2020). What this suggests is that people’s consumption habits during the pandemic
were born out of their broader consumption identities.
With respect to ethical consumerism, this Accenture study is perhaps overly
optimistic in predicting trends. The authors suggest that the shifts toward “conscious
consumerism” and that buying local will be permanent. Consumers surveyed
reported that they reduced food waste and were shopping more health consciously.
But the degree to which these habits became instilled has yet to be determined.
Ethical Consumerism
On one hand, many consumers saw the pandemic as relieving pressure on earth’s
ecosystems. Others saw the experience of the pandemic as akin to the ramifications
of climate change (Kinefuchi 2020). Interestingly, people who were already engag-
ing in environmentally friendly consumer practices (e.g., buying locally grown
produce) increased their belief in the social importance of the products they were
already consuming (Collins et al. 2022). While narratives about the environment in
the popular media during the pandemic were highly problematic, one could argue
that a new consumer segment emerged, more interested in environmentally friendly
products than before.
Initial research shows that health was a strong driver of a move on behalf of
consumers toward more ethically sourced products during the pandemic. In semi-
structured interviews, Qi et al. (2020) found that health was a motivating factor in
consumption of “green products” (a Chinese government labeling program akin to
organic certification). This could be because of an awareness of individual health,
perhaps leaning toward environmentally friendly cleaning products, or products that
could be purchased with a wider audience in mind, such as the concern for the health
of factory workers.
The problem was the intention-behavior gap. This describes a situation wherein
one has positive individual intentions, but for one reason or another is unable to
actualize them. During the worst of the pandemic, consumers complained that they
couldn’t buy a number of commodities they demanded, ethical products being one of
them. Availability issues were mentioned regularly. State Qi et al. (2020):
Three common themes were observed from their responses: unavailability issues, price
issues, and panic issues. For unavailability issues, some interviewees reported that, although
they intended to buy green food, it was difficult to make purchases because of restrictions on
going out and supply-side shocks during a pandemic.
The pandemic showed the way in which many of the tenets of SDG12 implicitly
assumed the relative stability of supply chains. To make production and consump-
tion more sustainable implies there are choices to be made. For those working on
supply chain logistics, certification agencies, and every day consumers, there often
simply wasn’t enough raw input or product, at the right time, to be able to make
choices at all. All trends that had been in play were halted and demonstrated that
1186 J. Bernstein
pro-environmental decision-making, per the type advocated on SDG12, was ulti-

mately both imperative and a luxury.
Fordism
To be able to understand how the globalized supply chain is wrangled, we must

understand the emergence, characteristics, and evolution of Fordism. Over the last
100 years, there have been massive innovations that have reduced the friction of
distance, enabling commodities to be transported more quickly, cheaply, and even
more sustainably across the globe. But the drawbacks fall disparately across actors
within a commodity chain. For example, while cheaper prices are appreciated by
consumers, the bulk of the value added to a product is done near the end of the
commodity chain, often in industrialized nations, and often under the direction of
advertising and marketing departments. Thus, the fiscal markups along the com-
modity chain tend to benefit already privileged actors. Further, with the advent of the
pandemic, vulnerabilities of the fundamental structure of contemporary commodity
chain governance became visible. This created logistical nightmares as well as
distrust on the part of the consumer. When commodity chains can’t be counted
upon to perform their most basic function, namely, the expedient distribution of
affordable, basic goods, more aspirational demands like honest labeling and ethical
workforce practices are harder to implement, much less verify.
Two technologies in particular fueled the globalization of commodity exchange.
The first of these is transportation. The extraction of iron ore, coal, and steel enabled
the laying of railroad lines and fueling ocean transport, reducing cost and time. The
reduction in the cost of jet fuel fueled (quite literally) the reduction in time, cost, and
effort needed to ship commodities by air. Another hugely impactful phenomenon
was containerization, or the adoption of 20 or 40 foot corrugated metal crates
intended primarily to expedite the process of loading and unloading commodities,
namely, from sea to land. In 1959, transport constituted 25% of the cost of a finished
item (Coe et al. 2019). As legend has it, in 1956, trucker Malcom McClean was
watching goods be unloaded via grappling hook while he waited for his commercial
truck to be filled for transport. Struck by inspiration, he envisioned a container that
could hold a sufficient amount of goods and be transferred seamlessly from ocean
transport to land. The logic was obvious. While the data is hard to pin down, it’s
widely understood that globalization was strongly impacted by this innovation. It
caused both commercial ships and trucks to be modified to be able to load and
transport these containers.
Containerization enabled quicker turnover. Cost-savings were achieved by com-
modities spending less time in storage, being handled more quickly, less time
between producers and consumers, and less idle inventory. At the same time,
containerization fundamentally altered the workforce both directly connected with
commodity transport as well as far beyond it. Maritime economies declined, and
what was once a week of labor loading and unloading in port took a single day.
Additionally, workers lacked the job security provided by place-based extraction,
manufacturing, and transport. While transporting a commodity a little further

became less expensive, relocating to find a more complacent workforce became
less of a barrier. As places became interchangeable, so did people.
This underlies an additional part of the reduction of the friction of distance, which
is that actors who were previously at a distance are now engage more easily. As
space gets virtually shrunk, engagement can increase. Domestic companies morphed
into global companies as producers, whether they liked it or not, were increasingly
competing in a global market. Elements of the commodity chain became
disintegrated from one another, as the spatial distribution between producers and
consumers increased.
Another longstanding effect of containerization has been the expansion of port-
cities. Globally, the largest ports are located in Singapore, Shanghai, and Hong
Kong. In the United States, the two largest ports (16th and 18th, globally) are located
in Los Angeles and Long Beach. On one hand, the centralization of distribution has
major benefits, including the concentration of industries associated with the shipping
industry (otherwise known as agglomeration). At the same time, the sheer volume of
materials passing through a single port makes the supply chain vulnerable if there
were disruptions such as a sudden reduction in workforce or other issues.
The transportation revolution, fueled by containerization and coupled with
advances in communications technologies, led to what has been called the “logistics
revolution” (Coe et al. 2019). Previously, Fordist systems were characterized by the
acquisition and storage of large stockpiles of good, distributed in infrequent, high-
volume installments. Faster communications technologies allowed for a clearer
understanding of the supply chain and distribution process, enabling the reduction
of the need for large stockpiles of goods. Rather there was a move toward “just in
time” manufacturing, where goods are produced and distributed at lower volumes
more frequently. This eliminated the need to stockpile large amounts of raw mate-
rials – they were simply “stockpiled” with the producer, and requested when needed.
These are referred to as lean distribution systems. Many of the commodity chain
issues that arose during the pandemic are an outcome of vulnerabilities in the lean
production system.
Lean distribution systems were enabled by advances in four key areas. The first is
transportation terminals, such as the shipping ports previously discussed. Not only
were the terminals themselves expanded in volume capacity, they were connected
with high-capacity corridors and a network of inland processing and distribution
centers. The second is the distribution centers themselves, where turnover is rapid
through procedures like cross-docking. Further, information technology advances
allowed for the development of data exchange systems that could keep up with the
pace of the distribution systems. This involves transferring, analyzing, and making
actionable huge volumes of data at a rapid pace. Finally, lean production was
coupled with an increase in e-commerce. E-commerce also experienced a huge
explosion during the pandemic, which exposed both its strengths and weaknesses.
Anthony Giddens, one of Europe’s most heralded public intellectuals, proposed
the concept of space-time distantiation in his 1990 book, The Consequences of
Modernity. In it, he lists a number of modern circumstances that, he argues, have led
1188 J. Bernstein
to a fundamentally shared yet vague sense of risk. This is because modern life, in the
context of an increasingly globalized capitalist economy, involves engaging with a
far-flung system with complex and opaque internal functioning. Networks must be
trusted to engage successfully with society, and yet, argues Giddens, this leaves
citizens with a vague sense of dis-ease. This means that in terms of consumer
perception, individuals are already primed to be skeptical as to the stability of supply
chains.
On March 23, 2021, in the midst of the pandemic lockdown, a cargo ship called
the Ever Given got stuck in the Suez Canal (Yee and Glanz 2021). Carrying 20,000
20-foot shipping containers, high winds wedged the 1300-foot ship diagonally,
blocking ship traffic in both directions. It was freed on March 29, after massive
media attention. While the incident was newsworthy in its own right, there is also
reason to ask why it gained so much attention at that particular point in time. It
became an internet meme, and there were a number of iterations that epitomized a
single narrative, namely, the massive scale of the ship contrasted with the efforts of
heavy machinery that by comparison looked like tiny Tonka Trucks. Comedy writer
Mollie Goodfellow tweeted regularly about the situation, stating, “There is just
something inherently funny about a boat getting stuck in one of the world’s biggest
shipping canals” (Goodfellow 2021). Another twitter user posted, “I love that the
boat is stuck because every other piece of global news is so hard to comprehend or
explain. The boat? It’s just stuck. Stuff won’t go. Boat needs to be not stuck. That’s
it” (Coutinho 2021). But I wouldn’t discount this cultural moment as pure escapism.
Consumers were continuing to confront piecemeal product displays in an epidemi-
ologically terrifying retail environmental. If we follow Giddens, “The “Suez Canal is
me“ memes used across the internet represented the rollercoaster of the past year was
represented by the Ever Given” (Bergman 2021).
If we think about the Ever Given in the context of Giddens’ idea of space-time
distantiation, the take-away is slightly more sinister. The Ever Given symbolized that
despite just-in-time production and improved commodity chain management, at the
end of the day our global commodity networks were disrupted by something so
simple, highlighting their fragility. It’s worth considering and further researching the
degree to which this incident, as well as others, shook the fundamental distrust in
commodity chains, both ethical and beyond, and how this may facilitate and stymie
the goals of SDG12.
More from Less
A number of concepts are worth discussing, not necessarily related to consumption

during the pandemic, but that may give us hope for the future. Buckminster Fuller
coined the concept of dematerialization, namely, that less physical input, with
thoughtful design, could create the same deliverable for the consumer. His geodesic
domes exemplified attempts at using technology and engineering principles to
reduce inputs and resource use, thus a healthier planet (Buckminster Fuller Institute,
n.d.). McAfee (2019) details not just the possibility but the manifestation of a
process in which human prosperity has risen while reducing environmental impact.
The degrowth movement, largely wedded to ideas of planetary boundaries with a
robust awareness of the political economy underlying these efforts, would disagree
(Kallis 2011; Remblance 2022). This is highly related to the idea of decoupling,
brought into public examination via organizations like The Breakthrough Institute
(Asafu-Adjaye et al. 2014; Hausfather 2021), which argues that poverty reduction
and increases in GDP need not necessarily drive CO2 production. States, Hausfather;
In recent years we have seen more and more examples of absolute decoupling — economic
growth accompanied by falling CO2 emissions. Since 2005, 32 countries with a population
of at least one million people have absolutely decoupled emissions from economic growth,
both for terrestrial emissions (those within national borders) and consumption emissions
(emissions embodied in the goods consumed in a country).
This gives us reason to think that the assumptions embedded in SDG12 may be
more complicated, and perhaps worth more optimism, than the doomsday scenarios
currently being entertained.
Conclusion
There have been achievements made toward achieving ethical commodity chains;
we still have a long way to go to meet SDG12’s 2030 goals (Bernstein and Vos
2022). The targets and indicators must be strengthened. Few of targets and indicators
had sufficient data to provide comprehensive monitoring and analysis. Also, a great
deal of the world is not, nor should they be, concerned with green or ethical
consumption a priori, but to the degree to which it achieves their economic, health,
and community goals. While some production sectors seem to be able to effectively
make more with less, such as in agricultural intensification and genetic modification,
others will have a much harder time doing so. Further, the very neoliberal structure
of SDG12 both enables and limits the range of solutions at hand.
Society increasingly coming to live with Covid. Vaccinations are available to the
vast majority of Americans, eschewed for reasons too complex to be discussed here.
As knowledge about the pandemic has grown, mortality has decreased immensely.
Schools and restaurants have reopened. For the vulnerable and immunocompro-
mised, Covid remains quite a grave threat. But consumers have gone back to many
of their old habits. So what lessons can we take away when we think about ethical
and sustainably production and consumption when faced with uncertainty?
At core, the pandemic shook the taken-for-granted trust of many Americans in the
ability of global commodity chains to deliver goods rapidly and efficiently and
showed the fundamental risks of just-in-time production. In response, many con-
sumers heralded the power of local production and consumption, and there is
certainly nothing wrong about supporting local businesses. But it is impossible to
extricate ourselves from the complex global commodity chains in which we are
embedded. We can buy local produce, but a local iPhone? Local toilet paper? To
1190 J. Bernstein
selectively buy local and take refuge in the illusion of a local panacea blinds
ourselves to the responsibilities we have to actors along the commodity chains that
constitute the vast majority of our consumer purchases.
While the Covid pandemic may increasingly feel like a phenomenon of the past,
the type of global instability it generated is not. Climate change will increasingly
disrupt our supply chains and wreak havoc on what are now understood to be
sophisticated yet fragile networks. The types of psychological research conducted
during the Covid pandemic will likely help producers and consumers better prepare
for and react to disruptions and uncertainty in the future.
With respect to achieving the goals of SDG12, the tragedy of the Covid-19
pandemic has provided some insight into the way in which commodity chain
disruptions impacts consumer behavior and trust. Purchasing ethically or environ-
mentally sound commodities as a point of social signification, during social isolation
and in the midst of bare store shelves, was turned completely on its head. Due to
factors like climate change, in the future, there will be a rise in commodity chain
disruptions, despite their increasing robustness and efficiency, and that will affect
how consumers determine what are ethical decisions. This means that it is even more
important that the UN establish and enforce more rigorous criteria with respect to
data acquisition and analysis to determine the degree to which the laudable goals of
SDG12 are being met.
Endnotes
State Bernstein and Vos (2021), “The term neoliberalism is laden with rhetorical
baggage and fundamentally difficult to define. The prefix ‘neo’ means that it is a new
form of liberalism, with liberalism at the root. The term liberalism is from the Latin
word liber, which means ‘free.’”
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Part IV
Linking Theory and Practice
Adaptation to Climate Change
in a Metropolitan Region of Global South:
2nd Pluriannual Plan of the Grande ABC
Paulista
Gabriel Pires de Araújo and Beatriz Duarte Dunder
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1198
Climate Emergency in Cities: Negative Impacts and Adaptation in Regional Urban
Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1201
SDG 13 and the Importance of Participatory Public Policies to Face Climate Change . . . . . . 1204
Grande ABC Paulista Region: Characteristics of a Latin American Region from
Global South . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1206
Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1210
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1213
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1214
Abstract
This chapter aims to verify how issues related to adaptation to climate change are
inserted in the scope of the 2nd Pluriannual Plan for the Grande ABC Paulista
Region, corresponding to the period 2019–2021, to understand how this planning
instrument at a regional level may contribute to adapting to the effects of climate
change, as recommended by Sustainable Development Goal 13. The Grande
ABC Paulista Region is located in the metropolitan region of São Paulo, and its
main characteristics are the strong presence of the industrial sector, a factor that
shaped how the municipalities that are part of the region are organized, which
share common socio-environmental problems and a political engagement on the
part of organized civil society, which is also expressed in the scope of the ABC
inter-municipal consortium, the entity responsible for the elaboration and coor-
dinated implementation of public policies for the region. The methodology used
to achieve the objective was content analysis (BARDIN, Análise de conteúdo.
Editora Edições, Lisboa, 1977) applied to the Pluriannual Plan, so that the
G. Pires de Araújo (*) · B. D. Dunder

University of São Paulo, Mauá, São Paulo, Brazil
e-mail: gabriel.pires.araujo@usp.br

https://doi.org/10.1007/978-3-031-16017-2_41
1198 G. Pires de Araújo and B. D. Dunder
maximum amount of information relevant to the objective of the study was

obtained from the document. As a result, the analysis revealed that the plan has
actions within the scope of the challenges identified by the working groups that
may contribute to the adaptation to the negative effects of climate change, with
emphasis on those related to the theme of urban drainage, management of risks,
housing, environment, and urban planning. It is also noted that the popular
participation shown in the annex of the plan may have contributed to the inclusion
of issues related to adaptation to climate change, mainly in the scope of the risk
management working group, demonstrating the importance of stimulating social
mobilization and civil society participation in public planning.
Keywords
Climate change · Adaptation · Urban adaptation · Regional public policies ·
Popular participation
Introduction
Brazil is experiencing a concerning scenario of setbacks involving socio-

environmental policy, sustainable development policy, and climate policy (Araújo
and Almeida 2017; Adams et al. 2020; Franchini et al. 2020; Layrargues 2020). In
the current far-right administration of President Jair Bolsonaro, the country is one of
the few whose leaders can be defined as climate deniers, who treat the issue of
climate change as a nonissue, defined as a result of a globalist conspiracy aimed at
threatening national sovereignty. This denial of the climate can be seen as the
culmination of a change in posture regarding the confrontation of climate change,
which has historically gone through advances and setbacks in several federal
governments in the last decade, whether due to economic expansion or retraction
contexts or due to ideological conceptions on how the socio-environmental issue and
society’s participation in the construction of common agendas are viewed (Franchini
et al. 2020).
This notorious setback is present in the country more constantly in recent years,
where the control mechanisms of predatory actions against the environment were
weakened (Beckers et al. 2019), which directly impacted Brazil’s commitment to the
Sustainable Development Goals (SDGs), including SDG 13, which concerns taking
urgent measures to combat climate change and its impacts.
Brazil’s weakening in the achievement of the SDGs began under the administra-
tion of Michel Temer, when a weakening of the country’s sustainable development
policy happened (Silva 2021). On the initiative of the national congress, strong
setbacks in socio-environmental policy are also seen, which goes against what is
recommended by the SDGs, such as the dismantling of environmental licensing
(Araújo and Almeida 2017); there is present also an advance of environmental
crimes stimulated by the speech of the current president Bolsonaro, in addition to
the already mentioned worrying presence of climate deniers in the country’s
Adaptation to Climate Change in a Metropolitan Region of Global South:. . . 1199
leadership (Franchini et al. 2020). This set of actions contrasts with Brazil’s history
in the socio-environmental debate and is the result of a change in the political agenda
and priorities.
This change in the political agenda coincides with the advance of the hegemony
of neoliberal thinking in the country’s government management under Michel
Temer, an agenda that continued in the far-right government of Jair Bolsonaro,
which presupposes a reduction in the role of the state linked to the search for a
constant reduction in public spending. With regard to adaptation to climate change,
neoliberal thinking also acts from the perspective of reducing the role of the state and
against the adoption of measures designed for the community and for the common
good. For neoliberal thinking, adaptation to climate change will occur when indi-
viduals are economically able to adapt on their own to extreme events related to the
climate change (Whitehead 2014), which is in itself a dangerous thought when
considering that economic growth takes place generally on a socio-environmental
unsustainable way (Araújo et al. 2021).
In response to this conception that proposes the reduction of the state’s role in
confronting socio-environmental problems, it is understood in this text that social
participation has a crucial role in public policies that directly or indirectly address the
issue of adaptation to climate change are effective. For this, the concept of climate
justice as a guide is important because by stimulating social participation climate
justice allows bringing to the center of the debate the demands of the most vulnerable
populations and the demands of the social movements that represent those most
affected by the climate crisis, ensuring the materialization of justice in the territory
and consequently a participatory transformation (Torres et al. 2021).
The concept of climate justice also deals with the relationship between countries,
with the value of justice being inserted in the conceptualization of the principle of
common but differentiated responsibilities, which guides decisions taken in global
conventions (Lindoso and Maria 2013; Moreira and Ribeiro 2017). It is therefore a
debate that recognizes the inequality in the relations between the countries of the
North and the Global South with regard to the issue of climate change (Martinez-
Alier et al. 2018), which involves Latin America and the history of colonial
exploitation (Alimonda 2015).
Considering the context of environmental and climatic setbacks of the Brazilian
national government, the role of climate justice as a counterpoint to the context in
which these setbacks occur and the growing importance of cities and local govern-
ments for the undertaking of measures to combat climate change (Wilson 2006;
Storbjörk 2007; Martins and Ferreira 2010a, b), this chapter aims to verify how
issues related to adaptation to climate change fit within the scope of the 2nd
Pluriannual Plan of Grande ABC Paulista, corresponding to the period 2019–2021,
to understand how this planning instrument at the regional level can contribute to the
adaptation to the effects of climate change, as recommended by SDG 13. For that,
the content analysis methodology (Bardin 1977) was used in the plan to obtain the
relevant information about the studied subject. The content analysis methodology
consists of a set of operations that aim to organize the information present in the
analyzed document (Bardin 1977), and the content analysis carried out in this study
starts from reading the 2nd Pluriannual Plan, which has 42 pages. The reading
focused on the challenges, programs, and actions presented in the plan and was an
effort to analyze them having as essence what SDG 13 brings in its formulation.
As a focus, we opted for the specific analysis of actions related to extreme
hydrometeorological events; as it is recognized that the negative effects of climate
change will be complex and diversified (Neto 2010), it is important that academic
reflection on the topic defines which will be addressed in each research work in order
to contribute both to the effectiveness of the response to the problem and to the
academic reflection carried out in the scope of the science of climate change.
Extreme hydrometeorological events are those related to extremes of precipita-
tion, which can trigger disasters such as landslides, floods, soil collapse, and
droughts (Landa et al. 2008; Nunes 2009; Flores and Gaudiano 2014; Londe et al.
2014). Around 85% of disasters in Brazil are related to this typology of event, which
is the cause of more than 10,000 deaths in the last five decades. More specifically in
the state of São Paulo, where the region studied in this chapter is located, there is an
already modeled trend of an increase in the occurrence of this type of event in terms
of its intensity and frequency due to climate change, mainly affecting the poorest
populations, which consequently demands an urban planning that takes into account
this reality, Understanding that social vulnerability in its various facets directly
affects vulnerability to the negative effects of climate change (Travassos et al. 2021).
Negative effects of climate change will also be expressed on a regional scale,
including specifically the region of Grande ABC Paulista, demanding the develop-
ment of adaptive responses that prepare the region for the scenario that arises (Araújo
et al. 2018). Thus, there is a context in which regional development (Etges and
Degrandi 2013; Pike et al. 2011) must consider the climate emergency scenario and
the socio-environmental problems associated with it, with a view to building sus-
tainable development for metropolitan regions around the world.
Thus, a relation can be seen between the adoption of adaptive measures to
respond to socio-environmental problems associated with climate change and the
construction of urban sustainability on a regional scale through urban planning. For
this, the concept of regional development, which encompasses issues of a social,
economic, and environmental nature in a panorama of policies and dynamics related
to a set of cities with similarities between them (Teixeira et al. 2020), linked to the
adoption of sustainability strategies to achieve this development in subnational
territory plays a central role (Franchi-Arzola et al. 2018).
This importance is expressed both in the conception that the regional scale can be
seen as a locality (Martins et al. 2010) and therefore is a scale that must be
considered when facing local problems, as well as in the fact that the region as a
locality is where actions should be taken to materialize the global sustainability
agenda, expressed in the 2030 Agenda (Bursztyn and Bursztyn 2012; ONUBR
2015), with emphasis on regions made up of large cities, which have the potential
to lead a path where urban agglomerations are socially, economically, and environ-
mentally sustainable (Ramires and Mello-Théry 2018).
The adherence to the 2030 Agenda and its concept of sustainable development
with public policies for regional development was mapped to the specific case of the
Greater ABC Paulista Region, where there was a high correspondence between the
actions contained in the 1st Pluriannual Plan of the Greater ABC and the SDGs,
indicating the capacity of regional policies to contribute to the achievement of global
goals such as those included in the 2030 Agenda (Dunder and Araújo 2021), a
concept that guides the reflection carried out in this chapter.
The first part of this chapter seeks to address the issue of climate emergency in the
cities, considering the negative impacts and the importance of adaptation in the
regional urban environment, since both the impacts and the response to them through
adaptation, in general, transcend the scale of the municipalities.
The second part deals with the SDGs, addressing the historical construction that
gave rise to the SDGs and, more specifically, to SDG 13, analyzing its connection
with urban planning through participatory public policies to face climate change,
since there is an understanding that SDG 13 is essential for sustainable development
and that the achievement of this SDG will only be effective if contains social
participation motivated by the undertaking of climate justice in the territory that
takes into account the specificities of each location.
With this understanding, the third part presents the region Grande ABC Paulista, a
Latin American region from the Global South with important historical characteris-
tics for thinking about the materialization of innovative participatory public policies
that start from a regional scale, what is stimulated by the history of struggles in the
region and by the presence of its inter-municipal consortium.
Subsequently, the results of the analysis of the 2nd Pluriannual Plan of the Grande
ABC and the presence of the theme of adaptation to the negative effects of climate
change are presented, considering the actions present in the plan that must be carried
out within the scope of the challenges addressed in the Thematic Working Groups,
separated by axes.
Climate Emergency in Cities: Negative Impacts and Adaptation

in Regional Urban Environment
The risks related to the negative effects of climate change on ecosystems and human
societies, whose impacts tend to be greater than what science had initially predicted,
linked to the perception that the mitigation actions defined in large global confer-
ences, such as the one that led to the signing of the Paris agreement in 2015, are
unable to prevent a temperature increase above the 2 C agreed upon and led more
than 11,000 scientists from 153 countries to declare a climate state of emergency
(Anderson 2015; Victor et al. 2017; Ripple et al. 2020).
Climate emergency, together with the health crisis and biodiversity crisis, is the
reality of the current Anthropocene era (Artaxo 2020). In this era, insufficient
mitigation measures will not be unable to prevent the crossing of planetary limits,
directing the planet to a path of no return. In this way, climate feedback mechanisms
(positive feedback) can make the planet uninhabitable for the vast majority of human
societies (Rockström et al. 2009; Steffen et al. 2015; Victor et al. 2017; Steffen et al.
2018, 2020). Faced with this, the era of moderate and gradualist measures detached
from the quotidian crisis of capitalism to face the climate crisis is insufficient, as well
as adaptation gains more relevance (Aronoff et al. 2020).
Urban areas, due to their common characteristics of high population density and
their associated ways of life, are responsible for a large part of the emission of
greenhouse gases that aggravate climate change. In addition, they are more likely to
face the impacts associated with the phenomenon (Barbi 2015). Climate change is
expected to have severe effects on water supply, sanitation, energy, and transporta-
tion systems. In addition, there is a tendency for damage and death to occur
especially in the most vulnerable social groups, who tend to suffer more from the
problems in the aforementioned systems, as well as being the main victims of
disasters related to extreme hydrometeorological events such as landslides and
flooding, which are aggravated by climate variability (Martins and Ferreira 2010a,
2012; Vargas 2013; Barbi 2015; Travassos et al. 2021).
These characteristics are more serious in Brazil, whose urbanization took place
mainly from the 1930s onward, where the country changed from predominantly
agricultural to a country with large and complex urban agglomerations (Santos
2005). Due to this, urbanization occurred in an accelerated and disorganized way,
reproducing relationships of inequalities and injustices (Deák 2004; Santos 2005),
increasing the serious effects of climate change and making it more complex today,
especially when considering the need for adaptation to climate change that promotes
justice in the territory (Araújo et al. 2021).
It is noteworthy that the effects and impacts of climate change translate into social
and environmental problems that generally transcend the boundaries of municipal-
ities (Nogueira et al. 2014; Coutinho et al. 2021). Because of this dynamic, the
problems are heightened on the scale of the metropolitan region (Grostein 2001),
which may result in municipalities having to bear costs that go beyond what they
would have had if they had not been inserted in a region. This dynamic is known as
the “mal público metropolitano,” defined as “(. . .) compulsory costs consumed by a
municipality due to its socio-spatial integration to a metropolitan region. Such costs
can be sanitary, housing, or related to the execution of the most diverse public
policies” (Lacerda 2011, p. 156).
Considering the sharing of socio-environmental problems and their costs, the
history of formation and conurbation, and the identity of belonging among citizens,
the scale of a region can be understood as a locality (Martins et al. 2010). This
understanding must be applied even to joint action in tackling shared problems since
issues that go beyond the political-administrative limits of municipalities can only be
faced through integrated public management that is aware that cooperation at the
inter-municipal level should be a way to build solutions and overcome obstacles
(Grostein 2001; Lacerda 2011; Clementino and Almeida 2015).
Nogueira et al. (2014) consider that the regional organization for risk manage-
ment should be encouraged since it has the capacity to allow the advancement of less
structured municipalities through articulation with the municipalities most capable
and equipped in the region, enabling the implementation of legislation and goals
defined for disaster risk management; allow the optimization of all material, techni-
cal, human, and logistical resources available in the region, without it being
necessary for all municipalities to acquire or incorporate them into the local struc-
ture; and enable the monitoring and treatment of physical processes on a regional
scale (Nogueira et al. 2014, p. 188). With this contribution, it is possible to
understand that facing strategies, such as managing risks related to climate change,
are more effective when taken from a regional perspective as it encourages adapta-
tion to climate change as a joint response to be carried out in cities through public
policies (Campos et al. 2015).
Linked to this, the regional organization and elaboration of policies for develop-
ment on this scale also have the capacity not only to face socio-environmental risks,
but also to direct a region toward sustainable development as stipulated by the 2030
Agenda (Teixeira et al. 2020; Dunder and Araújo 2021). Research carried out by
Teixeira (2020) shows, for example, that the states of Bahia, Ceara, Pernambuco, and
Rio Grande do Norte, the most important states in the context of the northeast region
of Brazil, seek to provide answers on a regional scale to the effects of climate change
and in favor of sustainable development in the region, indicating that this is not a
theme specific to the Greater ABC Region, even though it is an important region to
be studied considering its inherent characteristics, with the consequent capacity to
contribute to the construction of responses in other regions.
In this sense, adaptation can be defined as the adjustment of a system to moderate
the impacts of a phenomenon, such as those related to climate change (Adger et al.
2003). Although the aspect of adaptation has historically been relegated both in
academic reflections and in public management, who in general give greater impor-
tance to the aspect of mitigation, the climate emergency scenario has increasingly
consolidated adaptation as a fundamental strategy for dealing with climate change
(Smit and Wandel 2006; Martins and Ferreira 2010a, b; Rodrigues Filho et al. 2016;
Nalau and Verrall 2021). It should also be noted that this importance is consistently
present in SDG 13 (Jacobi and Souza Junior; Aparecido Gonçalves 2019).
Adaptation to climate change, particularly with regard to increasing the frequency
and intensity of extreme hydrometeorological events, involves medium- and long-
term infrastructure measures that must be taken by localities in a continuous way.
Despite this, the performance of local actors, in general, is incipient (Barbi 2014),
being most of the strategies to respond to threats related to climate change generally
result from reactive public policies that are insufficient to face the serious problem
that arises, which must be faced through the implementation of public management
policies that act in an integrated way (Iwama et al. 2014). This is a reality seen
mainly in the countries of the Global South, where public managers justify that there
are competing priorities that demand more attention than climate change and their
effects (Jacobi and Souza Junior; Aparecido Gonçalves 2019).
Linked to these difficulties, some barriers make it difficult to undertake adaptive
measures in localities, especially in the Global South, such as those related to the
constant lack of provision of public services; the lack of financial and human
resources; the high level of uncertainty in the extent and magnitude of climate
change impacts at the local level; and the prioritization of short-term actions to the
detriment of structural measures necessary for adaptation (Martins and Ferreira
2010a). In this sense, Coutinho et al. (2021) argue that municipalities are the weakest
federative organization, which makes it difficult to implement and carry out disaster
risk management, justifying the need for joint action at the regional level.
Public policies that materialize at the scale of the region through a perspective of
participatory governance play a fundamental role in undertaking actions to adapt to
the negative effects of climate change that are guided toward the construction of an
effectively just adaptation, which must consider asymmetries for a more sustainable
society, as advocated by the 2030 Agenda. Based on this assumption, the next
section will more specifically address SDG 13 in the scope of the historical con-
struction of the 2030 Agenda, as well as the importance of public policies for its
reach.
SDG 13 and the Importance of Participatory Public Policies

to Face Climate Change
Debates held since the 1960s, such as those held within the Club of Rome and the
United Nations Conference on Human Development and Environment in Stock-
holm, brought the socio-environmental theme as a relevant challenge that demands
global collective efforts (Dunder and Araújo 2021).
The aforementioned socio-environmental crisis was manifested through a com-
plex relationship between its various problems, this complexity being the object of
an important study by the Massachusetts Institute of Technology (MIT), which
developed a computational model to understand this complexity, whose results
were part of the classic publication “Limits to growth,” debated at the Stockholm
conference (Corazza 2005).
After the Stockholm conference, there was also a global effort toward the
qualification of development seeking to establish differences between the practices
of economic growth associated with environmental degradation and practices in
favor of another type of development, which recognizes the finiteness of natural
resources and the effects of human actions on the environment (Játoba et al. 2009).
The evolution of this debate led to the conceptualization of the idea of sustainable
development in 1987, seen as the one capable of ensuring that “(. . .) that it meets the
needs of the present without compromising the ability of future generations to meet
their own needs” (World Commission On Environment And Development 1987,
p. 16).
The idea of sustainable development started to be consolidated from the World
Conference on the Environment and Development, held in Rio de Janeiro in 1992
(Rio 92), which aimed to develop strategies and measures that would allow the
necessary environmental protection while inclusive economic development is
encouraged (Bursztyn and Bursztyn 2012; Veiga 2010).
After Rio 92, several meetings were held to build and apply the idea of sustain-
able development on a global scale based on concrete actions in the countries. At the
same time, science has evolved to allow for a deeper understanding of
socio-environmental issues that plague societies. From that emerged the meetings
known as “Rio +” (Rio þ 5 in 1997 in New York City; Rio þ 10 in 2002 in
Johannesburg; and Rio þ 20 in Rio de Janeiro in 2012, where the important text
called “the future we want” was discussed) that allowed, in 2015, the construction of
the Sustainable Development Goals – the SDG presented at the United Nations
(Dunder and Araújo 2021).
The SDGs can be considered as an improved and expanded version of the
Millennium Development Goals (MDG) predecessors, an improvement that seeks
“(. . .) correct past mistakes, incorporate present needs, and reinforce the meaning of
historical decisions about the future” (Okado and Quinelli 2016, p. 122). Thus, there
is the peak of the legitimacy of sustainability, which comes to be understood as a
value to guide the development of human societies (Veiga 2017).
Among the SDGs, SDG 13 stands out in the scope of this chapter, which deals
with taking urgent measures to combat climate change and its impacts. According to
Marques (2019, p.15), the impacts of climate change tend to be so overwhelming
that “(. . .) none of the other Sustainable Development Goals (SDGs) can be achieved
if SDG 13 is not.” Thus, the construction of sustainable development necessarily
involves adaptation to climate change (Teixeira et al. 2020), which in the context of
Brazilian cities should primarily address aspects related to urban sustainability and
climate justice (Di Giulio et al. 2019; Araújo et al. 2021).
It is important that SDG 13 be taken as a guiding guide for the formulation of
public policies, plans, and projects that relate to key issues for cities (such as water,
infrastructure, energy) since it is an SDG that has at its core the issue of climate
variability (Torres et al. 2020a), whose reach also permeates urban planning associ-
ated with confronting climate change (Teixeira et al. 2020). Furthermore, it is
necessary to consider that many of these issues – as well as adaptation to climate
change – must be addressed, as discussed in the previous section, from a regional
perspective.
Considering the Brazilian scenario, the challenges related to the effectuation of an
urban capacity to respond to climate change that is aligned with the 2030 Agenda
and its SDGs permeate a more assertive commitment of all sectors of society directly
or indirectly responsible for this urban capacity since there are historically social
asymmetries built that are still strongly present and have the ability to aggravate the
problem. In addition, there is a history of neglect of environmental issues within the
government agendas of Brazilian municipalities (Teixeira et al. 2020), which, linked
to the aforementioned context of the setback in environmental legislation, makes
local urban planning associated with the SDGs urgent.
Another relevant issue in the formulation and implementation of public policies
related to climate change concerns the importance of popular participation in the
urban governance of climate change, which must take place through decision-
making that involves a wide range of actors (Bulkeley et al. 2014; Jacobi and
Souza Junior; Aparecido Gonçalves 2019).
Popular social participation from the perspective of risk management, including
that of climate change, must be open to a democratic dialogue capable of involving
mainly the people who will be affected by the decisions taken, giving greater
attention to the populations that will be most affected by disasters. This participation
must also involve the constant search for a better quality of life, which leads to the
need for consideration, understanding, and risk reduction, and not simply preparing
for a disaster considered inevitable (Coutinho et al. 2021).
In addition to the fact that popular participation is a crucial point for a more
democratic and consequently more effective policy to confront climate change,
participation of society in the elaboration and implementation of policies related to
the theme have the ability to contribute to an adaptation that strongly considers the
needs of the most vulnerable populations, stimulating a bottom-up process that
highlights the demands of communities, and directing adaptation toward the mate-
rialization of the precepts of climate justice (Torres et al. 2021), something still rare
in the public policies for adaptation to climate change in Brazil (Torres et al. 2020b).
With the above, it is possible to see that SDG 13 is the result of a historical
construction resulting from a growing understanding of the socio-environmental
problems that gave rise to the notion of sustainable development, as well as the
centrality of the gravity of the phenomenon of climate change. SDG 13 has a central
role in achieving all the SDGs involved in the 2030 Agenda. The effective materi-
alization of this objective will only be achieved if it starts from important concepts
such as those linked to popular participation in confronting the effects of climate
change and construction of an adaptation to climate change that has society’s
demands at its core, with special attention to the most affected populations, whether
due to the effects of climate change or through intervention measures resulting from
urban planning that aims at adaptation and urban sustainability. For this, it is
necessary to understand the sociohistorical characteristics of the locations where
the interventions take place.
With that, the next section presents the locality of the Grande ABC Paulista
region, considering its urban planning to fight climate change through its 2nd
Pluriannual Plan.
Grande ABC Paulista Region: Characteristics of a Latin American

Region from Global South
The Grande ABC Paulista Region is part of the metropolitan region of São Paulo,
which is part of the São Paulo State. More than 2.7 million (IBGE 2015) people live
in the region in a territorial area of 828 km2 (IBGE 2015). The region is formed by
seven municipalities: Diadema, Santo André, São Bernardo do Campo, São Caetano
do Sul, Mauá, Ribeirão Pires, and Rio Grande da Serra. The region is especially
interconnected in a way that is difficult to define its terrestrial divisions. Besides, the
municipalities share important characteristic and a similar historic background, and
have a sense of belonging by most of the population, which is related mostly to the
social movement background of the region (Consórcio Intermunicipal Grande ABC
2017).
The occupation of the region of Grande ABC Paulista had as its main vector the
construction of the Santos-Jundiaí railroad, in 1867. From that point onward, the first
occupations began to develop along the railroad, which in 1889 became part of the
then Municipality of Santo André, which at the time encompassed the entirety of the
Grande ABC Paulista region (Prefeitura Santo André 2017).
Due to the region’s proximity to the capital of São Paulo, as well as the presence
of the railway that offers easy access to the port of Santos (important production flow
in the state of São Paulo), the region started to have a large number of industries.
According to Langenbuch (1971, p.148), between 1914 and 1940 the region became
a “true suburban industrial zone.” Later, the construction of the Henry Borden, an
important electricity production plant, and the Via Anchieta roadway, another option
to offer easy access to the port of Santos, consolidated the region as a strong
industrial zone (Langenbuch 1971; Ferreira 2005).
In the 1950s, this industrial characteristic was reinforced once again through
financial investments from the Brazilian government and foreign capital. With that,
the region started to have a great industry, mainly in the metallurgical and automo-
bile sectors. Until the 1970s, the region went through a process of expansion and
consolidation of the industrial sector, bringing great economic development to the
region and a large population increase. The chemical industry also developed in the
region with the arrival of the Oil Refinery and Exploration União S/A, which became
an attractive hub for chemical industries, which came to occupy Santo André and
Mauá (Ancassuerd 2009).
This industry domain, however, does not occur homogeneously in the ABC
region. The largest cities (Santo André, São Bernardo do Campo e São Caetano do
Sul) had large industries, mainly automobiles, while the medium cities (Mauá and
Diadema) had smaller industries that acted in the production of inputs for auto-
makers, and smaller cities (Ribeirão Pires and Rio Grande da Serra) began to have
the dynamics of dormitory cities, where workers from the most industrialized
municipalities in the region sought housing due to the lower cost, creating an intense
movement of people between the cities of the region (Ancassuerd 2009).
It is important to point out that this domain by the industry sector has important
implications for the environmental problems faced by the region, because the
pollution resulting from industrial production is one of the main reasons for the
decrease in environmental quality (Fernandes 2006); furthermore, the occupation
driven by the industrialization of the region caused the occupation of inappropriate
areas by the poorest, who were looking for better job opportunities, exposing part of
the population to risks like floods and landslide (Cardoso 2001). It is estimated that
around 153,690 households in the region are in a situation of qualitative deficit
(Consórcio Intermunicipal Do Abc 2016b; UFABC 2016).
From 1980 onward, a period of recession began across the country. This recession
was the result of the economic policy adopted by Brazil throughout the 1970s, which
resulted in a foreign indebtedness that materialized in 1983 as “the worst economic
crisis in your republican history” (Pires 2010, p. 219–239). Control of this crisis was
sought through the sacrifice of the population, where the government’s economic
packages resulted in unemployment and misery. In the Grande ABC Paulista
Region, the social effects due to the high number of layoffs were much more
significant than the economic effects within companies, which continued to generate
wealth even with less labor employed (Anau 2002), indicating the inability of
industrial activity in the region to generate a high amount of jobs, especially quality
jobs (Matteo and Tapia 2002).
At that time one of the most recognized characteristics of the region became more
significant: the organized movement of the working class, mainly known by the
figure of the “Sindicato dos Metalurgicos” or Metallurgic Syndicate. They played a
significant role in the social articulation against the political and economic power,
organizing strikes and protests with the aim overcome the social crisis caused by the
mass layoff and the political repression. The history of the region’s industrialization
is also the history of the working-class movement from ABC Paulista and from
many other movements, which over time began to characterize the region as a
symbol of the fight for rights, even in periods of dictatorship governments and
severely repressive, becoming an important reference in the country (Ancassuerd
2009).
In this context of economic and, above all, social crisis combined with a strong
and organized society, the ABC Regional Chamber emerged. Created with the main
objective of overcoming the crisis, it was a space for articulation between the state
and municipal government, in addition to organized civil society (Bresciani 2015).
Later, this chamber would become the Intermunicipal Consortium of Grande ABC
Paulista, which started operating in the region from 1990 onward as a civil associ-
ation under private law (Consórcio Intermunicipal Grande ABC 2017a).
The constitution of the consortium is based on the concept of concentrating the
power of municipalities at the regional level so that they have the capacity to interact
with the other federative spheres, and also with the private sector, as well as create a
coalition between the municipalities of the region so that they can develop and
implement plans and policies at the regional level (Daniel 1996). According to
Bresciani (2015), the constitution of the consortium can also go beyond a form of
a coalition of the political force of the municipalities, being also a way to solidify the
regional territory and the public policies that cover this scale (Bresciani 2015).
Since 2010, with changes in federal legislation on entities of this nature, the
consortium started to act as a Public Consortium, thus having the legitimacy to plan
and execute public policies at the regional level (Consórcio Intermunicipal Grande
ABC 2017b). The work of the consortium allowed the municipalities to establish
partnerships with the state and federal governments, which unfolded into several
programs for the region, ranging from infrastructure works, such as Macrodrainage
projects, even reaching the implementation of policies in the area of education, with
the implementation of the Federal University of ABC, in addition to State Faculties
of Technology (Consórcio Intermunicipal Grande ABC 2016a).
The constitution of an inter-municipal consortium to jointly respond to shared
problems and issues directed at regional public management also stems from an
important identity of the citizens as in fact belonging to a region. This is seen in the
history of the region, with an emphasis on the already mentioned strikes by ABC
metalworkers in the late 1970s and early 1980s (Ancassuerd 2009), who played an
important role in the fight against the Brazilian military dictatorship, in the conse-
quent process of re-democratization. This history of struggle and resistance seen in
the Grande ABC Paulista region is seen throughout Latin America, where there are
experiences of confronting socio-environmental problems through public policies

motivated by the action of social movements, which presses for a forceful action that
considers the relations of inequality (Leff 2015; Alier 2015; Alimonda 2015).
The successful experience of cooperation between the municipalities of the
Grande ABC Paulista allows the visualization of a win-win situation between the
different municipalities of the region, where the most institutionally and financially
structured win because they have a greater chance of solving problems that affect
them and that go beyond the borders of their municipalities (with negative effects on
them), and the less structured also, because acting together they have more capability
to pressure for financial resources from other federative instances. Thus, the Grande
ABC Inter-municipal Consortium can be seen as a model experience capable of
providing important examples for other regions that face similar problems (Nogueira
et al. 2014).
Among the problems similar to mostly urban regions such as the Greater ABC
Paulista, socio-environmentals’ problems stand out, which will increase and become
more complex with climate change. Among these, those related to air and water
pollution, inadequate housing, and susceptible to disasters such as landslides and
floods, among others, stand out (Dunder and Araújo 2021).To face these challenges,
joint action through public policies is essential. The formulation of a pluriannual
plan by a regional entity is an innovation in the public sphere. Designed to be a
strategic planning instrument as it establishes a political commitment that transcends
the presidential mandate (Paulo 2010), the Pluriannual Plan is a part of a law inserted
in Article 165 of the Brazilian Federal Constitution of 1988, which aims, according
to its first paragraph, to establish “in a regionalized manner, the guidelines, objec-
tives, and goals of the federal public administration for capital expenditures and
others resulting from them and for those related to programs of continued duration”
(Brasil 1988).
Therefore, a pluriannual plan has a central role in organizing state action and
presents a binding guiding character since the materialization of the plan only occurs
if it is included in the budget laws (Paulo 2010). Seeking to bring the Logical
Framework principles that govern the pluriannual plan at the federal level for the
regional scale – identification of problems; elaboration of programs; formulation of
objectives and establishment of indicators; definition of actions for action through
the programs in the causes of the problems identified by acting with a target audience
(people, families, or companies), as pointed by Paulo (2010) – the consortium brings
an innovation to the public sector.
Other notorious aspect brought by the elaboration of the pluriannual plan is the
participation of the population. As mentioned before, the region has a history of
important social movements, and it is seen in the impressive participation of the
population in the formulation of the plans since the 1st Pluriannual Plan, which
corresponds to the period 2014–2017.
The 1st Pluriannual Plan had the important consultation of more than 1500
people, who pointed out 165 guidelines that addressed various topics, including
social and environmental issues related to climate change. This consultation later had
the approval of the mayors of the municipalities in the region, which make up the
consortium, and led to the origin of important programs that probably did not exist
without active social participation, which, in the case of a region, must consider the
specific social relations of this scale (Dunder and Araújo 2021).
The 2nd Pluriannual Plan had 200 hours of meetings with 200 government
employees and contributions from civil society through public consultation on the
entity’s website, where the population could point out priorities and suggest
demands, which are fully contained in the plan and influenced the actions present
in the plan.
In this sense, the next section will bring the specific results of the analysis of the
2nd Pluriannual Plan of the Grande ABC Paulista, in order to verify whether the
participatory experience of the inter-municipal consortium in the preparation of a
plan directly linked to the budget was able to address the issues related to adaptation
to extreme hydrometeorological events related to climate change.
Results
The 2nd Pluriannual Plan of the Grande ABC Paulista presents actions that are
inserted in challenges addressed in the scope of Thematic Work Groups, separated
by axes.
The first thematic working group, where the analysis highlighted the important
challenges and actions for adapting to the negative effects of climate change, is the
Urban Drainage Working Group, belonging to the Regional Infrastructure Axis and
whose objective is to consolidate and expand actions to combat floods in the region
through depollution, revitalization, and re-naturalization programs of watercourses
in the region.
Among the challenges, “Challenge 1: Articulation with the State Government”
stands out, whose actions dialogue with the idea of multilevel governance for climate
change, involving sectoral dialogue with the state government to address the issues
related to drainage with a shared calendar, monitoring of a set of large reservoirs to
face floods in conjunction with the state, and charges for containment works
alongside intercity streams.
“Challenge 2: Financial Resources” is important because it addresses, at the
regional level, one of the main obstacles to the undertaking of adaptive measures
at the local scale. Thus, the actions contained in the PPA refer to a joint action
between the municipalities to put pressure on state and federal entities in search of
resources for urban drainage.
“Challenge 3: Updating the Regional Drainage Plan” has as action, in addition to
updating the plan using the professionals of the consortium, raising funds for the
execution of works, constantly updating the regional plan and flood points, and the
charge for the construction of new large reservoirs by the state government as set out
in the Alto Tietê Macro-drainage Master Plan.
Finally, “Challenge 4: Interfaces” and “Challenge 5: Training” focus on the
regional institutional capacity to address the issues related mainly to water reuse,
discussing with experts the legislative adequacy, participation in courses, exchange

of experience between managers, etc.
The Risk Management Working Group, belonging to the Urban Development and
Environmental Management Axis, is the group whose actions are closest to the
theme of adaptation to climate change, aiming to promote the strengthening of civil
defense bodies.
Among the actions, those present in “Challenge 1: Integration and Standardiza-
tion of Actions” stand out, which seeks to integrate the region’s civil defenses
through the exchange of information and partnerships for the prevention and pro-
tection of the population; the creation of a single service and control system through
Emergency Management Center of the Grande ABC region (CGE ABC); articula-
tion to guarantee budget allocation for civil defense actions; and the preparation of
protocols for common care and activities related to risk management actions.
“Challenge 2: Organizing, Structuring and Strengthening Civil Defense Policies”
seeks to propose municipal laws; the promotion of political integration actions for
the allocation of monetary resources to civil defenses; and the development of
indicators for actions.
A direct reference in relation to climate change is present in “Challenge 3: Con-
tinuing Education,“which, in addition to the institution of a qualification program for
civil defense employees, the promotion of continued training for technicians and
managers, and the development of an Education Thematic Group in Risk Manage-
ment, aims to “articulate actions, in conjunction with universities and other partners,
to increase the prevention process, given the need to adapt to the effects of climate
change that will impact the region, especially people who inhabit and travel in risk
areas.”
“Challenge 4: Elaboration/Implementation of the Regional Plan for the Reduction
of Multiple Risks“brings actions such as the sharing of good practices with a view to
regionalizing actions, the preparation of the Regional Plan for the Reduction of
Multiple Risks, as well as the review and update of the Municipal Plans Risk
Reduction.
“Challenge 5: Consolidation of CGE ABC Technical Actions to Effectively Meet
the Demands of Civil Defense” has the important proposition of preparing an
Integrated Environmental Risk Management System for the region as well as the
instrumentalization of civil defenses through meteorological stations.
“Challenge 6: Development of a Culture of Prevention in Communities and
Internal Municipal Structures” stands out in this workgroup, which encompasses
the sharing of material and professional resources through the Regional Mutual
Support Plan, the implementation of a training, qualification, and ongoing training
program, and the promotion and development of civil defense and protection
centers.
Another group with important contributions is the Housing Work Group, of the
Urban Development and Environmental Management Axis, which aims to improve
the housing policy in the region.
“Challenge 1: Urbanization and Regularization of Informal Settlements” is
highlighted for directly affecting populations that tend to be most affected by
extreme events related to climate change, presenting actions to regularize informal

settlements, update the diagnosis of precarious settlements in the Grande ABC
Paulista, unified registry of beneficiaries in municipal and state housing programs,
workshops for housing improvements, etc. There are also actions related to the
containment of invasions and the resumption of removal programs in areas of
imminent risk, which should be viewed with caution as they are coercive measures
that focus on vulnerable populations who generally have no alternative but to occupy
risky areas as habitation.
“Challenge 4: Implement the Social Interest Recovery Program” seeks regional
articulation to review the effectiveness of the program, and the actions of “Challenge
5: Social Interest Housing,” permeate the creation of social lease legislation,
establishing partnerships between municipalities; partnerships between municipali-
ties in relation to beneficiary families of social leases; area diagnosis for the
formation of land bank for Social Interest Housing; forum on Social Interest Housing
Legislation; and elaboration of specific legislation for land regularization in Social
Interest Housing.
The working group named Environment, belonging to the Urban Development
and Environmental Management Axis, seeks the sustainable development of the
region, which includes adaptation to climate change, as seen in the literature review
carried out throughout this chapter. Because of this, it is possible to infer that the
actions present in the challenges related to the environment somehow act in favor of
adaptation.
Despite this fact, the analysis showed that actions that directly contribute to the
adaptation, like those related to urban afforestation that are present in “Challenge
6: Urban Green Areas,” help to combat the heat island phenomenon, and the actions
present in “Challenge 7: Universalization of Sanitary Sewage” seek the realization of
diagnosis and joint action with agencies of the state of São Paulo.
Finally, the last group that brings clear actions that may contribute to adaptation is
the Urban Planning Working Group, also from the Urban Development and Envi-
ronmental Management Axis, which was created, according to the plan, to promote
urban development and housing, develop urban prequalification and actions with
social inclusion, promote the regional articulation of master plans and urban legis-
lation, among other objectives related.
“Challenge 1: Integrated Actions for Common Problems in the Municipalities”
brings important actions to address issues to be shared between municipalities in the
region, such as those related to climate change. Thus, joint meetings between
working groups, the diagnosis of common problems through the inter-municipal
consortium, and the seeking of solutions have an important role in the face of
negative effects of climate change in an emergency context.
“Challenge 2: Integration of Master Plans“is important because it encourages the
development of municipalities to take place in an integrated manner in the region,
allowing the exchange of knowledge expressed in the survey of similar themes.
In this sense, “Challenge 4: Relationship of Master Plans with the Integrated
Urban Master Plan (PDUI)” and “Challenge 5: Articulation with the State Govern-
ment” and their actions to seek dialogue with the metropolitan region of São Paulo
and the state of São Paulo present the opportunity to relate issues related to climate
change that is expressed beyond the region and that may be present in urban
planning, as well as assist in the undertaking of adaptive measures.
Conclusion
The content analysis performed allowed us to verify that the 2nd Pluriannual Plan of
the Grande ABC Paulista addresses prominent issues for adaptation to the negative
effects of climate change from a regional perspective, although they are timid
measures given the gravity of the climate emergency and the need for an adaptation
that radically changes the inequalities inherent of the global capitalist economic
system to which we are subjected.
Among these, there are actions related to the confrontation of extreme hydrome-
teorological events, such as combating floods in the region; joint action through
multilevel governance for urban drainage works; the actions included in the Risk
Management Working Group, which also make direct mention of the need to adapt
to the worsening issue of climate change and the need for coordinated regional action
to do so; the need to expand urbanization and regularize informal settlements
through the construction of social housing, considering that the poorest population
is the most vulnerable to risks related to climate change, including within the scope
of their place of residence; the fight against the heat island phenomenon and the
universalization of sanitary sewage within the scope of the search for sustainable
development in the region; and the need for joint action to address common
problems in municipalities, which includes the integration of urban planning through
Municipal Master Plans and articulation with the state federative instance.
The context of serious setbacks in Brazil’s environmental and climate policy
denotes the importance of initiatives that emerge from their localities, which encom-
pass the scale of metropolitan regions that must propose joint actions to face shared
problems, such as the effects of climate change. In this sense, the contributions
present in the 2nd Regional Pluriannual Plan of the Grande ABC Paulista are
important as they act as an instrument for regional urban planning through public
policies that, as such, must contain actions that contribute to adaptation to climate
change. It is noteworthy that the pluriannual plan is an instrument directly linked to
the budget of municipalities, which supposedly allows the materialization of the
proposed actions.
The current climate emergency relates directly to the need to reach the SDGs.
Because of this, the specific scope of SDG 13, linked to combating climate change,
gains even greater importance since it is not possible to build a sustainable devel-
opment in a scenario where climate change strongly impedes a fair and sustainable
society historically agreed upon, especially when considering the fact that the effects
of climate change will be uneven and will mainly affect the most vulnerable
populations.
The idea of climate justice is important for a just adaptation that responds to the
demands of the most vulnerable populations. Although the analyzed plan stands out
for having been participatory and this being a crucial factor, the timidity of the
proposals does not allow us to state that the plan fully converges with the concept of
climate justice. It is important to point out that this participation took place through
online tools, and although it is possible to note that civil society contributions
influenced the plan, it is known that this is a form of limited participation. Ways
should be sought to involve more people in the development of public policies in
order to respond to their demands and it is possible to co-produce knowledge
involving different actors, such as society, government, and even universities with
their academics (Di Giulio et al. 2014).
As a limitation, it is recognized that a specific analysis of the capacity to adapt to
climate change, as well as the apprehension of the theme by the region considering
SDG 13, needs also the analysis of public policies that specifically deal with the
issue as the Action Plan to Combat Climate Change of the Grande ABC Paulista, an
important plan to be studied in future projects. In addition, it is also understood that a
specific study about the adherence to regional development as a concept to be
applied to achieve sustainable development in different administrative regions of
the world is a limitation of this study that may be better explored in future research.
It is expected that the reflection on the theme performed in this chapter, together
with the results of the analysis of the 2nd Pluriannual Plan, will contribute to the
adaptation to climate change, with special attention to the confrontation of extreme
hydrometeorological events in regions with similarities to the object of study, thus
allowing the construction of a more sustainable society guided by climate justice
whose primary interest is the protection of the most vulnerable populations and
social participation in the construction of public policies in a radical way.
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Water Resources, Agroecology, and
Cantareira System Conservation Area, São
Paulo, Brazil
João Luiz de Moraes Hoefel, Francisco Miguel Corrales,

Ana Lucia Watanabe, José Fernando Calistron Valle, and
Francisco Bosque Barretto
Contents
Introduction: Water Resources and SDG 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1223
Study Methodological Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1226
Cantareira System Environmental Protected Area (Cantareira System EPA) . . . . . . . . . . . . . 1228
Agroecology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1230
Agroecology as a Strategy for Environmental Conservation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1232
The Contribution of Rural Landowners and Family Farming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1235
J. L. de Moraes Hoefel (*)

Núcleo de Estudos em Sustentabilidade e Cultura – NESC/CEPE, Centro Universitário UNIFAAT
(UNIFAAT – University Center), Atibaia, São Paulo, Brazil
e-mail: jlhoeffel@gmail.com
F. M. Corrales
Embrapa – Empresa Brasileira de Pesquisa Agropecuária/Embrapa Meio Ambiente (Embrapa –
Brazilian Agricultural Research Corporation/Embrapa Environment), Jaguariúna, São Paulo, Brazil
e-mail: francisco.m.corrales@embrapa.br
A. L. Watanabe
Departamento de Agricultura e Abastecimento da Prefeitura de Piracaia (Piracaia Department of
Agriculture and Supply), Piracaia, São Paulo, Brazil
e-mail: agricultura@piracaia.sp.gov.br
J. F. C. Valle
Fundação Florestal (Forest Foundation), Campinas, São Paulo, Brazil
e-mail: jfernandov@fflorestal.sp.gov.br
F. B. Barretto
Departamento de Agricultura e Abastecimento da Prefeitura de Piracaia (Piracaia Department of
Agriculture and Supply), São Paulo, Brazil
e-mail: franciscobarreto@gmail.com

https://doi.org/10.1007/978-3-031-16017-2_65
1222 J. L. de Moraes Hoefel et al.
The Rural Space in the Municipality of Piracaia: São Paulo State, Brazil . . . . . . . . . . . . . . . . 1236
Agroecology and Water Resource Conservation in the Municipality of Piracaia . . . . . . . . . 1240
Agroecology and Water Resource Conservation in Piracaia Municipality: Strengths
and Weaknesses from the Viewpoint of Agroecology Producers . . . . . . . . . . . . . . . . . . . . . . . . . . 1242
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1249
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1251
Abstract
The goal of UN SDG 6 is to ensure sustainable water management. It states that
water security is especially important during times of climate change and that in
order to achieve sustainable water management, it is important to implement
integrated water resource management and protect and restore water-related
ecosystems. The objective of the Cantareira System Environmental Protected
Area (Cantareira System EPA) is to ensure regional water resource sustainabil-
ity, collaborate with sustainable guidelines for urban development, and con-
serve remnants of the Atlantic Forest. The Cantareira System EPA includes the
municipalities of Atibaia, Bragança Paulista, Joanópolis, Mairiporã, Nazaré
Paulista, Piracaia, and Vargem located in the northern region of the metropolis
of Sao Paulo, Brazil. There is substantial industry in the region, and the area is
presently going through an intense urbanization process. This process is in
sharp contrast with what remains of the previous rural occupation. Today the
rural occupation is made up of different types of agricultural activities and
hobby farms. Sustainable agriculture like agroecology is compatible with the
conservation area, and alternatives of this kind are essential for environmental
protection. This chapter analyzes the involvement of community efforts in the
Cantareira System EPA to adopt agroecology practices. The chapter especially
focuses on community efforts in the municipality of Piracaia to adopt agroecol-
ogy practices that help conserve water resources. The knowledge acquired and
the conclusions drawn from applying agroecology practices will later be
extended to other municipalities located in the Cantareira System EPA. The
conservation area diagnosis included agricultural and agroecology activities in
the municipality of Piracaia. It analyzed strengths, weaknesses, opportunities,
and threats. The unique characteristics of agroecology producers were
highlighted and included aspects that originated in programs for sustainable
agriculture production and environmental services payment, the recovery of
degraded areas, and actions taken to conserve water resources and biodiversity.
In order to promote sustainability, it is essential to disseminate information and
implement processes that ensure water resource quality and quantity as well as
environmental safety.
Keywords
Cantareira System Environmental Protected Area · Water resources ·
Conservation areas · Sustainability · Agroecology
Water Resources, Agroecology, and Cantareira System Conservation Area, São. . . 1223
Introduction: Water Resources and SDG 6
Water resources, in Ruiz-Garzón et al. (2021) perspective, are essential for the
survival of all living beings and for all human activities. The authors highlight that
human beings should be responsible for a correct use and conservation of water
resources. With increased consumption and mass production, water has suffered
pollution, and there is also less water available for consumption.
According to Ruiz-Garzón et al. (2021), access to clean water is decreasing
worldwide, and climate change and increased migration to urban environments
have worsened this situation.
Water sustainability is connected to various aspects influenced by human behav-
ior. These aspects include the quantity and quality of water, waste, climate change,
population growth, and pollution. Ruiz-Garzón et al. (2021) also mention that in
order to address these problems and guarantee water security, governments, pro-
ducers, and consumers should reduce all water risks, decrease their negative impacts,
and create a balance between human well-being and natural resources. Society needs
to become aware of these issues and act responsibly through pro-environment
behaviors and proper use of water (Ruiz-Garzón et al. 2021).
In this context, the 2030 Agenda and its Sustainable Development Goals (SDGs)
provide a chance for federal, state, and local governments, as well as citizens, to
address key environmental issues and to assess essential sustainable development
issues such as water security (Barbado and Leal 2021; Torres et al. 2018).
The 2030 Agenda has 17 Sustainable Development Goals and 169 targets to meet
globally in order for societies to be able to respond to the many aspects of the current
environmental situation. Sustainable water management is found in the goals of a
number of SDGs. These goals are simultaneously interrelated (Ortigara et al. 2018;
United Nation 2018). This study specifically addresses and analyzes “Sustainable
Development Goal 6 (SDG 6) - Ensure water availability and sustainable manage-
ment of water and sanitation for all” that is also mentioned as the water goal (United
Nation 2018).
SDG 6 seeks to address the expanding global problem of water shortage through
eight targets and their associated indicators. The eight targets proposed by the United
Nations are:
6.1 By 2030, achieve universal and equitable access to safe and affordable drinking water
for all,
6.2 By 2030, achieve access to adequate and equitable sanitation and hygiene for all and
end open defecation, paying special attention to the needs of women and girls and those in
vulnerable situations,
6.3 By 2030, improve water quality by reducing pollution, eliminating dumping, and
minimizing the release of hazardous chemicals and materials, halving the proportion of
untreated wastewater, and substantially increasing recycling and safe reuse globally,
6.4 By 2030, substantially increase water-use efficiency across all sectors and ensure
sustainable withdrawals and supply of freshwater to address water scarcity and substantially
reduce the number of people suffering from water scarcity,
6.5 By 2030, implement integrated water resources management at all levels, including
through cross border cooperation when appropriate,
6.6 By 2020, protect and restore water related ecosystems, including mountains, forests,
wetlands, rivers, aquifers, and lakes,
6.A By 2030, expand international cooperation and capacity building support to devel-
oping countries in water and sanitation related activities and programs, including water
harvesting, desalination, water efficiency, wastewater treatment, recycling, and reuse
technologies,
6.B Support and strengthen the participation of local communities in improving water
and sanitation management. (UNEP 2022; UN-Water 2021: 9–10)
Central to all of the SDG 6 goals is proper access to water and preservation of
water-related ecosystems (Kelly-Quinn et al. 2021). However, according to Moturi
(2021), SDGs, including SDG 6, are interconnected, should be viewed holistically,
and should be implemented concurrently. And for Dibbern et al. (2022), despite their
importance, challenges may arise and become obstacles to achieving their targets.
This is particularly due to the fact that the worldwide supply of water and sanitization
for many citizens remains poor and inadequate.
The indicators suggested for each target are:
6.1.1 Proportion of population using safely managed drinking water services,

6.2.1 Proportion of population using safely managed sanitation services that include
hand-washing facilities that supply soap and water,
6.3.1 Proportion of wastewater safely treated,
6.3.2 Proportion of bodies of water with good environmental water quality,
6.4.1 Change in water-use efficiency over time,
6.4.2 Level of water stress: freshwater withdrawal in proportion to available freshwater
resources,
6.5.1 Degree of integrated water resource management implementation (0–100),
6.5.2 Proportion of cross border basin areas with operational arrangements for water
cooperation,
6.6.1 Change in the extent of water related ecosystems over time,
6.A.1 Amount of official water and sanitation related development assistance that is part
of a government coordinated spending plan,
6.B.1 Proportion of local administrative units with established and operational policies
and procedures for participation of local communities in water and sanitation management.
(UNEP 2022; UN-Water 2021: 9–10)
The current SDG 6 indicators are appropriate to analyze and investigate the
advance of water-related targets. Their effectiveness can be significantly enhanced
by using some tools such as the water footprint (Essex et al. 2020) or on comple-
mentary indicators such as circular water economy and quantitative policy targets
(Berger et al. 2021).
In relation to SDG 6, Gwiazdon (2021) emphasized that water is life and should
be accessible to all that life includes and that when the water quality is altered or
unavailable, life is injured. According to the author (Gwiazdon 2021), water ethics
are water governance that provides water access to all life. Also, if water is life, all
living things that depend on it should be prioritized in government decision-
making, and government institutions should consider both the frequent divergence
between principles and practices and also when one considers water general
management.
According to Haileslassie et al. (2020), Tsani et al. (2020), and Lopes (2021),
policies that improve water quality, access to safe and affordable drinking water,
recognition of services provided by ecosystems to protect and restore ecosystems
essential to water, and water efficiency across all sectors and that implement
integrated water resource management can also help SDG 6 to reach its targets.
Compared to economic value, value that is hard to quantify is often difficult to
understand. Nonetheless, it is critically important in order to achieve SDG 6 targets.
These values rely on a clear understanding of water-related ecosystems and decisions
related to water governance (Haileslassie et al. 2020). According to Kanyepi and
Tanyanyiwa (2021: 3), SDG 6 is accomplished “when sound water governance princi-
ples are backed up by coherent policies and when institutional frameworks are in place.”
Sosa-Rodriguez and Yoalli (2021) analysis warns that if SDG 6 targets are not
met, conflicts over water will intensify. According to the authors, diverse challenges
from water access, quality, and availability are expected to expand in the future
decades (Sosa-Rodriguez and Yoalli 2021: 10). Cooperation, effective participation,
and spaces for dialogue are needed to address this situation and reach agreements. If
adequately managed, this situation can favor processes that lead to more sustainable
water management, promote compliance with SDG 6 objectives, and bring about
recognition that water is an indispensable resource to accomplish the aims of other
SDGs (Sosa-Rodriguez and Yoalli 2021).
Analysis of water research that’s related to achieving SDG 6, according to Ho et al.
(2020), shows that SDG 6-related scientific output is often unknown. This creates a
disconnect between the academic world and those who are trying to implement
solutions. The authors (Ho et al. 2020: 2) developed a bibliometric analysis and text
mining method to identify the contribution of water research being carried out to
achieve SDG 6 goals and targets. The research findings have been integrated into an
online dashboard so that practitioners and policy makers can identify experts and
research groups and strengthen the transfer of knowledge in a real-world context. The
main research hotspots were in Belgium and in countries in the Global South. Results
showed that although a high proportion of water research findings were similar, in the
Global South, water research has especially targeted the interaction between the role of
water in agricultural activities and the different impacts of agriculture on water quality
(Ho et al. 2020: 13). This will be analyzed in the chapter.
Dibbern et al. (2022) also developed a bibliometric analysis of documents
published between 2015 and 2021 found in the Science Web database in order to
analyze how the literature has addressed SDGs, the present scenario, and forthcom-
ing possibilities. The author’s results (Dibbern et al. 2022) identified SDG 6 as a
theme of growing interest and showed sustainable development, developing coun-
tries, and water security as the main themes in these documents. They also showed
that human rights are an emerging theme in SDG 6 debates. The subjects of
agroecology and conservation area research were also present.
This chapter focuses on the Cantareira System Environmental Protected Area
(Cantareira System EPA). This EPA was created to protect the water sources and
springs of the Atibaia and Jaguary River Basins. These water resources supply water
to the São Paulo and Campinas Metropolitan Regions. The study also analyzes how
agroecology collaborates with the protection and maintenance of regional water

potential. The chapter focuses on the municipality of Piracaia, São Paulo State,
Brazil.
Study Methodological Approach
The actions of socio-technical agroecology networks in environmental protected areas

(EPAs) are important in order to be able to adopt sustainable practices in conservation
areas. These actions are especially important for creating technological standards and
for enabling social interaction in rural areas that combine food production, natural
resource conservation, and social justice. Participatory methods that integrate local
social forces with the potential to advance the use of ecologically based agriculture
practices support EPA management that is in accordance with these precepts.
Altieri and Nicholls (2020) and Altieri (2009) mention that among its many
attributes, sustainable agriculture implies simultaneously the development and avail-
ability of environmentally appropriate technologies, the management, use and con-
servation of production resources, participatory research, and public policies
compatible with environmental protection and income generation.
From this perspective, a process guided by the principles of agroecology and
through participatory intervention supported creating, structuring, and managing a
local agroecology nucleus that helped consolidate the interaction between farmers
and representatives of governmental and nongovernmental institutions in local
sustainable development actions (Jeanneret et al. 2021).
The study included initial network management, information collection and
diagnosis, systematization of the information collected, planning, and intervention.
The study was based on procedures used by Hoeffel et al. (2013) in projects, action
management, and environmental education conducted in Nazaré Paulista, Sao Paulo
State, Brazil. In accordance with these guidelines, the following steps were adopted:
1. Network management: defining general coordination, identifying the members of

the group at large, and defining the Cantareira System EPA Nucleus of Agro-
ecology organizational structure
2. Information collection: relevant information was gathered from primary (inter-
personal contacts) and secondary sources (diverse documents) in order to identify
aspects of agroecology already present in the Cantareira System EPA, particularly
in the municipality of Piracaia, São Paulo, Brazil. This area is notable for
processes that have strengthened agroecology on a municipal scale. General
information about the municipality of Piracaia’s agricultural sector was obtained
from the LUPA Project – 2017 and from the São Paulo State Agricultural Census
(São Paulo 2019).
In this step, agroecology producers in the municipality of Piracaia were also

contacted and asked to give their impressions about the strengths and weaknesses of
agroecology actions in Piracaia. Their impressions are seen as perceptions of the
current stage of the agroecologic transition in this locality.
3. Systematization of information: this step involved organizing the information that

was gathered by defining and prioritizing the main problems and alternatives for
management of agroecology processes.
4. Planning and implementation of the main actions: defining guidelines for the
municipal reference unit (Piracaia) created parameters that strengthened agro-
ecology in this pilot municipality. These guidelines became a reference for the
other municipalities located in the environmental conservation area.
The establishment of the Cantareira System EPA Agroecology Nucleus was

based on guidelines that originated in the East Paulista Agroecology Network
from initiatives created to analyze territorial demands (Rede de Agroecologia do
Leste Paulista 2020). These initiatives brought to light the importance of collectives
organized in the form of managerial nuclei in order to guide actions that strengthen
the agroecology transition in environmental protected areas. The Cantareira System
was seen as a priority. Representatives of institutions interested in the topic were
identified and virtual planning meetings were initiated.
This work resulted in an analysis of socioeconomic and environmental data about
agriculture practiced in the Cantareira System EPA. There was a focus on Piracaia,
São Paulo, Brazil. The logic of initiating the intervention in one of the municipalities
of the EPA was that examples of success could become spaces of interaction and
motivation where the process of developing agroecology in the other municipalities
of this region could be strengthened. A communication policy was planned for the
Agroecology Nucleus of the Cantareira System EPA to help consolidate and expand
this collective. The plan includes social media (websites, Facebook, and WhatsApp
groups) to facilitate and expand the exchange of information.
The document research and information collected in the study (Gil 2008) used
materials that haven’t been analyzed yet or could be reworked according to research
objectives. There were documents which had not received any detailed treatment,
such as official and private documents, newspaper articles, photographs, and record-
ings. There were also second-hand documents which had previously been analyzed
in some form. Examples of this were research reports, company reports, and
statistical tables. In this study, data was obtained from sources available on the
Internet, state agencies, municipal governments, the Departments of Agriculture and
Environment, and nongovernmental organizations operating in the region. Another
source of information came from people identified as knowledgeable about the
trajectory of agroecology in the Cantareira System EPA and who were part of
collectives active in agroecology, especially in the pilot municipality of Piracaia.
The gathering and systematization of information provided knowledge for plan-
ning and implementing actions recognized as priorities for the evolution of local
agroecology. The municipality of Piracaia, São Paulo State, was where the first
intervention took place. The priorities identified for the action plan through the
diagnosis and systematization of data that was obtained in the pilot municipality
enabled the prioritization of the topics that were addressed in courses about good
agricultural practices and environmental education. These courses take place both in
the classroom and via Internet. The course subjects address the socio-environmental
characteristics of rural environments common to both the EPA and Piracaia and
encourage educational processes capable of transforming the local reality. These

courses will begin in the pilot municipality and progressively expand to other
municipalities in the Cantareira System.
Cantareira System Environmental Protected Area (Cantareira

System EPA)
The Cantareira System Environmental Protected Area (Cantareira System EPA)

encompasses eight municipalities located in the northern portion of the municipality
of São Paulo, São Paulo State, Brazil. Atibaia, Bragança Paulista, Joanópolis,
Mairiporã, Nazaré Paulista, Piracaia, and Vargem are located in watershed that
supplies about 50% of the water for the São Paulo Metropolitan Region and 85%
of the Campinas Metropolitan Region. These metropolitan regions are the largest
urban and industrial centers in the state of São Paulo (Hoeffel et al. 2010) (Fig. 1a).
The main objective of an EPA is the conservation of natural processes and
biodiversity by adopting human activities compatible with the environmental char-
acteristics of an area.
The Cantareira System EPA was created by Law n 10.111/1998 (São Paulo
2020). It encompasses 254,027 ha and was created to:
(a) Ensure the sustainability of water resources of the Juqueri, Jaguary, and Atibaia
water basins, with a special focus on the public water supply provided by the
reservoirs located in this EPA.
(b) Collaborate with guidelines and incentives for good practices in the develop-
ment and growth plans of municipalities located in the EPA.
(c) Conserve the biological diversity present in the Cantareira and Mantiqueira
Mountain Ranges, two key areas located between São Paulo, Minas Gerais,
and Rio de Janeiro federal states (São Paulo 2020).
Fig. 1 (a) Cantareira system EPA. (Source: the authors based on Hoeffel et al. 2010). (b)
Cantareira system EPA zoning. (Source: the authors based on São Paulo 2020 – available at:
plano_manejo_apa-sistema-cantareira.pdf (windows.net))
The Cantareira System EPA overlaps with other conservation areas, namely, the
Pedra Grande Natural Monument, the Itaberaba State Park, the Itapetinga State Park,
the Represa Bairro da Usina EPA, and the Piracicaba/Juqueri-Mirim Area II EPA
(São Paulo 2020).
The Cantareira System EPA has a varied landscape made up of pasture land,
perennial and seasonal crops, and remnants of Atlantic Forest and Brazilian Savan-
nah under conservation or in restoration.
Bragança Paulista and Atibaia are industrial poles in the region that exist in sharp
contrast with the remnants of the earlier land occupation which was characterized by
small farms and leisure properties.
Agricultural areas occupy an area of approximately 117,358 ha. This represents
46% of the Cantareira System EPA territory. In this group, pastures notably make up
89,729.5 ha (35%), and diverse crops and reforestation represent 27,628.8 ha (10%).
The territory of the Cantareira System EPA has fragments of dense ombrophilous
forest, arboreal/shrubby formation in a floodplain region, secondary vegetation of
dense ombrophilous forest, and secondary vegetation of mixed ombrophilous forest.
This vegetation is classified as “natural surfaces.” It occupies an area of
100,214 ha and represents 39% of the territory of the conservation area. The area
is home to several species of mammals. These include ocelots, cougars, sloths,
howler monkeys, small wild cats, otters, deer, and endangered species, such as the
hawk-eagle (São Paulo 2020).
In order to address vulnerabilities and risks in the Cantareira System EPA, it is
important to control urban growth and the subsequent intense and dispersed subdi-
vision of land that follows, ensure and increase conservation of areas with native
vegetation cover, conserve springs and permanent preservation areas, increase water
security, reduce risks of erosion and flood damage, reduce pressure on water bodies
caused by lack of sewage treatment, contribute to the improvement of urban
structures, reduce the impacts of economic activities including agricultural activities,
encourage environmentally appropriate agriculture activities, and implement actions
that preserve and recover the springs present in this conservation area (Hoeffel et al.
2010; Hoefel et al. 2021; São Paulo 2020).
Based on these aspects and vulnerabilities, three types of zoning were proposed
for the Cantareira System EPA (São Paulo 2020) (Fig. 1b), namely:
• Sustainable Use Zone (SUZ) – includes topographical areas concentrated on the

flood plains of the Atibaia and Jaguary River Basins where there are a moderate
danger of landslides and a moderate to high danger of flooding. The occupation
and uses of the land here are diverse. These include many and scattered built-up
areas, pastures, and different kinds of agriculture crops. Part of the urban centers
of Bragança Paulista, Atibaia, Mairiporã, and Piracaia municipalities are also
located within this area (São Paulo 2020).
• Attributes Protection Zone (APZ) – brings together the most important
features that need conservation. These include the five Cantareira Water
System Reservoirs (Jaguary, Jacareí, Cachoeira, Atibainha, and Paiva Castro).
These reservoirs supply water to São Paulo and Campinas Metropolitan
Regions. The largest fragments of native vegetation and a high concentration of

springs are found here. The topography in this region is steep, and consequently
there is a high risk of landslides in the mountainous region that connects the
Cantareira Mountain Range with the Mantiqueira Mountain Range (São Paulo
2020)
• Special Protection Zone (SPZ) – includes the following conservation areas:
Itapetinga and Itaberaba State Parks and Pedra Grande State Natural Monument.
It also includes Lago dos Padres Municipal Natural Park, Jardim América Munic-
ipal Natural Park, and Pedra do Leite Natural Monument located in Bragança
Paulista Municipal Conservation Areas (São Paulo 2020).
In this chapter we analyze agroecology actions that have been implemented in the
municipality of Piracaia. This municipality lies within Attributes Protection Zone –
APZ – and is part of the Cantareira System EPA Management Plan.
According to São Paulo State Decree No. 65,244/2020, the Attributes Protection
Zone – APZ – covers approximately 128,800 ha of the conservation area (CA) and
50.70% of its total area. The attributes that are most important for conservation are in
this APZ. These attributes include the five water reservoirs (Jaguary, Jacareí,
Cachoeira, Atibainha, and Paiva Castro) that supply the Metropolitan Regions of
São Paulo and Campinas. Also, the largest fragments of native vegetation and a high
concentration of springs are found here (São Paulo 2020) and are located in
this APZ.
The topographical relief in this Attributes Protection Zone – APZ – has moder-
ately steep to very steep slopes. There is a very high risk of landslides in the
mountainous region where the two mountain ranges Cantareira and Mantiqueira
connect. The APZ also covers part of the buffer zones of Itapetinga, Itaberaba, and
Cantareira State Parks and Pedra Grande State Natural Monument (São Paulo 2020).
Mitigating these threats and weaknesses in the Cantareira System EPA requires
appropriate action. These actions include agricultural practices that can have a
positive impact on the local ecosystem.
Agroecology
Sustainable agriculture is a concept used to define the relationship between agricul-

tural practices and sustainability (Borsari 2022; Yadav et al. 2021; Barrios et al.
2020; Franzluebbers et al. 2020; Paul 2020; Feiden 2005; Bezerra and Veiga 2000)
where the economic activity of agriculture both respects the environment, ensures its
financial viability, and achieves a greater balance between the two.
For sustainable agriculture to become a reality, land practices that reduce envi-
ronmental impacts as much as possible and the creation of solutions that help in this
process are needed. Practices aimed at minimizing soil disturbance, controlling
erosion, and securing rainwater ground infiltration are needed in order to preserve
the soil and recharge groundwater that feeds springs, streams, and rivers (Davidovič
2020). These practices also maximize soil cover, optimize biological diversity, and
encourage year-round growth in order to fix as much CO2 from the atmosphere as
possible (Franzluebbers et al. 2020: 4).
Considering these approaches, it is possible to recognize that agroecology is
appropriate for the characteristics and weaknesses of the Cantareira System EPA.
Agroecology is a scientific approach and a field of knowledge that is nourished by
scientific disciplines, knowledge, and the experiences of farmers. Altieri and
Nicholls (2020) and Altieri (2009) understand agroecology as a scientific discipline
that seeks to understand ecological processes in order to maintain balance and
conserve natural resources. For Altieri and Nicholls (2020) and Altieri (2009),
agroecology is an approach that integrates ecology, agricultural sciences, and socio-
economic approaches in order to understand and evaluate the effect of technologies
on agricultural practices and society in an integrated way. The Brazilian Association
of Agroecology – BAA (Associação Brasileira de Agroecologia – ABA 2015) –
perceives agroecology as a scientific, theoretical, practical, and methodological
approach, based on different areas of knowledge that study development processes
from an ecological and sociocultural perspective. Using a systemic approach, it
adopts the agroecosystem as a unit of analysis to go beyond conventional models
of agriculture and transition to styles of agriculture within the parameters of sustain-
able rural development.
The agroecology discourse sees diversity as a benefit and studies complexity and
randomness (Lescourret et al. 2015). Thus, agroecology is both a science and a social
movement that favors the development of sustainable agricultural systems (Barrios
et al. 2020; Franzluebbers et al. 2020; Anderson et al. 2021).
To be sustainable agroecology seeks the least possible dependence on external
inputs by using resources available in nature, diversifying crops, and maintaining soil
fertility (Donaton 2018). The concern with soil fertility was already present in
biodynamic agriculture and organic agriculture. According to these, any imbalance
in agricultural productivity is the result of imbalances of nutrients available in the soil.
Agroecology according to Reiniger et al. (2017): 77) has been adopted as a
possibility of field production fully allied with the environmental and cultural
context. In this perspective the authors mentioned that:
Agroecology is a field of knowledge that brings together systematized (scientific) knowledge

and the knowledge of farmers. This process of exchanging knowledge was highlighted by
the outstanding Brazilian pedagogue Paulo Freire in his book Extension or Communication,
in which the author highlights the importance of the communication process for the fusion of
knowledge. This process is extremely important and strategic for the agroecology transition
because the knowledge accumulated by farmers is the result of their co-evolution in
agroecosystems. This co-evolution generates knowledge that is the result of coexistence
over time in the management of Renewable Natural Resources, and is enriched from contact
with scientific knowledge and Science which in turn receives feedback and is enriched by the
knowledge of farmers. (Reiniger et al. 2017: 77)
The Cantareira System is fundamental to water security, and the conservation of

biodiversity is a determining factor for the maintenance of water sources.
Agroecological practices play a role in caring for biodiversity; and rural units are
valuable for promoting ongoing action.
According to Reiniger et al. (2017: 23):
The components of agricultural biodiversity include: (1) plant, domesticated and wild
diversity (some authors exclude plants and wild animals from the definition of
agrobiodiversity because they consider that, although they are important to farmers, they
are not part of agricultural systems); (2) the diversity of domestic animals (of the approx-
imately 50,000 known species of mammals and birds, approximately forty have been
domesticated, and of these species, farmers have developed about 5,000 breeds adapted to
local environmental conditions and specific needs); (3) the diversity of aquatic fauna (fish
and other aquatic species are an integral part of many important agricultural systems);
(4) underground diversity (the roots bring nutrients and water to plants and stabilize the
soil); - microbial diversity (microorganisms recycle and provide many nutrients needed by
plants, among other functions); (5) the diversity of insects (such as bees and other pollina-
tors), spiders and other arthropods (locusts, centipedes, etc.), which often act as natural
enemies of harmful beings to plants; and (6) the diversity of ecosystems. (Reiniger et al.
2017: 23)
Agroecology preserves and restores soil fertility, with minimal intervention to

the environment and without the use of toxic or harmful substances, and prevents
soil erosion, and water use allows the recharging of aquifers. Agroecology uses
resources from the ecosystem itself to manage crops, conserves, and values
biological diversity (Borsari 2022). Agroecological practices can also advance
water security by remodeling the way water is conserved and used, thus increasing
resilience to water stress (Anderson et al. 2021: 55). Based on this, the importance
of agroecology management for the conservation of ecosystems and water
resources is verifiable.
Agroecology as a Strategy for Environmental Conservation
According to Barrios et al. (2020: 231):
Agroecology has moved from being an ecology-based discipline, defined by five principles
(i.e., efficiency, diversity, synergy, natural regulation, and recycling), to being a broader,
multidimensional concept that includes the realm of social, political, and economic disci-
plines and dimensions. Three major steps – increasing eco-efficiency, input substitution and
system redesign – have been identified in the transition towards more sustainable agriculture
and food systems. (Barrios et al. 2020: 231)
Barrios et al. (2020: 231) when analyzing agroecology stated that FAO’s Common
Vision for Sustainable Food and Agriculture consists of five general principles
presented below:
(i) improving resources use efficiency;

(ii) conserving, protecting, and enhancing natural ecosystems;
(iii) protecting and improving equity, social well-being and rural livelihoods,;
(iv) enhancing resilience of people, communities, and ecosystems; and (v) promoting
good governance of natural and human systems. (Barrios et al. 2020: 231)
Migliorini and Wezel (2017: 5) mention that the principles of agroecology

involve many approaches, such as:
• Enhance the recycling of biomass in ways that optimize organic matter decomposition
and nutrient cycling over time
• Strengthen the “immune system” of agricultural systems through enhancement of func-
tional biodiversity - natural enemies, antagonists, etc., by creating appropriate habitats
• Provide the most favorable soil conditions for plant growth, particularly by managing
organic matter and by enhancing soil biological activity
• Minimize energy loss, water, nutrients, and genetic resources by enhancing conservation
and regeneration of soil and water resources and agrobiodiversity
• Diversify species and genetic resources in the agroecosystem over time and space at the
field and landscape level
• Enhance beneficial biological interactions and synergies among the components of
agrobiodiversity, thereby promoting key ecological processes and services. (Migliorini
and Wezel 2017: 5)
According to FAO-Food and Agriculture Organization (2018), the ten elements

of agroecology are guiding, on a large scale, countries to sustainable agriculture, to
achieve zero hunger, as well as other SDGs. The ten elements presented by FAO on
agroecology are diversity, synergies, efficiency, resilience, recycling, co-creation
and sharing of knowledge, human and social values, culture and food traditions,
responsible governance, and circular economy. These elements are interlinked and
interdependent (FAO 2018).
Those who practice agroecology are committed to the various dimensions that
guide management: the ecological dimension, the social dimension, the cultural
dimension, the economic dimension, the political dimension, and the ethical dimen-
sion (Barrios et al. 2020; Reiniger et al. 2017).
The ecological dimension is related to the understanding that agroecology works
together with diverse environmental dynamics, with the biome and with ecosystems.
The ecological dimension includes the following aspects: (a) conservation and
improvement of physical, chemical, and biological soil conditions; (b) use and
recycling of nutrients through, for example, composting and vermicomposting;
(c) increase in biodiversity and valorization of agrobiodiversity; (d) reduction in
the use of nonrenewable natural resources; (e) protection of springs and water
quality; and (f) reduction of contamination from pesticides. The social dimension
is defined by the dynamics found in community relations. These include the concepts
of equality, inclusion, equity, and quality of life. The cultural dimension is evaluated
by the cultural identity of the products and the appreciation of foods of Creole origin
and nongenetically modified plants cultivated by traditional peoples. Creole seed
banks are an incentive to maintain traditional foods and to value traditional knowl-
edge involved in cultivation, management, and preparation. They can and should be
recognized as local products, valued for their quality, and marketed as a “local
brand,” and these characteristics should increase market value. As an economic
dimension, agroecology management aims at production with commercial results

that guarantees food without the use of pesticides and that minimizes environmental
impacts. Solidarity is encouraged, with participatory management training and
networks between farmers through associations and cooperatives. The solidarity
economy provides shared solutions and results that can be expanded; facilitating
the flow of production, expanding markets, enhancing the dissemination of activities
and food quality, providing gains in the acquisition of equipment and machinery, and
sharing technologies. The various forms of solidarity commercialization guarantee
the consumer the certainty of the origin of food and the approximation with those
who grow it. The political dimension is represented by the empowerment of farmers
through the democratic exercise that occurs in collegiate bodies such as cooperatives
and associations where participatory actions and construction of public policies take
place and where visibility of local issues is guaranteed. The ethical dimension can be
sized up as the concept of good living defined as respect for life – human life, animal
life, plant life, and soil life. It also involves a commitment to the conservation of
ecosystems, respect for the human collective, and a commitment to fair, supportive,
egalitarian, and inclusive relationships (Reiniger et al. 2017).
From this perspective, on analyzing the agroecological transition, Caporal and
Costabeber (2004: 12) state:
In Agroecology, the concept of agro ecological transition is central, and is understood as a

gradual and multi linear process of change, which occurs over time, in the forms of
management of agroecosystems, which, in agriculture aims to transition from an agrochem-
ical model of production (which can be more or less intensive in the use of industrial inputs)
to styles of agriculture that incorporate ecologically based principles and technologies. This
idea of change refers to a process of continuous and increasing evolution over time and
without a specific end. However, because it is a social process, meaning it depends on human
intervention, the agroecology transition implies not only the search for greater economic-
productive rationalization, based on the biophysical specificities of each agroecosystem, but
also a change in attitudes and values of the social actors in relation to management and
conservation of natural resources. (Caporal and Costabeber 2004: 12)
In Borsari (2022: 2), “complexity is a key attribute of agroecology because

agroecosystems as well as food systems are intricate, multifaceted entities” where
healthy soils conserve water effectively, moisture is retained within the soil matrix,
and soil biological activity is increased.
Borsari and Kunnas (2020: 9) mention that agroecology is a scientific approach to
agriculture that has a positive consequence both on the livelihood of rural commu-
nities and where the revival of landscapes stimulates an understanding that preserves
biodiversity and makes agriculture environmentally sound and more resilient.
To Anderson et al. (2021: 192):
Agroecology responds to many of these world crises and offers multiple benefits: enhances
biodiversity, addresses climate change, contributes to good nutrition, strengthens social
relations and in its most radical and most needed form directly challenges colonialism,
inequity, and oppression. Social movements have been advancing agroecology as a
paradigm for food systems centered upon the voice, agency, and priorities of often margin-
alized people. We have seen how far from merely a tweaking of the existing system political
agroecology is rooted in the politics of food sovereignty. It simultaneously rejects the
dominant food regime while offering an alternative vision and a pragmatic and viable set
of principles as the basis for transformation. (Anderson et al. 2021: 192)
The Contribution of Rural Landowners and Family Farming
It has been observed that the owners of the small rural establishments that remain in
the Cantareira System EPA can and should be mobilized to become partners in
initiatives for the conservation of natural resources. For this to occur, articulation
between different segments of local society is essential, in order to promote change
in agricultural activity patterns, conserve ecosystems, and restore degraded areas in
the region. This premise was presented by Piolli (2009), who advocates socialization.
This means better dissemination of information about the attributes that qualify the
Cantareira System EPA so that knowledge about water resource issues is accessible to
all and increases the participation of farmers, for example, in the conservation of
natural resources and contributing to the maintenance of ecosystem services.
Agroecology is an important regenerative form of agriculture with practices
aimed to simulate complex ecological processes that also offers diverse benefits
such as developing profitability, stimulates biodiversity, and addresses climate
mitigation (Anderson et al. 2021). Agroecology brings possibilities to practice styles
of agriculture that restore balance to ecosystems and that at the same time allow
farmers to carry out activities that are sustainable, generate income, and improve
their quality of life. There is compatibility between food production and meeting the
requirements of respect for the environment as long as there are public policies
oriented toward an integrated vision of the rural space.
Good practices, necessary in agroecology-based activities, demand more than the
simple use of sustainable agriculture management techniques. They presuppose the
understanding that agroecology is part of a system that respects and values nature. In
this sense the technologies referenced in agroecology aim at more than producing
this or that food. In this conception, the farmer perceives his property in an integrated
way, as a rural unit at one with the dynamics present there, and articulates activities
that contribute to a balanced ecosystem.
The attentive and constant observation of the farmer who sees his rural unit as an
integral part of a biome allows interventions and necessary course corrections in his
daily practices. In this scenario, those who take diligent care of their land know that
the benefits are significant, especially in the medium and long term. In addition to
increased quality and quantity of water from springs and streams, crops and livestock
are produced more satisfactorily and more cheaply by using biological inputs
produced (often) in the rural establishment and that have less of an impact on the
environment. Perceiving these advantages, farmers are increasingly adhering to
practices consistent with the principles of agroecology.
Good agricultural practices (GAP), according to Izquierdo et al. (2007), are

recognized by the following characteristics: compliance with the legal framework
(of guarding and handling of pesticides, safety at work, environmental legislation,
among others); care for field workers, whether employees or sharecroppers; care with
food handling; traceability; and waste management for the production of safe and
quality food. For Izquierdo et al. (2007), one of the major challenges for the adoption
of GAP is the awareness of all stakeholders, in particular farmers and consumers, of
what these procedures mean and their importance for sustainable agriculture.
In the global market, good agricultural practices are seen as a reference for the
production of safe food and may even support procedures for the certification of
products and services. These procedures are parameters of environmental quality
that are well accepted and welcomed by consumers.
The implementation of good practices makes production less susceptible to the
application of penalties, promotes food safety, and contributes to the improvement of
the work environment and to employee satisfaction. It allows farmers to have access
to more demanding markets, which makes a great contribution to business manage-
ment. In this sense, it is possible to foresee the development of brands that sell
concepts, not just products, broadening the potential contents associated with good
agricultural practices.
Public policy that encourages agroecology practices among rural producers in the
Cantareira System EPA Decree No. 66,508 was published on February 15, 2022. It
regulates Law No. 16,684 of March 19, 2018, and institutes the São Paulo State
Policy on Agroecology and Organic Production – SPAOP/SP (São Paulo 2022). The
aim of this legislation is to stimulate the development of agroecology and organic
production in the state of São Paulo. SPAOP/SP is in the regulatory phase and will be
implemented at the state level in cooperation with the union, municipalities, civil
society organizations, and other private entities. For its implementation, agreements,
partnerships, and cooperation terms with public and private entities may be signed to
stimulate the involvement of current agroecology producers and attract other inter-
ested parties. It is clear that the raising of the population’s awareness of the
importance of transitioning to agroecology has gained another evolutionary level
and that the approval of public policies strengthens qualitative changes as alterna-
tives to the hegemonic pattern of food production in the federative units of the
Brazilian national territory.
The Rural Space in the Municipality of Piracaia: São Paulo State,

Brazil
In order to present the characteristics of the rural area of Piracaia, the census data
obtained in LUPA-CATI-2018 (São Paulo 2019) was analyzed and systematized
based on data analysis of the rural productive structure collected in 2017.
According to this source, the municipality had 899 agricultural production units
(APUs), and 766 (85%) of them had areas of up to 50 ha. An APU is defined as a
set of contiguous agricultural properties belonging to the same owner(s), located
entirely within the same municipality, including the urban perimeter, with a total
area equal to or greater than 1000 m2 (0.1 ha) and not intended exclusively for
leisure (São Paulo 2019).
In the municipality in the range of up to 10 ha, there were 380 APUs, representing
42% of the total; above 10 to 50 ha, there were 386 APUs, representing 43% of the
total; above 50 to 100 ha, there were 80 APUs, representing 9% of the total; and
above 100 to 1000 ha, there were 53 APUs, representing 6% of the total (Fig. 2a, b).
The graphs above (Fig. 2a, b) represent the distribution of APUs in distinct size
extracts and the area occupied by the total of APUs of each extract. The graph shows
that concentration of the largest portion of the municipality’s area is restricted to a
few large APUs. APUs of up to 50 ha, represented by the colors blue and brown
account for 85% of the total units, but share only 48% of the land in the municipality
of Piracaia. On the other hand, APUs larger than 50 ha, colors gray and orange,
represent 15% of the total and occupy 62% of the municipality’s soil. This indicates a
significant concentration of rural areas in a few properties.
Among the main crops, Brachiaria grass stands out and is cultivated in
699 APUs. Eucalyptus is cultivated in 384 APUs. Corn is harvested in 222 APUs;
and other pasture grasses are cultivated in 197 APUs. Other crops such as Napier
grass, sugarcane, and domestic orchards are cultivated in 62, 55, and 50 APUs,
respectively. There is an expressive diversity of cultures in a small number of APUs.
These include agricultural crops such as coffee, beans, guava, lemon, cassava,
sorghum, and grapes.
Fig. 2 (a) Number of APUs. (Source: the authors based on data from the Department of Agricul-
ture and Supply, CDRS/IEA, LUPA Project – available at: www.cati.sp.gov.br/projetolupa/ (São
Paulo 2019)). (b) APU areas. (Source: the authors based on data from the Department of Agriculture
and Supply, CDRS/IEA, LUPA Project – available at: www.cati.sp.gov.br/projetolupa/ (São Paulo
2019))
Figure 3a, b shows the characteristics of land use in the Piracaia APUs. Pasture
areas are present in almost all APUs and are spread over a large area of the
municipality. These pastures are planted mainly with Brachiaria grass. Brachiaria
Fig. 3 (a) Land use per APU. (Source: the authors based on data from the Department of
Agriculture and Supply, CDRS/IEA, LUPA Project – available at: www.cati.sp.gov.br/projetolupa/
(São Paulo 2019)). (b) Land occupancy by area. (Source: the authors based on data from the
Department of Agriculture and Supply, CDRS/IEA, LUPA Project – available at: www.cati.sp.gov.
br/projetolupa/ (São Paulo 2019))
pasture is present in many deforested areas. Other important forms of land use are
reforested areas. These areas are often reforested with eucalyptus. Eucalyptus creates
a problem for conservation of water resources and for native vegetation.
In terms of animal husbandry, the municipality has 528 APUs used for mixed
cattle, 409 APUs dedicated to equine farming, 114 APUs dedicated to poultry, and
97 APUs dedicated to raising swine.
In regard to work in the APUs, 552 have family members working in the
production units, 313 APUs have permanent workers, 182 APUs have owners and
family members who work in the APUs, and 123 APUs have permanent wage
workers. According to the collective organization data that was analyzed (São
Paulo 2019), in 73 APUs rural producers are associated with agricultural coopera-
tives, in 39 APUs rural producers are associated among themselves and in 77 APUs
they are union members.
According to information from the IBGE Municipal Agricultural Production, in
2015, 2500 t of sugarcane, 555 t of corn, 520 t of tomato, 250 t of orange, and 240 t
of peach were produced (São Paulo 2019).
Regarding the management practices shown in Fig. 4, there are a predominance
of organic fertilization followed by mineral fertilization and an increase in the use of
soil conservation practices and the use of green manure.
With regard to organic production, the Bragança Paulista Rural Development
Office (RDO), which includes the municipality of Piracaia, had 16 organic produc-
tion units in 2004, in an area of 53.40 ha (Camargo et al. 2006). As of 2012, a rural
producer who had already been working with organics in the Campinas Metropolitan
Region and later moved to Piracaia, together with other local producers, created the
“Piracaia Orgânica (Organic Piracaia)” label, initiating the transition to organic
production in some of the rural area’s properties (Donaton 2018).
Among the municipalities that make up the Cantareira System EPA, the largest
number of landowners involved in agroecology production is found in Piracaia.
This fact has created a need for a more detailed analysis of its performance in
Fig. 4 Soil management practices. (Source: the authors based on data from the Department of
Agriculture and Supply, CDRS/IEA, LUPA Project – Available at: www.cati.sp.gov.br/projetolupa/
(São Paulo 2019))
agroecology and organic production, as well as the possibility of being used as a

pole to diffuse agroecology actions both regionally and to other areas in São Paulo
State and Brazil.
Agroecology and Water Resource Conservation in the Municipality

of Piracaia
According to Donaton (2018), Piracaia Organic Association (POA) was founded in

2012 by producers and consumers of organic foods. With the creation of this associ-
ation, not only rural producers but also other residents of the municipality of Piracaia
acquired a space for interaction. This helped the institution to expand its membership
and its actions. Among the main projects that were developed was a project to elaborate
and install a rural producer’s farmers market. The development of the Piracaia Organic
Seal was another POA initiative. It is used for various organic products and for other
products that support the sustainability of food production processes.
Among actions described by organic producers in Piracaia, the concern with
preservation of the environment of their properties and the recovery of degraded
areas through planting native seedlings to preserve springs is especially important.
Some producers participate in the Mina d’Água Municipal Program. This program
promotes the protection of the springs of public water sources through economic
incentives for voluntary policies that reduce deforestation and stimulate environ-
mental protection.
The municipality of Piracaia was a pioneer in several forest restoration projects.
One of these was the Mina D’Água Municipal Project. This project was created to
compensate rural producers for preserving the springs within their properties. It also
implemented the Water Producer Project in Cantareira – Piracaia. This project
combined soil conservation actions with conservation and restoration of native
vegetation and also took into consideration rural sanitation. Owners participating
in the Cantareira Water Producer Project – Piracaia also participated in a Payment for
Environmental Services (PES) project. In this project they received financial com-
pensation for conservation and restoration of native vegetation.
The Mina D’Água Project is an example of Payment for Environmental Services
(PES) initiatives instituted by São Paulo State Government, in accordance with the
State of São Paulo Policy on Climate Change, established by Law n 13,798/09 and
regulated by Decree n. No. 55,947/10. The proposal is meant to determine method-
ologies and strategies for the implementation of Payment for Environmental Service
(PES) projects in the state of São Paulo, Brazil. Among its aims are conservation of
forest remnants, the recovery of riparian forests and springs, and the management of
forest remnants in areas located upstream from public water sources and indicated as
priorities for protection and recovery.
According to data obtained by the Registry of Agroecology Producers from the
Department of Agriculture and Supply of the municipality of Piracaia, in 2021,
16 producers were officially registered in an organic production system (Piracaia
2021). The producers cultivate a wide variety of agricultural products. Among these
are vegetables, especially lettuce, watercress, cabbage, cauliflower, carrots, onions,

tomatoes, and broccoli. They also cultivate herbs such as basil, rosemary, parsley,
chives, pepper, turmeric, and fruits such as bananas, lemons, blackberries, blue-
berries, and raspberries, as well as cassava, sweet potatoes, corn, and sugarcane, in
addition to honey, cow’s milk, goat’s milk, and various organic seedlings to meet the
demands of other producers.
Other information sources refer to different numbers of agroecology-based agri-
culture practices in Piracaia. According to Donaton and Hespanhol (2016) and
Donaton (2018), Piracaia municipality had 60 producers producing in sustainable
production systems. Among these, three were officially certified by the Participatory
Guarantee System (PGS) of the Natural Agriculture Association of Campinas (NAC)
in a process of participatory certification.
Donaton and Hespanhol (2016) and Donaton (2018) highlighted that several
actions in the area to restore degraded areas focus on the management of regional
water resources and restoration of degraded areas. Among these actions, agroecol-
ogy courses and actions for the replacement of native vegetation coverage are
important, as shown in Figs. 5, 6, and 7.
Fig. 5 Scene 1 of an agroecology and agroforestry course – preparing and planting native
seedlings. (Source: Reproduced from photos by Jhony Arai with his permission, 2021)
Fig. 6 Scene 2 of an agroecology and agroforestry course – preparing and planting native
seedlings. (Source: Reproduced from photos by Jhony Arai with his permission, 2021)
Figures 5, 6, and 7 show the presence of degraded areas without native vegetation
cover and areas where there is a lot of eucalyptus (in the background of the images).
Restoration of these areas preserves springs and conserves water resources. This is a
contribution of agroecology.
Figures 8, 9, and 10 represent agroecology and biodiverse agroforestry systems
that have been implemented in the Sítio Família Orgânica (Farm Organic Family),
located in Piracaia since 2012.
Figures 11 and 12 show the increase of tree cover in rural properties in Piracaia
that have implemented projects using agroecology approaches. These are mainly
located in permanent preservation areas (PPA) along watercourses and help conserve
water resources.
Agroecology and Water Resource Conservation in Piracaia

Municipality: Strengths and Weaknesses from the Viewpoint
of Agroecology Producers
In order to verify and analyze the strengths and weaknesses of agroecology in

Piracaia, five rural producers, representatives of sustainable agriculture organiza-
tions in the municipality, were interviewed.
Fig. 7 Scene 3 of an agroecology and agroforestry course – seedling planting completed. (Source:
Reproduced from photos by Jhony Arai with his permission, 2021)
Among the perceived agroecology strengths in the municipality of Piracaia,

aspects related to climate, the presence of remnants of natural vegetation – Atlantic
Forest and Brazilian Savanna (Cerrado) – and the water richness of the region that
favors the use of water for irrigation were perceived as essential elements that
facilitated a transition to agroecology. There was an absence of large monoculture
production landholdings that use pesticides intensively in the area. Instead, a pre-
dominance of small properties which contribute to agroecology processes and
organic production was found. The smooth undulating relief confers two important
attributes. These attributes explain the maintenance of high levels of family farming
that are present in the municipality. On the one hand, this topography allows the
satisfactory cultivation of a wide range of agricultural activities and agricultural
products. On the other hand, it hampers the mechanization of large areas, reducing
the risk of land concentration with extensive cultures and favoring the permanence
of family farming in small rural establishments. Even so, there are expressive areas
of eucalyptus monoculture and extensive areas of degraded pastures in the munic-
ipality. These areas call for environmental restoration processes and the adoption of
agroecology practices in order to diversify and expand production in these areas. A
positive aspect found in these consultations was the proximity to large consumer
centers (São Paulo and Campinas Metropolitan Regions) and tourist activities. This
Fig. 8 Corn planting between the rows of the agroforestry system (AFS). (Source: Reproduced
from photos by Dercílio Aristeu Pupin with his permission, 2021)
proximity guarantees a broad and constant consumer market for agroecology

products.
Among the potentialities and strengths is the possibility of producing laminar
composting using urban solid waste from a population of about 20,000 inhabitants in
the urban area that could be used in vegetable gardens and agroecology production.
Another possibility could be the implementation of a center for the production of
native fruits to produce jams, juices, and other food products attractive to tourist
activities.
An extremely important factor for the vitality of local agroecology is the auton-
omous movement of civil society in the municipality. A search for quality of life, in
its broadest sense, was identified. According to the interviewees, it is impossible to
forget that agroecology has a direct relationship with human rights because it
highlights the social function of land: that people should not be exploited and have
a right to pesticide-free food and fair market prices. The interviewees emphasized
that a large part of the population is already open and attuned to the pursuit of these
rights and as the municipality does not have an economic hegemony in agribusiness,
the door to dialogue and innovative experiences is open. For producers, it is
necessary to remember that Piracaia still has an important part of its population in
rural areas and that the principles of agroecology strengthen the family production
systems of the municipality.
Fig. 9 Corn planting interspersed with bananas and restored area in the background. (Source:
Reproduced from photos by Dercílio Aristeu Pupin with his permission, 2021)
Fig. 10 View of the forest in formation in the background of the agroforestry system (AFS).
(Source: Reproduced from photos by Dercílio Aristeu Pupin with his permission, 2021)
Fig. 11 Aerial view of rural properties without forest restoration. (Source: Google Earth “Map data
© 2022 Google” Maxar Technologies CNES/Airbus – Available at: https://earth.google.com/web/
search/Piracaia,+SP 2007)
Fig. 12 Aerial view of properties with forest restoration. (Source: Google Earth “Map data © 2022
Google” Maxar Technologies CNES/Airbus – Available at: https://earth.google.com/web/search/
Piracaia,+SP 2020)
Another important aspect in the municipality is the considerable presence of new

rural inhabitants (Novos Rurais). This is a sociological category of people from
urban areas who have migrated to rural areas as a result of important changes in their
lives. They are people who have lived part of their lives in cities but have decided to
return or migrate to rural areas, bringing with them their knowledge and values from
the places where they have lived (Venturi 2020). The search for better quality of life
has led to a growing number, although still not very expressive, of people from the
city seeking new ways of life in rural areas.
The new rural inhabitants bring with them knowledge that is different from the
knowledge of traditional rural dwellers, and they bring about changes in places that
go beyond the boundaries of their properties. The new rural inhabitants bring
contributions and experiences aimed at creating a sustainable world. They are part
of a social segment that are highly educated and have personal projects dedicated to
ecological and sustainability issues. This brings a new vision to rural spaces.
Although most of the time they don’t have much practical experience in these
matters, they bring theoretical and reflective perceptions that contribute to the
realization of socio-environmental projects in agroecology, forest restoration, and
conservation of water resources. They also bring a demand for new agricultural and
ecological research and intensively promote spaces for exchanging experiences.
The great advantage of this situation lies in the possibility of forming an agricul-
tural culture with a new vision of the rural world: a vision that isn’t based only on the
traditional model of exploitation of nature, but instead strives for a world where there
are more balance, greater biodiversity, and more preservation of water resources and
is in line with fundamental rights to healthy food, fair work, and community
formation. These aspirations are not considered much in traditional agricultural
culture. According to the interviewees, this new rural group brings a desire for
commitment for social transformation not only to their land but for long-term
changes in public policies as well.
The incorporation of agroecology principles results in a more comprehensive
systemic vision that values family farming, biodiversity, and the conservation of
natural resources. Within this movement, there are several approaches and method-
ologies. These include permaculture, biodynamic agriculture, and natural, regener-
ative, syntropic, organic, and agroforestry agriculture. These terms are still quite
unknown to old communities in the countryside.
Among the potential improvements guiding the municipal management of
Piracaia/SP are the São Paulo state certification processes such as the Green and
Blue Municipality programs, Municipalities of Tourist Interest program, and the
Municipality Agro program. The environment, tourism, and agriculture sectors, as
well as their respective municipal councils, are working in a coordinated way to
elaborate public policies and planning with common goals.
As far as weaknesses and fragilities are concerned, the producers that were
interviewed recognize that there is great resistance from those who are unaware of
the potential of agroecology who can’t yet see that agroecology is an effective plan
for the future of the planet already demonstrated by the seriousness with which
international organizations are analyzing scenarios for the next decades.
Another aspect found in these consultations was that some producers men-
tioned the lack of significant support from the municipal government for agro-
ecology projects. According to the interviewees, the government still has little
involvement with agroecology issues and doesn’t perceive them as a priority
strategy in rural development. It was observed, however, that this problem is
often linked to difficulties in communication and knowledge of actions carried
out by the municipal government. It is still difficult for some producers to
understand and adhere to agroecology production, and the need for projects that
provide financial support for planned actions is recognized. Local non-
governmental organizations that work with agroecology continue to seek internal
organizational infrastructure that allows them institutional autonomy to raise
external resources.
Respondents emphasized the challenges of being able to demonstrate that agro-
ecology is advantageous and that it is the future of agriculture. For this to happen,
there must be effort, perseverance, and dedication in finding spaces for action in the
local community. Another challenge is the resistance of people already experienced
in conventional agriculture, who need to “see it to believe it” and want concrete
examples. Traditional farmers are unimpressed by theories and words. This is why
the agroecology movement in Piracaia has a challenge ahead and needs to concretely
demonstrate the feasibility of an agroecology transition.
It also became clear that new rural inhabitants need to conquer their space by
acquiring actual physical spaces because the vast majority don’t yet own land, nor do
they have sufficient experience to gain the attention of older farmers. Their knowl-
edge remains theoretical with few practical examples of success or results in terms of
production and sustainability. However, they perceive this as a question of condi-
tions, opportunities, work, and time.
In addition to the confrontation between traditional culture and the new emerging
agriculture, the municipality of Piracaia (like others in the Cantareira System EPA) is
marked by intense real estate speculation in rural areas, where rapid returns are
sought with no thought of environmental preservation, population health, commu-
nity, and long-term projects. Thus, the intense process of dispersed urbanization and
approvals for building great numbers of condominiums in the rural area are also seen
as difficulties to be overcome.
This is a situation where the knowledge and political will of new rural inhabitants
can be effective, especially through the concrete examples of collective experiences
like eco villages and agroecology villages that are beginning to gain strength in the
municipality and throughout the region. It has also been observed that new rural
people have actively participated in municipal councils in recent years. This partic-
ipation has mainly taken place in the Municipal Environmental Council
(COMDEMA) and has made a great difference in the achievements obtained in
the municipality.
Conclusions
Based on the systematization of the information that was collected, water security
was again verified as an extremely important factor in integrated water resource
management, protection, and restoration of ecosystems in the Cantareira System
Environmental Protected Area. We observed that actions have been carried out to
ensure environmental adequacy in regional water resource areas of influence in order
to collaborate with sustainable guidelines in municipal development that are inte-
grated with conservation of Atlantic Forest remnants.
It was observed that involvement of the local population is essential for environ-
mental conservation to be carried out compatibly with the agricultural activities that
exist in this conservation unit. From this perspective, involvement in agroecology
practices in rural communities located in the Cantareira System EPA, especially from
the residents of Piracaia, has brought contributions to the conservation of regional
water resources.
Thus, the agroecology actions of rural landowners in Piracaia have contributed to
the conservation of water resources, the implementation of the Sustainable Devel-
opment Goal 6 (SDG 6), and the recovery of degraded areas, and actions directly
related to the implementation of agroecology projects that have enabled sustainable
agricultural production are evident. Training programs with courses aimed to intro-
duce sustainable agriculture and policies for environmental services payment are
also important factors in achieving these goals.
In the past few years, the benefits shown from agroecology practices have made it
possible to conduct extensive and continuous courses on good agricultural practices
and environmental education in Piracaia and other municipalities in the Cantareira
System EPA. These courses take into consideration the region’s socio-environmental
characteristics, promote environmental conservation, and allow the adoption of
practices capable of transforming the local and regional reality. These activities
will be maintained and improved.
There is a clear perception of members of nongovernmental organizations in
Piracaia of the importance of presenting projects in public notices and other sources
in order to obtain the means to strengthen local agroecology. Despite this need, the
bureaucratic structure of these institutions still lacks adequate organization for this
purpose. There seems to be a need to support these entities in acquiring organiza-
tional structure and the expertise necessary to be successful in obtaining resources
and managing projects.
The interviews revealed restrictions in the role of the Piracaia municipal govern-
ment in taking action to strengthen agroecology. Despite these restrictions, because
of the powerful demands of social movements greatly influenced by the actions of
new rural inhabitants, municipal governance has made material and human
resources available for projects compatible with demands for sustainable agriculture
that reconciles agricultural activities with environmental conservation.
The participants described motivations, stimulus, and limitations in relation to
project participation similar to the data presented by Anderson et al. (2021), Oberč
and Arroyo Schnell (2020), Oteros-Rozas et al. (2019), and Laluce (2018). The
motivation and desire to seek and implement ways to produce with as little water as
possible were met by implementing drip irrigation. Money was saved by not using
fertilizers and pesticides that contaminate and damage health, and there was
improvement in health. Another positive gain was improved food quality through
composting, green manuring, and saving native (criolla) seeds. The limitations and
weaknesses were the result of fluctuations in water supply due to climatic variations,
the use of pesticides in neighboring areas, producer’s lack of knowledge, doubts
about the agroecology market, and especially from a fear of change that occurs in the
transition process.
It was once again observed that in order to promote sustainability in the
Cantareira System EPA, the participation of the population, the dissemination of
information on sustainable management of water resources in all of its dimensions,
and the implementation of processes that have an agroecology approach are essen-
tial, in spite of the limitations and weakness mentioned.
According to Jeanneret et al. (2021) during the development of agroecology
projects, certain lessons were learned. The implementation of agroecology systems
requires interdisciplinary collaboration, a need to acquire new knowledge, and an
understanding that new questions will arise along the way. Agroecology also
depends on context knowledge, and practices need to be qualified both locally and
regionally into an environmental, economic, social, cultural, and political context
(Jeanneret et al. 2021). To the author (Jeanneret et al. 2021: 2245), this approach
requires a joint process carried out by diverse people and groups, such as farmers,
scientists, advisers, enterprises, NGOs, and other local or regional organizations after
a first initiative by one or the other group. This participatory approach also allows
knowledge to flow between different stakeholders, and the goal is that individual
farms will benefit from being in the vicinity of other agroecology farms (Jeanneret
et al. 2021: 2246).
From this perspective the following lessons and steps mentioned by Jeanneret
et al. (2021: 2246), and incorporated into this project process, can help in the
development of similar projects:
• The development of agroecology management built on a transdisciplinary, participatory,

and multi-actor conceptual framework that stimulates ideas and new practices
• Identify regional cores of farms that can become agroecology lighthouses and that
establish a network committed to testing and implementing agroecology management
strategies.
• Identify farmers’ needs and constraints in adopting agroecology management methods,
• Design and implement novel functional agrobiodiversity management strategies on
farms.
• Provide solutions for the removal of barriers that limit the translation of agroecology
management into practice.
• Farm-level observatories committed to monitoring progress made in farm networks
regarding the implementation of agroecology management strategies.
• Assess the performance of agroecology management strategies on the environmental,
economic, and social sustainability of farms.
• Disseminate best agroecology management strategies to all relevant stakeholders and

interested parties within the farm networks and beyond.
• Build new cores of farm networks based on lessons learned from agroecology light-
houses. (Jeanneret et al. 2021: 2246)
The trajectory initiated by the Agroecology Nucleus of the Sistema Cantareira

EPA, with a focus on the pilot municipality of Piracaia, can be considered successful
in identifying potentialities and vulnerabilities in the process of the municipal
agroecology transition. This journey is still in the initial stages of implementation
and in the diagnosis of the socio-environmental reality of the rural area of the
municipality. Promising possibilities have resulted from this effort for the elabora-
tion of an action plan and the implementation of initiatives that will consolidate
Piracaia as a reference for the other municipalities that make up the Cantareira
System EPA. As the action plan’s implementation to strengthen the agroecology
transition in Piracaia gets underway, representatives of the agroecology movement of
other municipalities that are part of this environmental conservation area will be able
to join these initiatives with the final goal of consolidating a Cantareira System
Agroecology EPA that is a reference for other EPAs that make up the East São Paulo
State Agroecology Network.
Based on the experience already underway, the diagnosis already carried out, the
limitations already detected, and the expectation for better results from the agro-
ecology project, a future action plan was outlined to identify agroecology producers
working in other municipalities of the APA Cantareira. These producers will be able
to report and describe their experiences, as well as take courses in agroecology and
learn about actions that allow for a more in-depth knowledge of the characteristics
and weaknesses of the regional environment in order to understand the potentials and
limitations of the environmental systems present in the APA of the Cantareira
System. This will lead to greater harmony between the physical, biotic, and human
environment.
Acknowledgments The authors would like to thank Jhony Arai and Dercílio Aristeu Pupin for
their permission and consent to the use of their photos (Jhony Arai, Figs. 5, 6, and 7, and Dercílio
Aristeu Pupin – Figs. 8, 9, and 10).
The authors would like also to thank Debra Barbarick from Sierra Water Protectors, Auburn,
California, USA, for the translation support.
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Coredes Alto Jacui and Producao: Spatial
Distribution of Public Green Areas
Julia Bronzatti Jochims, Natalia Hauenstein Eckert,

Claudio Renato de Camargo Mello, Juan José Mascaró, and
Gabriela Alexia Winkelmann de Souza
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1258
Characterization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1258
Public Green Areas and Sustainability Indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1260
Public Green Areas in Medium-Sized Cities in Rio Grande do Sul . . . . . . . . . . . . . . . . . . . . . . . . . . 1263
Characterization of Cruz Alta and Passo Fundo . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1266
Green Areas in Cruz Alta and Passo Fundo . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1267
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1269
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1273
Abstract
The Regional Development Councils, Coredes, play a relevant role in the urban
development process in the southern region of Brazil, impacting the quality of
urban life by working with actions that encourage the harmonious and sustainable
progress of the cities. Its idealization occurred in 1994 with the objective of
promoting the creation of initiatives aimed at regional development. The division
of the Regional Councils was based on the geographical proximity of the regions
and their similar socioeconomic characteristics. Thus, the Producao and Alto Jacui
Councils are highlighted in this process in the Northwest of the Rio Grande do Sul
state. The present chapter of reference nature aims to make a comparative parallel
of the spatial distribution of green areas between two medium-sized cities in the
state, Cruz Alta and Passo Fundo, belonging to their respective Coredes. The
J. B. Jochims (*) · N. H. Eckert · C. R. de Camargo Mello · G. A. W. de Souza

Universidade de Cruz Alta – UNICRUZ, Cruz Alta, Brazil
e-mail: jbjochims17@gmail.com; eckert@unicruz.edu.br; cmello@unicruz.edu.br;
gabriela.alexia@sou.unicruz.edu.br
J. J. Mascaró
Universidade de Passo Fundo – UPF, Passo Fundo, Brazil
e-mail: juan@upf.br

https://doi.org/10.1007/978-3-031-16017-2_102
1258 J. B. Jochims et al.
research intends to obtain as a result an analysis of the green area indicator, which
reports the general characteristics of the public green areas, analyzing the process of
reduction of green areas and, consequently, the removal of the population of the
daily contact with nature, especially in public leisure places, therefore contributing
for the urban spatial organization to be more democratic and heterogeneous.
Keywords
Coredes · Public areas · Physical diagnosis · Regional development · Green area
indicator · Public spaces · SDGs · Rio Grande do Sul · Cruz Alta · Passo Fundo
Introduction
This chapter, which theme is based on the Regional Development Councils of the
state of Rio Grande do Sul (Coredes), especially Alto Jacui and Producao, has the
intention to make an analysis of the public green areas of the studied municipalities,
Cruz Alta and Passo Fundo, thus generating a physical-territorial diagnosis of the
studied public green areas, describing their main legal characteristics, and reporting
the green area indicator (GAI) of these places.
Rio Grande do Sul, situated in the southern region of the Brazil and with 11.4
million inhabitants, is the ninth largest state. It has an expressive economy, being the
fourth largest in the country with an outstanding social scenario, presenting satis-
factory gross domestic product (GDP) and Human Development Index
(HDI/UNDP). It has a subtropical climate with the four seasons of the year well
defined and fields with prevalent vegetation and dense surface hydrographic network
(Rio Grande Do Sul 2017).
Coredes are planning regions created in 1994, aiming at the promotion of
harmonious and sustainable regional development, through the integration of
resources and government actions in the region. In view of its implantation, the
need to elaborate strategic plans on a regional scale was established. Its realization
allowed a way to debate about the aspects that define a certain region, such as
politics, economy, and population. Thus, it is possible to design new projects and
analyze the different sectors of action in these municipalities, as well as stimulate the
interaction of the belonging population and the technical staff on top of these issues
(Atlas FEE 2017; Rio Grande do Sul 2017).
Characterization
Coredes, currently divided to 28 regions, has guidelines that aim to improve the
quality of life of the population, to have a more balanced distribution of the produced
wealth, and to stimulate the permanence of man in his region and the preservation
and recovery of the environment. In this context, two Coredes that stand out are Alto
Jacuí and Produção (Atlas FEE 2017).
Coredes Alto Jacui and Producao: Spatial Distribution of Public Green Areas 1259
Corede Alto Jacuí is located in Planning Functional Region 8 and has a total
population of 160,812 inhabitants in an area of 6893.8 km2. The largest city in this
Corede is Cruz Alta with 62,821 inhabitants, followed by Não-Me-Toque, Salto do
Jacuí, and Ibirubá with populations between 10 and 20 thousand inhabitants. The
remaining ten municipalities, such as Boa Vista do Cadeado, Boa Vista do Incra,
Colorado, Fortaleza dos Valos, Lagoa dos Três Cantos, Quinze de Novembro,
Saldanha Marinho, Santa Bárbara do Sul, Selbach, and Tapera, are small, with
populations below 10,000 inhabitants (Rio Grande do Sul 2015a).
Alto Jacuí presented a population emptying in the period 2000–2010 with a
growth rate of 0.31% per year. The largest population losses are in the rural area,
indicating a rural exodus with 84% of the inhabitants in urban areas and 16% in rural
areas. Besides this, it presents changes in its age structure following a worldwide
pattern, where there are a lower proportion of children and young people and a
greater participation of adults and elderly in the population composition. As well, it
presents one of the lowest densities in the state and a dispersed urban network, where
the two largest cities, Cruz Alta and Ibirubá, concentrate 71.25% of the total
population of this Council (Rio Grande do Sul 2015a).
Its economy is based on the industrial axis formed by the municipalities of
No-MeToque, Ibirubá, and Cruz Alta. It also stands out in the segments of machin-
ery, agricultural implements, cattle breeding, and grain cultivation. Thus, its GDP in
2012 was around R$5.1 billion (in reais which is the Brazilian currency),
representing 1.9% of the state total. The GDP per capita was R$33,258.00, placing
it in second position among the 28 Councils (Rio Grande do Sul 2015a).
The environmental conditions are limited to soils with high agricultural potential
and low environmental restrictions, besides the good availability of water resources
formed by rivers, streams, and a large collecting basin, the Jacuí River. However, the
water shortage is a reality in this Corede, due to the great periods of droughts in
recent years. Also, there is a need for preservation and recovery of the vegetation
cover of the hillsides and riparian forests to protect the springs (Rio Grande do Sul
2015a).
Corede Produção integrates the Functional Planning Region 9, with an estimated
population of 375,306 inhabitants in an area of 6002.8 km2. The main urban center is
Passo Fundo, with a population of 184,826 inhabitants, concentrating almost 50% of
the total population of this Council. It is followed by Carazinho with 59,317
inhabitants and Marau with 36,364. The other municipalities, Coqueiros do Sul,
Almirante Tamandaré do Sul, Ciríaco, Gentil, Coxilha, Santo Antônio do Palma,
Pontão, David Canabarro, Santo Antônio do Planalto, Ernestina, Mato Castelhano,
Vila Maria, Casca, Muliterno, São Domingos do Sul, Camargo, Vanini, and Nova
Alvorada, are small, with populations below 10,000 inhabitants (Rio Grande do Sul
2015b).
Despite the low population growth throughout the state, Produção is located in an
area of higher population density with an important connection point for the entire
north of the state with an average annual growth rate, during the years 2000–2010, of
0.77%, constituting the eighth highest rate among the 28 Coredes. In addition, four
municipalities grew above the state average: Marau (2.52%), Nova Alvorada
(1.44%), Passo Fundo (0.93%), and Vanin (0.50%). Even with this growth, several
municipalities show losses of rural population, where Passo Fundo was the only one
that showed a gain in rural population. Furthermore, the age behavior follows the
statewide pattern, indicative of the phenomena of decreasing fertility rate and
increasing life expectancy (Rio Grande do Sul 2015b).
The economic scenario is developed around the farming and livestock focused on
the breeding of poultry, pigs, beef, and dairy cattle, in addition to the production of
grains such as soybeans, corn, and wheat. The industry sector is linked to high
agricultural productivity, highlighting the segments of machinery and equipment
aimed at agriculture, livestock, and food manufacturing. Its GDP was R$10.9 billion
in 2012, which represented 3.9% of the state’s total. The per capita GDP of this
Corede was R$31,776.00, above the state average of R$25,779.00, which placed it
in third place among the other Councils (Rio Grande do Sul 2015b).
Like Corede Alto Jacuí, it has a varied availability of water resources with rivers
and streams of four collecting sub-basins: Passo Fundo-Várze and Apuae-
Inhandava, tributaries of the Uruguay Basin, and Alto Jacuí and Taquari-Antas,
tributaries of the Guaíba Basin. The territory has properties to dilute the waste from
farming and ranching activities, mainly in the form of fertilizer and pesticide
residues, as well as waste from animal husbandry. The region, as a large grain
producer, has a tendency to lose areas of natural vegetation, especially along the
waterways. Therefore, there is a need to preserve and recover the remnants of the
Atlantic Forest and its wildlife while also retrieving the vegetation on the slopes of
hills and the riparian forests to protect the soil from erosion (Rio Grande do Sul
2015b).
Public Green Areas and Sustainability Indicators
The Coredes were created with strategic objectives in the state government’s public
policy planning and implementation process, due to the constant concern regarding
territorial balance and the sustainable development of cities. The global focus on
sustainability is influencing planning theory as it should be the first guideline for
urban development. In this sense, it is necessary to reflect on the urban structure and
especially on the public green areas, considering that the discussion of environmen-
tal problems has become a mandatory theme in the city’s daily life in recent decades.
Thus, green areas have become the main agents of environmental defense due to
their degradation and the limited space that is destined to them in urban centers
(Loboda and De Angelis 2005; Rio Grande do Sul 2015a, b).
The National Council of Environment (CONAMA), in its resolution
No. 369/2006, defines these vegetated areas in urban places as “the space of public
domain that performs ecological, landscape and recreational function, providing the
improvement of aesthetic, functional and environmental quality of the city, being
endowed with vegetation and spaces free of sealing” (MMA 2022). Therefore,
“green areas” is a term that applies to several types of urban spaces that have in
common the fact that they are open, accessible, and related to health and active and
passive recreation and provide interaction of human activities with the environment
(Demattê 1997 apud Harder et al. 2006).
Since classical antiquity, the Greeks already represented the collective space of
the population and the exercise of citizenship in the squares of their polis. Thus, it
came to be understood as public space all places of public use that are accessible,
free, and not for profit. In addition to their physical designation, public spaces are
determining places for meetings and relationships, that is, for an active and dynamic
urban life (Pizzol 2005). Since the early twentieth century with the spread of urban
parks in industrialized cities and later with the definition of German urbanism in the
1970s, it was already evidenced that public spaces would bring a comfort to urban
life, providing safe and accessible accommodations with interactive and efficient
spaces that ensure natural landscapes that were a sigh from the crowded and hectic
urban routine (Ximenes et al. 2020).
In Brazil, with the intensification of the urbanization process in the 1950s, urban
parks were introduced with an ecological, aesthetic, and leisure function (Pizzol
2005). The industrialization in Brazil between the 1940s and 1950s provided a new
urban scenario originating from this industrial process. This boost in urbanization
was further strengthened by the decline in coffee agricultural production, the imple-
mentation of labor laws, and the growth of the internal armed forces, thus generating
investments focused on infrastructure, such as energy, communication, transporta-
tion, drainage, and logistics. Urbanization was further intensified in the 1960s, when
rural areas were abandoned, leading to the concentration of the Brazilian population
in urban areas, which lacked the urban planning needed to meet the infrastructure
demands. Until 1980 Brazil went through an accelerated process of population
growth, where Brazilian cities were transformed with the increase of automobiles,
appliances, and urban waste (Rocha 2016).
Urbanization is expected to have a positive effect on poverty reduction; however,
when it accompanies fragile economic growth and the absence of public policies, it
is likely to result in a concentration of social inequalities. Therefore, urban exploi-
tation is a common feature of the cities of the twenty-first century, which present
accelerated irregular growth in areas unfit for habitation. Still, the main causes of
urban unsustainability are linked to the inappropriate dynamics of urban expansion,
characterized by the expulsion of the urban population in vulnerability from central
areas to peripheral areas. This context represents the relationship of urban sustain-
ability with the performance of cities in Brazil and other underdeveloped countries,
where the problems encompass the depletion of natural resources, the growth of
social imbalance, and the concentration of income (Rocha 2016).
Currently, contemporary urban expansion is focused on modernist urban theories
that encourage a dispersed occupation model, where areas have a low population
density that spreads throughout the city. Such planning model demands greater road
structure by stimulating the distance between the main roads and the buildings,
generating vehicle leases for long distances, and total impacts caused by pollution
(Rocha 2016).
The moment of structural crisis of Brazilian cities due to accelerated urbanization
and economic, political, social, and cultural problems demands that these areas
become priorities in the systems that form the urban organism. It can be said that
cities that qualify their green areas advance toward urban environmental sustainabil-
ity. In addition, the distribution of public green areas contributes to the achievement
of the 17 Sustainable Development Goals (SDGs) of the 2030 Agenda, framed in the
thematic goal 11, Sustainable Cities and Communities, where it seeks to “by 2030,
reduce the negative environmental impact per capita of cities, providing universal
access to safe, inclusive, accessible and green public spaces, particularly for women
and children, older people and people with disabilities” (Loboda and De Angelis
2005; SDG Brazil 2022).
This is due to the benefits that these areas can provide to the city and its
population, such as combating pollution through the process of photosynthesis,
regulating humidity and air temperature, maintaining soil permeability, protecting
against erosion, and reducing noise levels inherent to urban spaces. Besides the
management of an adequate urban microclimate, green areas are an indicator of
quality of life that encompasses a whole social, economic, and psychological
complexity of people living in cities (Maia et al. 2020).
The SDGs are part of a global process, coordinated by the United Nations (UN), in
which governments, civil society, private initiative, and research institutions collaborate
to achieve the Sustainable Goals, whose aim is “economic development, the eradication
of poverty, destitution, and hunger, social inclusion, environmental sustainability, and
good governance at all levels, including peace and security” (SDG Brazil 2022).
The theme of sustainable development gained global relevance in 1987, during
the UN Summit, where the World Commission on Environment and Development
created the Brundtland Report. In view of this, a new way for civil society to deal
with environmental imbalances was created, since the environmental perspective
was understood as an expressive actor in the urban development process, especially
due to the social problems that surround it. Thus, several tools have been created that
can be used to achieve this sustainable development (Krama 2008).
Besides the performance of Coredes on a regional scale in Rio Grande do Sul, the
definition and analysis of Sustainable Development Indicators (SDI) in cities are
powerful instruments in this context. The SDIs generate a diagnosis in simplified
numbers that prove the sustainability performance, besides measuring and monitor-
ing in short, medium, and long terms the finite natural resources existing in an urban
environment. Although researchers and planning institutes worldwide seek the
development of indicator models, there is no universal way to calculate the indices,
as they will be established from the need of the research and may vary between
environmental, economic, and social aspects (Krama 2008; Rocha 2016).
In Brazil, the indicators gained notoriety in 2002 with the Brazilian Agenda
21, where public policies were created based on participatory planning by the state
aimed at sustainability. Thus, in the same year, the Brazilian Institute of Geography
and Statistics (IBGE) launched the SDI, based on the example of the UN Commis-
sion for Sustainable Development. Moreover, the Sustainable Cities Program (PCS),
created in 2012, offers SDI tools and methodologies that support public management
and urban planning based on its 12 thematic goals that are aligned with the SDGs
(Sustainable Cities 2022; Krama 2008).
One of the SDIs defended by the Sustainable Cities Program and encompassed by
the environmental goal of the program is the green area indicator (GAI) that relates
the number of green areas to the population distribution. In Brazil, according to
IBGE (2010), 85% of the population resides in urban areas. In view of this, the
World Health Organization (WHO) recommends a minimum of 12 m2 of green area
per inhabitant. However, for Latin America and the Caribbean, WHO declares an
ideal value of 9 m2/inhabitant, while the Brazilian Society of Urban Afforestation
(SBAU) proposes as a minimum index for public green areas for recreation the value
of 15 m2/inhabitant (SBAU 1996 apud Harder et al. 2006).
Some cities seek to increase their indicators by placing all non-built space as green
areas and considering the projection of tree tops onto sidewalks. Therefore, Nucci
(2001) suggests that the GAI should consider only the public green areas located in the
urban area and linked to the direct use of the population residing in that area. As well,
in the analysis of a green area, one must consider not only its space but also the
quantity, diversity, condition, and disposition of the vegetation, the surroundings,
accessibility, the percentage of permeable area, the social function, and the recreation
and leisure equipment (Cavalheiro and Nucci 1998 apud Harder et al. 2006).
Given the fundamental assumption that is understood as the indicators, the
present work seeks to recognize the supply of green areas from the calculation of
the GAI in two medium-sized cities of different Coredes in Rio Grande do Sul,
creating a parallel between the spatial distributions of these areas. Therefore, the
objects of this research are only the public green areas recognized by the municipal
law of the localities. For this, it is necessary to understand the conjuncture of these
public green areas in medium-sized cities, such as Passo Fundo and Cruz Alta,
through the literature review presented in this chapter.
Public Green Areas in Medium-Sized Cities in Rio Grande do Sul
In contemporary times, the emergence of most of the public green areas occurred
from legal requirements coming from processes of new subdivisions of urban land,
whose condition is imposed by the public administration of a donation of a percent-
age of this allotted area to the municipality itself. Therefore, the analysis of the
relations between urban legislation and the creation of public spaces constitutes an
important interpretation for understanding the physical structure of Brazilian cities
(Alberto and Rodrigues 2018).
Urban legislations encompassing planning guidelines in Brazil are relatively
recent. From the Brazilian Federal Constitution of 1891, it was defined that Brazilian
cities have their autonomy to legislate for the interest of the use and occupation of
urban land, consequently demanding larger areas for the implementation of public
facilities in the new land subdivision regimes. These areas were intended for official
roads, institutional areas, and green areas that became common use goods. Thus,
well before more effective federal laws, several cities established their own laws
having as reference what occurred in capital cities such as Sao Paulo and Rio de
Janeiro (Alberto and Rodrigues 2018; Rocha 2016).
The first urban legislation at federal level that is in force until today is Law
No. 6.766 of 1979, which stands out for its impact on the formation of public spaces
in Brazilian cities, to the extent that it directly influenced the municipal laws because
of the adoption of new basic urbanistic parameters for subdivisions and urban
displacement. The same Law orders the urban land subdivision, in an attempt to
ensure the regular and sustainable urban occupation, not only befitting the popula-
tion but also to the environment (Gerdenits et al. 2013).
In this sense, it is understood that the areas intended for public spaces are closely
related to the process of land division through this legislation, demonstrating expres-
sive potential for improving the supply of these areas that would be able to contribute
to the reduction of urban inequalities. Inequalities occur due to the disorderly
occupation of the land, reducing not only the quality of life of its inhabitants, but
in many cases making impossible the possibility of minimum conditions of dignified
survival, such as municipal health, education, and employment (Gerdenits et al.
2013).
Therefore, the set of rules imposed by Law No. 6.766 defines a minimum
percentage of 35% of the land to be developed, destined for the road system,
green and institutional areas. However, the normative was changed by federal Law
No. 9.785 of 1999, which left it up to the municipalities to define the percentage of
green and institutional areas in new subdivisions, which also should take into
consideration the proportionality of public areas with the population density of the
subdivision (Gerdenits et al. 2013).
Despite Law No. 6766 being a great national reference in the requirement for
larger areas of urban circulation, equipment, and public free spaces, in recent
decades there has been a revision that required the creation of municipal master
plans, after being observed the need to update municipal legislations (Alberto and
Rodrigues 2018). Within this context, the urban development policy becomes the
exclusive responsibility of the municipality facing its plans, having as primary
objective to plan and order the development of the social functions of the city and
ensure the welfare of its inhabitants (Gerdenits et al. 2013).
Subsequently, the Brazilian Federal Constitution of 1988 established the obliga-
tion of formulation or revision of master plans for municipalities with more than
20,000 inhabitants or members of metropolitan regions. Thus, the master plan
became the main urban planning tool within Brazilian cities (Rocha 2016).
According to Gerdenits et al. (2013), the master plan is a basic tool that has as its
main function to order the city, therefore being a powerful instrument of urban
development policy due to its mechanisms that enable the participatory process of
the population (Alberto and Rodrigues 2018).
The interactive factor existing only in the process of construction and alteration of
master plans, through debates and public hearings, is one of the most notorious
advantages of this instrument given the social, environmental, and public health
relevance reserved for public green areas within municipalities. Therefore, it should
be advocated that the ideal percentage of municipal green areas be defined through
the participatory role present in the master plan, a fact that does not occur in the
formulation of the ordinary and complementary laws of land subdivision in different
spheres, so that, in this way, greater control and effectiveness of these areas is
established (Gerdenits et al. 2013).
In sequence at the federal level, the City Statute, federal Law No. 10.257 of 2001,
referred to public spaces as one of its objectives for the supply of urban and
community equipment suitable to the interests and needs of the population and
local characteristics. Although it does not encourage concrete actions, it is an
instrument that expands the defense of favorable guidelines for the creation of
these spaces in the cities. Like the master plan, the City Statute reinforces the
principle of the importance of public spaces in urban life (Alberto and Rodrigues
2018).
Later, in 2012, with the creation of the New Brazilian Forest Code, the permanent
preservation areas (PPAs) began to admit the use of low environmental impact, such
as the implementation of trails for the development of ecotourism and the interven-
tion of public infrastructure intended for sports, leisure, and outdoor educational and
cultural activities in these areas to enable activities of social interest. Among other
relevant provisions, the normative text assisted in the formation of contemporary
public space by enabling the use of PPAs for recreational purposes (Alberto and
Rodrigues 2018).
In this sense, CONAMA, in its resolution 369/2006, also provides about the cases
of public utility, social interest, or low environmental impact, which allow the
intervention or suppression of vegetation in PPAs. From the legal provision, these
natural spaces can be urbanized for the implementation of areas of public domain
(Benini and Martin, 2008). These urbanistic criteria become useful in the viable
development of cities by creating new possibilities of use for these areas that had
been donated to the municipalities. However, it is known that the laws and especially
the environmental legislation in Brazil are not always respected by economic and
real estate agents, public administrators, and the civil society itself (Maia et al. 2020).
In 2003 with the creation of the Ministry of Cities, it was planned to decentralize
urban and housing policies in order to integrate with the federal, state, and municipal
spheres, as determined in the previously mentioned requirements of the Constitution.
In addition, the Ministry of the Cities aimed at fighting social inequalities with the
purpose of collaborating to the transformation of the country amidst the increase of
urban spaces. The agency also promotes actions that guarantee access to housing for
a large portion of the population excluded from the city (Rocha 2016).
Thus, green and leisure areas should, by force of law, be required by the
municipality as a minimum requirement for subdivisions and land development
projects. The basis for the elaboration of these projects must contemplate a detailed
planning so that these areas do not add to the other problems of the city, eventually
being abandoned or occupied irregularly. This planning should contemplate the
population density, predominant age range, and potential of each neighborhood
area, in addition to afforestation, which must respect the biological needs of the
species and their coexistence within the urban perimeter (Gerdenits et al. 2013).
Therefore, the GAI calculation becomes fundamentally pertinent, where it is possi-
ble to adapt the percentage of public area to the occupation density or predict the
need for new areas for future subdivisions.
However, there is one factor to be particularly considered in green areas in Rio

Grande do Sul that is the existence of its own biome, the Pampa. It is located in the
southern half of the state, covering an area of 176,496 km2, forming 62.2% of the
territory of Rio Grande do Sul. The biome is characterized by a rainy climate with
mild temperatures in winter and is formed by fields, woodlands, riparian forests, and
swamps with rounded hills covered with herbaceous plants and shrubs. Its natural
ecosystems have a high diversity of plants and wildlife that promote fundamental
environmental services, such as the conservation of water resources, the availability
of pollinators, and the provision of genetic resources, besides being of great impor-
tance for livestock in southern Brazil (Boldrini et al. apud Echer et al. 2015).
Despite its significant role in the conservation of biodiversity, the Pampa is the
second most uncharacterized biome in Brazil, with only 40% of its original area
remaining. The main reason for this is its replacement by a matrix of agricultural
systems during the last decades, where there has been a process of loss and
fragmentation of the natural grasslands of the biome. It is similar to what has
occurred in the Amazon biome, with the presence of predatory actions that are
guided by an example of unbalanced development for economic and urbanization
purposes (Bacury de Lira et al. 2009 apud Matei and Filippi 2010).
In view of this, Federal Law No. 9985 of 2000 created the National System of
Conservation Units (SNUC), which aims to protect the areas considered conserva-
tion units (UCs). Given the legal assumption, the Brazilian green areas were
characterized according to their different specificities. These natural places of com-
munity living are characterized by being, exceptionally, the only areas protected
under the national legislation within the municipalities. However, it is the munici-
palities that still have the lowest number of registered UCs (MMA 2022).
The fact that the UCs do not relate to the interior of Rio Grande do Sul occurs
because the existing green areas in the state are more associated with squares and
gardens of colonial heritage, since most of the cities in Rio Grande do Sul arose and
developed disorderly, hindering the planned development of public areas. The
squares are the most commonly present elements in public spaces, because they
were the main pieces that organized the urban space during the colonial era. Since
they concentrate the most important buildings in the cities, such as churches,
government palaces, legislative chambers, and forums, they became composed to
serve as a multifunctional urban area for the main movements of the population at
that time. Although there is no comprehensive legislation of these places, today these
spaces form an exponent in the preservation of architectural ensembles of colonial
cities, allowing current inhabitants to understand their origin and the transformations
of the last centuries (Caldeira 2010).
Characterization of Cruz Alta and Passo Fundo
Cruz Alta (28 380 1900 S 53 360 2300 W) is a municipality of 1360 km2 with
72 neighborhoods in the northwest of the state, about 350 km from the capital,
Porto Alegre. The city has a subtropical climate with the presence of the four well-
defined seasons and regular distribution of precipitation throughout the year. Its
vegetation is generally low growing, with large extensions of fields and wild forests
with “capões” and sandbanks. Its soil is composed of fine to coarse sandstones and
rare conglomerates. The population of the municipality is 62,821 inhabitants, where
56,106 reside in the urban area and 2098 in the rural area. Therefore, it has an
urbanization rate of 89.31% and a demographic density of 46.18 inhabitants/km2
(IBGE 2022a).
Cruz Alta is one of the oldest cities in the state with expressive historical value. Its
urban development took place from 1881, when the centrality began to expand
notably in its vertical axis. In 1994, this expansion turned more to the northwest
direction of the city, generating disorderly growth, infrastructure problems, and
insufficient urban organization. Currently, the city is in full development with
urban expansion prediction (Nogueira 2010).
The city of Passo Fundo (28 150 4600 S 52 240 2500 W) is located in the northern
part of the state, 289 km from the capital, with 783.4 km2 and 65 neighborhoods. The
vegetation is predominantly open fields with native forests of the subtropical forest
type with species of pines and conifers. The soils are derived from basaltic spill, being
deep, well drained, and clayey. Its population is 184,826 inhabitants, of which 180,120
live in urban areas and the remaining 4706 in rural areas, constituting an urbanization
rate of 97.45% and a demographic density of 235.92 inhabitants/m2 (IBGE 2022b).
Passo Fundo has undergone an accelerated process of urbanization since the
1970s with a significant increase of 80% of the population, despite having suffered
a reduction of about 225% of the territory since then, due to the emancipation of
smaller municipalities. This process resulted in several changes in the natural
landscape and land use, due to the increasing verticalization and, consequently, the
decrease of vegetation in public areas (Benetti 2013).
Green Areas in Cruz Alta and Passo Fundo
This chapter used the two largest cities of the Coredes Alto Jacuí and Produção,
being, respectively, Cruz Alta and Passo Fundo, to analyze the public green areas.
The methodology of this research, of investigative nature, used maps provided by the
planning secretariats of the two cities as a basis for the quantitative of the areas,
where it was evaluated the places of public domain already entitled by municipal
laws. These have the predominance of arboreal vegetation and may include squares,
central plazas, public gardens, public road cloverleafs, and urban parks. Subse-
quently, the most commonly associated criterion was used for the calculation of
the GAI, where the sum of green areas in square meters (m2) divided by the number
of inhabitants of the municipality is considered, forming, therefore, the following
formula:
Total area of green public areas

GAI ¼
Number of inhabitants in the municipality
When starting the analysis by the municipality of Cruz Alta, a mapping that
demarcates all the legally regulated public green areas was elaborated, as shown in
Fig. 1. This generated a data table, Table 1, which makes a comparison between the
area of the urban perimeter of the municipality, its population, and the total existing
green areas, resulting in a percentage of green areas within the urban territory and,
then, the GAI. Although the spatial distribution of public green areas seems rela-
tively scarce, it can be verified through a satellite image provided by Google Earth©,
Fig. 1 Map of public green areas in Cruz Alta (copyrighted by Cruz Alta Administration 2009 –
https://www.camaracruzalta.rs.gov.br/files/mapa-zoneamento-macrozona.pdf), adapted by the
authors (2022)
Table 1 Table of green area indicator (GAI) in Cruz Alta, elaborated by the authors (2022) based
on IBGE (2022a)
Cruz Alta – Rio Grande do Sul, Brazil (Corede Alto Jacuí)
Green
Total area Number of Total area Percentage of area
of the Municipality’s public of public public green areas indicator
urban area population green area green areas in the urban area (GAI)
1.360 km2 62.821 hab. 40 uni. 264.134 m2 0.019% 4.20
(0.26 km2)
Fig. 2, the existence of a vast green area around the urban perimeter. The reason for
this is because the object of this chapter does not consider for analysis the private
areas or those not identified by the government.
Then, the same evaluation was made for the green areas of Passo Fundo, from the
mapping of the spatial distribution of these areas, shown in Fig. 3; as well, in Fig. 4 is
presented the satellite image that demonstrates the potential of existing vegetation
cover of the urban perimeter. Also, Table 2 reports these data obtained from the
calculation of the GAI.
Conclusion
Cities can generate networks of social connections that save lives, combat isolation,
and mitigate the effects of calamities. In this process, public spaces are efficient and
influential allies, being responsible for directly impacting the increase of the quality
of human life in contemporary urbanity. Thus, it should be argued that public space
belongs to everyone, in principle, and that everyone can use it with the same rights
and enjoy the same advantages (Benini and Martin 2008).
Public spaces are decisive urban design elements for the production of an
egalitarian and harmonious city, because these spaces manifest urban life and
animation and it is where much of the socialization of its users takes place. It should
be urgent and necessary the insertion and maintenance of green areas and qualified
and structured public spaces in the cities, promoting sustainability policies and
spontaneous occupation by users of all socioeconomic classes (Benini and Martin
2008).
The creation and maintenance of green areas should follow a harmony between
the artificial and the natural environment so that there is, then, an increase in mental
well-being, physiological health, and a relief from everyday life in society. There-
fore, environmental balance must be a more present concern for urban planning and
management, since unplanned urban growth, lack of effectiveness of public policies,
and the occupation of environmental preservation areas create a totally unequal and
contradictory urban space, favoring one class to the detriment of others (Benini and
Martin 2008).
For UN Habitat (2005), a minimum level of public spaces is necessary for a
quality of urban life and environmental regeneration. However, due to increasing
Fig. 2 Map of the Cruz Alta urban region (copyrighted by Google Earth© 2022 – https://earth.
google.com/web/search/Cruz+Alta,+RS/@-28.64726928,-53.60496029,456.13576146a,28638.
44944022d,35y,349.97239239h,0t,0r/data¼CigiJgokCVwICg07_zNAEVwICg07_
zPAGc3huW63WElAIc3huW63WEnA)
industrialization and urban migration, the natural landscape has been transforming
and changing the forms of intra-urban vegetation. Therefore, the GAI becomes an
indicator that enables a translation of the quality of urban life, expressing the supply
of green area per capita. Therefore, it is an important tool that serves as a resource for
urban planning. However, the use of this indicator is scarce and neglected by most
municipalities, especially in medium and small cities.
The contemporary city needs to strengthen the city-nature relationship in order for
the harmonious and sustainable urbanization process that Coredes advocates to
occur, contributing to a satisfactory effect of the urban microclimate and to control
Fig. 3 Map of public green areas in Passo Fundo (copyrighted by Cruz Passo Fundo Administra-
tion 2019 – https://www.pmpf.rs.gov.br/mapas/wp-content/uploads/sites/66/2022/01/cidade.pdf),
adapted by the authors (2022)
the reduction of vegetation cover. To this end, the GAI allows the preservation and
planning of these areas, because with the information obtained through this quanti-
fied mapping, it is possible to direct the expansion of the urban perimeter, resulting in
a lower environmental impact (Krama 2008).
For the two calculated IAV, being 4.20 m2/inhab for Cruz Alta and 1.98 m2/inhab
for Passo Fundo, it was considered a very insufficient result in relation to that
recommended by the Brazilian Society of Urban Afforestation (SBAU) in the
value of 15 m2/inhab. The green areas in both locations are mostly small- and
medium-sized municipal squares. In addition, Passo Fundo has three large urban
parks that have their own particularities, such as the vast presence of PPAs. In
addition, these areas are mostly located in the central areas of the cities, indicating
the suspension of this vegetation during the historical-evolutive process of land
occupation, especially in the older districts (SBAU 1996).
This panorama is even more worrying for the city of Passo Fundo, which has
shown a strong population increase, foreseeing a greater reduction in the GAI for the
coming years. Therefore, the lack of green areas for public use becomes even more
evident, a scenario that is representative of most Brazilian cities that have always
lacked public green areas, especially in places of social vulnerability that are
commonly located in isolated places of the urban centers (Atlas FEE 2017).
These unsatisfactory indexes translate to a disconnected spatial configuration,
poorly distributed and inadequate in terms of ideal quantity of green area, besides
exposing that the urban occupation follows a disorganized form, consequent of the
unprepared increase of the urban mesh, the verticalization and reduction of green
Fig. 4 Map of public green areas in Passo Fundo (copyrighted by Google Earth© 2022 – https://
earth.google.com/web/search/Passo+Fundo,+RS/@-28.26148274,-52.41393259,691.
49979545a,24910.14159978d,35y,359.99974315h,0t,0r/data¼CigiJgokCeMLRKAEiTzAEd_
Ji4pSwjzAGYJ1yiUZskrAIfQ5bcK-6ErA), adapted by the authors (2022)
Table 2 Table of green area indicator (GAI) in Passo Fundo, elaborated by the authors (2022)
based on IBGE (2022b)
Passo Fundo – Rio Grande do Sul, Brazil (Corede Produção)
Green
Total area Number of Total area Percentage of area
of the Municipality’s public of public public green areas indicator
urban area population green area green areas in the urban area (GAI)
783,4 km2 184.826 hab. 79 uni. 366.120 m2 0.047% 1,98
(0,37 km2)
areas to make room for the built areas, ignoring the support capacity coming from the
natural environment.
Due to socioeconomic issues, little public interest is shown in the development of
public spaces in precarious settlements, which, above all, would resignify the social
cohesion of these places. Because of this, it is seen that collective spaces are
developed informally in public streets or stairways, places that are left over in the
urban landscape. Despite divergences regarding the definition of these areas, now-
adays the notion of qualification of urban life from these spaces is still reiterated and
defended, since it is known the positive impact caused through these recreational
spaces on people’s state of mind.
It is necessary that the various segments of society that work with urban planning
invest in research about the importance of the minimum indexes of these areas in the
urban environment, so that there is sufficient subsidy to define what is the ideal value
of green area for a municipality, thus ensuring adequate services through mecha-
nisms that allow relating the percentage of these areas with the population density, a
fact provided by law (Gerdenits et al. 2013).
In Brazil, despite important national legislation, it is the municipalities that
effectively legislate urban land. Thus, municipal laws have been the most recurrent
means of reserving land for the implementation of public equipment. Since most of
the areas that the population enjoys in their daily urban life are the direct result of the
process of urban land subdivision, medium-sized cities that are still in the process of
growth should observe more closely the relationships between their urban legislation
and their public spaces (Gerdenits et al. 2013).
The chapter, therefore, concludes on the need to establish more specific urban
norms, based on technical and social criteria that guarantee availability, access, and
quality for a wide use of these spaces by the population. The other legislations
mentioned, such as the City Statute and the Urban Land Division Law, only reinforce
and subsidize this solution. Therefore, these tools should be used together to best
explore the subject of green areas (Gerdenits et al. 2013).
Therefore, the unequal distribution situation of these areas becomes urgent,
indicating an urgent need for public policies directed at reducing this inequality of
access to squares and parks, placing them at accessible distances and close to these
dwellings. Besides equalizing the location and distribution of green areas and public
spaces, one should think about accessibility and mobility to promote socio-spatial
integration to the city.
Acknowledgments This work was supported by the Foundation for Research Support of the State
of Rio Grande do Sul (FAPERGS) through the Edital 10/2020.
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2020.172291
Hydroelectric Construction on SDGs
and Brazilian Population: Tuxá Indigenous
People, Rodelas-Bahia
Nelson Bernal Dávalos and Saulo Rodrigues-Filho
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1276
Understanding Dual Vulnerability and Accumulating Impacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1278
Summary of Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1280
Social and Environmental Impacts Caused by the Construction of the Hydroelectric
Power Plant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1281
Indigenous Perceptions of Climate Variability and Its Impacts on the Tuxá People . . . . . . . . . 1282
The Implications of Drought on Food, Water, and Health Security . . . . . . . . . . . . . . . . . . . . . . . . . . . 1285
Commitment to Food Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1285
Impacts of Drought on Access to Water and Indigenous Health and Well-Being . . . . . . . . 1288
Indigenous Double Exposure and Commitment to the SDGs: Zero Hunger, Clean Water
and Sanitation, and Health and Well-Being . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1290
Proposed Approach to the Analysis of Indigenous Vulnerability from a Multiscale
and Transdisciplinary Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1294
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1295
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1296
Abstract
The construction of hydroelectric plants in Brazil, driven by the search for
development and economic growth, has constituted a barrier to the achievement
of some UN Sustainable Development Goals (SDGs), among them: health and
well-being, drinking water and sanitation, and zero hunger, mainly for traditional
and indigenous populations. This chapter aims to demonstrate how the construc-
tion of hydroelectric power plants in some contexts gives way to a double
indigenous exposure, increasing their vulnerability, worsening water and food
N. Bernal Dávalos (*)

University of Brasilia (UNB), Brasilia, Brazil
S. Rodrigues-Filho
University of Brasília, Sustainable Development Center, Brasilia, Brazil

https://doi.org/10.1007/978-3-031-16017-2_61
1276 N. Bernal Dávalos and S. Rodrigues-Filho
scarcity, besides affecting their health in a process of accumulation and resur-

gence of impacts. This research investigated whether the construction of hydro-
electric plants added to the impacts of climate change, compromising the access
to water and food, and degrading the culture heritage of the Tuxá indigenous
people, placing them in a critical situation of vulnerability. Indigenous vulnera-
bility is analyzed, since it is observed that fundamental insecurity becomes a
potential trigger of vulnerability in Brazil, a reality that has become more
common in several South American countries. It is noted that the construction
of the Itaparica hydroelectric plant (1988), known today as Luiz Gonzaga, caused
the indigenous people of Tuxá in Rodelas/Bahia to lose a large part of their
territory after its inauguration. Additionally, it generated internal conflicts and
recurrent socio-environmental impacts related to the lack of land and the lack of
access to clean water, a factor that was added to the challenging climatic charac-
teristics of the middle-low section of the São Francisco basin, causing some
families to face difficulties in obtaining an adequate supply of food and water.
Therefore, this chapter allows to identify that it is necessary to develop adequate
social and environmental impact analyses for future hydroelectric projects, in
addition to developing public policies and measures that improve the living
conditions of those already affected, in order to achieve the aforementioned
SDGs. Methodology: The exposed results were achieved through the application
of a mixed methodology (qualitative-quantitative), in which the primary data, of a
qualitative nature, was collected through interviews, life stories, and focus groups
of Tuxá in Rodelas community between 2018 and 2019. The results were
complemented with quantitative secondary data extracted from different national
and international institutions.
Keywords
Climate change · Vulnerability · Indigenous people · Adaptation · Hydroelectric
plants
Introduction
Brazil has approximately 712 hydroelectric plants, the second highest number of
countries worldwide (Aneel 2019). The construction of these projects has produced
important advances in the industry and economy of the country. However, they have
also generated a series of environmental and social impacts, which, even decades
after their construction, are still being felt by segments of the population. This is the
case of the Tuxá indigenous people of Rodelas/Bahia, who, after the construction of
the Itaparica hydroelectric power plant (1988), now known as the Luiz Gonzaga
plant, lost their land after being forcibly displaced. The Tuxá had lived on islands in
the waters of the São Francisco that were inundated by the reservoir, and the internal
conflicts and socio-environmental and economic impacts arising from their displace-
ment have not yet been overcome (Santos et al. 2015; Bernal 2021).
Hydroelectric Construction on SDGs and Brazilian Population: Tuxá. . . 1277
The Tuxá indigenous people, self-identified as remnants of the Proka nation and
the ethnic groups that made up the missions northeast of the São Francisco River in
the seventeenth century (Salomão 2006; Oliveira 2013; Cruz 2017), have strong
features of religiosity and culture distinguishing them from those of other indigenous
groups in the region. According to Marques (2008), despite the Tuxá people
establishing intense relationships with Catholicism, elements that denote religiosity
and indigenous identity prevail and are preserved and respected today.
Among these elements are the cult of the enchanted, the masters, the caboclos,
and the gentile, which involve practices to venerate the immortality of their ancestors
and deities (the owners of the place or enchanted ones). According to Marques
(2008), for the Tuxá people, all of their ancestors who lived and passed through the
region where their traditional lands are located were enchanted and returned to the
villages to guide the group. Among the most sacred rituals are the table, the supper,
the Toré, and the consumption of jurema and tobacco. These ritual practices have the
main objective of requesting guidance and protection from the enchanted masters,
both for the cure of diseases and spells and for achieving goals and success for the
good of the community and indigenous families.
Currently, as a consequence of the resettlement process, indigenous people are
found in the states of Bahia, in Aldeia Mãe Rodelas and D’zorobabé, Fazenda Sítio,
Terra Indígena, Ibotirama, and Reserva Indígena Fazenda Remanso; Pernambuco, in
Inajá/Fazenda Funil and Kambiwá Tuxá; and Minas Gerais, in Buritizeiro.
D’zorobabé is the area of occupation or retaking, as defined by the Tuxá People of
the Mãe de Rodelas Village. It is 15 min from the mother village and the banks of the
São Francisco River. The site was occupied in January 2010 in protest of the constant
omissions by the judicial authorities regarding the retaking of the territory and the
attempt to make the indigenous area a public area. Initially, the Tuxá had more than
30 river islands located near the municipalities of Rodelas and Paulo Afonso-BA.
According to studies, the submerged territory corresponds to an area of 1600
hectares (Bernal 2021; Santos et al. 2015), which allowed the residents to carry
out various cultural and economic activities, including agriculture and fishing.
The deterritorialization of the Tuxá people triggered intense changes in the daily
life of the indigenous group, a problem that is currently intensifying due to climate
change (Bernal 2021). The Intergovernmental Panel on Climate Change (2013,
2014, 2019, 2022) reports that the impacts of climate change constitute a growing
threat to human security, as it causes the destruction of homes and impairs access to
food and water, mainly affecting, due to the degree of exposure (E) and sensitivity
(S), low-income populations, such as family and indigenous farmers.
In South America, most indigenous peoples still live in rural areas, settled in their
ancestral use and occupation territories. They maintain a subsistence economy that
allows them to obtain food and supplies for building houses, transport, and medicine,
among other needs (Lantz and Turner 2003; Eisner et al. 2009; Boillat and Berkes
2013). With climate change, the livelihoods of these indigenous communities are
threatened, causing changes in coexistence and social reproduction. The changes in
temperature and rainfall patterns, as well as the emergence and prolongation of

droughts, have been impacting the traditional production and harvesting of food,
impacting the supply and economy of indigenous families (IPCC 2022; Lindoso
et al. 2014; Litre and Bursztyn 2015; Rodrigues-Filho and Bursztyn 2016; Bernal
2021; Berwyn 2020; Chen 2018; Cheng et al. 2020; Malhi et al. 2020; Martinich and
Crimmins 2019; Ripple et al. 2020).
The long history of land usurpation and segregation of indigenous people has
placed them in a situation of greater vulnerability, as in many countries, the legal
ownership and possession of territory of these groups is not recognized by the state,
aggravating their food and water stress and giving rise to an accumulation of
systemic problems and impacts, forcing these communities to take measures to
guarantee their survival.
In this sense and for all the above, the objective of this chapter is to demonstrate
how the construction of hydroelectric power plants and the impacts of climate
change give way to a double indigenous exposure, worsening their water and food
access, as well as health deficits in a process of accumulation and impact resurgence.
The guiding question of the chapter was whether the construction of hydroelectric
plants added to the current impacts of climate change, compromising the access to
water, food, and culture heritage of the Tuxá indigenous people, placing them in a
critical situation of vulnerability. The results show that the main socio-environmental
impact that the construction of the Luiz Gonzaga hydroelectric power plant was on
cultural aspects of the population Tuxá, as well as on water and food security,
intensified even more with the extreme events of climate change. The lack of land
and the impacts of climate change have exacerbated the socio-environmental vul-
nerability of the Tuxá, compromising their ability to guarantee the SDGs of health
and well-being, clean water and sanitation, and zero hunger.
Finally, the authors present an approach to promote specific studies on the
vulnerability of indigenous communities that have undergone a process of forced
resettlement due to the construction of development projects, a methodological
proposal that arises from a transdisciplinary and multiscalar perspective.
Understanding Dual Vulnerability and Accumulating Impacts
O’Brien and Leichenko (2000) describes poor populations exposed to various

vulnerability factors. The author introduces the concept of double exposure to
examine the simultaneous effects of climate change and globalization. For O’Brien,
the two processes involve long-term changes that have different impacts across the
world, issues that are rarely analyzed together. In this sense, double exposure refers
to the fact that certain regions, ecosystems, and social groups will have to simulta-
neously face the impacts of climate change and the consequences of other external
factors.
In a publication a few years later, O’Brien et al. (2004) notes that vulnerabilities to
climate change have traditionally been studied in isolation from other stress factors
(O’Brien and Leichenko 2000; Leichenko and O’Brien 2008). In this regard, the
author indicates that exposure to various stressors is a real concern, especially in

developing countries where food security is related to political, economic, and social
factors in addition to climatic factors (Leichenko and O’Brien 2002).
Up to the publication of that paper, the author notes that there had been no
systematic methodology for analyzing vulnerability in the context of multiple
stressors. In this sense, O’Brien’s work presents a way of demonstrating vulnerabil-
ity considering several factors, allowing more complete vulnerability assessments. In
a subsequent paper, Leichenko and O’Brien (2008) points out that the double
exposure approach can be used to inform and promote geographic analysis in
specific locations on complex interactions between large-scale environmental,
social, and economic transformations.
Further research was carried out to demonstrate the existence of multiple stress
factors that make the exposed population more vulnerable. Belliveau and Bradshaw
(2006), for example, shows that poor rural communities are currently facing a series
of stress factors that limit their life options and reduce their quality of life in general.
Among them, he cites the stress of the climate, inadequate health services, the lack of
infrastructure, dysfunctional institutional information processes, and inadequate
access to land. These deficiencies, the author argues, are the main aggravating
factors that generate negative results in the process of implementing adaptation
measures.
Westerhoff and Smit (2009), on the other hand, analyzes the dynamics of
vulnerability and multiple stressors in a study carried out in the Afram Plains in
the eastern region of Ghana. The analysis shows that underlying political, socioeco-
nomic, and environmental forces influence exposure, climate sensitivity, and the
level of vulnerability of the population. The author concludes that the community
experiences a series of biophysical and socioeconomic conditions that contribute to
its vulnerability, making it increasingly complex to provide concrete support that
alleviates the situation in which the population finds itself.
The authors observed that the construction of hydroelectric plants, combined with
the climate change, represents an accumulation of impacts, placing indigenous
populations in a situation of high vulnerability. For example, studies such as those
developed by Naime (2012), Freedman (1995), and Greenbergs (1992) show that the
construction of hydroelectric plants generates impacts, both social and environmen-
tal, and among the most important, the deterritorialization of native peoples, floods
(caused by the accumulation of water, altering its physical and biological character-
istics), the types of use and land cover, flora, fauna, and the climate of the region, and
consequently, the environmental pollution caused by the emission of greenhouse
gases. Many of these impacts are directly felt by those who inhabit those
compromised or flooded areas, in this case, original indigenous peoples, who were
once removed from their areas of origin, settled in reduced and unproductive areas,
with difficult access and precarious systems of provision of basic services, educa-
tion, and health, making their survival increasingly difficult.
For these peoples, these difficulties are becoming increasingly complex, since
prolonged droughts and floods have been threatening their food and human security,
since it causes the destruction of their homes, crops, and compromises their access to
food and water. In addition to this, it threatens their reproduction of cultural

traditions due to the strengthening of migratory movements and social conflicts
(IPCC 2014). In this sense, both factors, the impacts of the construction of hydro-
electric plants and those caused by climate change, in a process of accumulation of
impacts and resurgence of problems, have been exposing the lives of the indigenous
population (Athayde et al. 2019; Hegmann et al. 1999).
Here the land tenure factor is identified as an aggravating factor in the vulnera-
bility of traditional populations, which, as a consequence of the loss of territory due
to the construction of hydroelectric dams, compromises some of the SDGs. Several
indigenous peoples in the world are experiencing this situation, entering a period of
accumulation of impacts, exacerbated by the effects of climate change. The authors
define this process as the indigenous double exposure and includes stress factors that
compromise the water, health, and food security of the Tuxá indigenous people from
Rodelas, Bahia.
Summary of Methods
The results obtained are the product of the implementation of a mixed methodolog-
ical approach, using qualitative and quantitative data collection and analysis tech-
niques. This methodology was based on the 2014 research protocol of the
Sub-network/Climate Change and Regional Development of the REDE CLIMA of
Brazil (Creswell and Clark 2013; Martins 2008; Alves-Mazzoti and Gewandsznajder
2004; Yin 2005).
The primary data were mostly collected in the study area through semi-structured
interviews and focus groups organized both in people’s homes and in the territory
called D’zorobabé. In the interviews and focus groups, efforts were made to ensure
gender equity and participatory democracy, allowing all those present to express
themselves freely. The implementation of qualitative techniques made it possible to
extract from the subject of study a series of data that were analyzed by thematic axes,
dimensions, and categories, giving rise to the identification of the main problems that
affect the indigenous people. Once the interviews were transcribed and systematized,
problems that arose through conversation and were of concern to the population
were identified.
Quantitative data were collected from public and private institutions, including
statistical information and socioeconomic and environmental data. The climate data
for temperature and precipitation were extracted from the NASA satellite database,
corresponding to the Power Data 2019 Program (The Power Project 2020). It is
considered that the application of this methodological approach brings good results,
since the process of data analysis from primary sources enriched the understanding
of the problem, as well as its dimension.
Finally, it should be noted that this research complies with the standards required
by the Research Ethics Committee in Human and Social Sciences of the University
of Brasília (UnB), recorded in the process No. 01037218.5.0000.5540 and opinion
No. 3.440.596.
Social and Environmental Impacts Caused by the Construction

of the Hydroelectric Power Plant
One of the first social shocks caused by the construction of the hydroelectric plant
was the deterritorialization of the people, a process that set off a series of problems
that emerged over the years. The resettlement of the indigenous population in
different regions of the country caused the division of the people, a fact that gave
rise to cultural deterioration and internal and representational confrontations,
impacting decision-making and a leading to social demobilization caused by these
conflicts, which, in turn, made the people more vulnerable to being denied their
rights (Bernal 2021).
One of the strongest impacts caused by the removal of the Tuxá was the loss of
their territory, an area that, in addition to constituting their cultural structure, was for
many residents a means of subsistence and harmony, since these were the areas
where the people carried out their daily activities. These include gathering, agricul-
ture, and fishing (OB, CIT). The removal of the people, in terms of the economic
impact, led to impoverishment of indigenous families, causing food deficiency due
to the loss of their plantation areas and limiting their production, which in addition to
guaranteeing their food supply, allowed them to extract various products for
commercialization.
According to indigenous farmers in the lands they lost, they used to grow onions,
cassava, sweet potatoes, garlic, and pumpkins, among other crops. In addition, they
claim that they used to fish for several fish, including pacamã (Lophiosilurus
alexandri), jandiá (Rhamdia quelen), corvína (Argyrosomus regius), pirá-anteater
(Conorhynchos conirostris), surubim (Pseudoplatystoma corruscans), blue mandi,
mandi yellowfish (Pimelodus pohli), acari (Loricariidae), catfish (Hypostomus
affinis), and carí (Rhinelepis aspera).
. . . I was still young, but it was too sad. The island was covered fast, too fast; in a matter of
3 or 4 days, it was submerged; 120 km over there, it invaded fast, a horrible thing, seeing
your things end so fast. Then I thought, my God, this is it (. . .) We left everything there,
houses, the houses were demolished, the cemetery, the remains were removed and placed
here. Each one took their relative and put it here, but inside a drawer. Then, everything that
was there was left behind, everything, the memories, the nostalgia. . . Everything stayed
there. Today, all old Indians, whoever talks about the old city cries with nostalgia. The land
was very beautiful, there is an old Indian who talks about the island and starts to cry. She
always cries; when she talks about the life she lived, she cries, gets emotional. . . Cry. There,
we had everything; we raised cattle on the rope, goat, pigs, chicken, everything. Then, when
we came here, we brought the animals, but without space, with the climate, the water, I don’t
know why not, but they didn’t survive (. . .). People were used to living from their work,
from their agriculture. So in the old city, there were islands, everyone had their little piece of
land to plant, you know. So we managed to survive from there and everyone in our city (. . .).
Blessed and holy land, there was everything there; it gave everything in that region. . ..
(Testimonies of indigenous Tuxá de Rodelas residents 2017/2018)
As seen, the place where the indigenous people lived was fundamental for the
production of the families’ sustenance and was considered irreplaceable because, as
they say, their ability to grow and harvest food was important. According to
community members, the elderly Tuxás miss what they have lost: their production
of fruits and vegetables, and foods that today must be purchased from nearby popular
fairs.
Studies show that several environmental impacts were generated by the construc-
tion of the hydroelectric plant. Among the most important impacts, mainly resulting
from the flooding that occurs with the construction of large reservoirs for the
accumulation of water, are (1) the changes in the physical and biological character-
istics of the bodies of water; (2) modifications of the land use and land cover types;
(3) alterations of the region’s flora, fauna, and climate; and (4) environmental
pollution caused by the emission of greenhouse gases. Each of these impacts triggers
others that drastically change the physical and natural characteristics of the resources
and the region (Abramovitz 1996; Vainer and Araújo 1992; Harper 1992; Naime
2012; Freedman 1995; Greenbergs 1992).
Since the inauguration of the plant, the Tuxá people have noticed a continuous
degradation of the riverbanks and the soil as well as greater deforestation, river
pollution, and deterioration of the quality of the water available for their consump-
tion. Such changes have intensified year after year, making it difficult to access this
resource and for people to live in the area. The leaders of the people claim that they
are currently witnessing a process of eutrophication of the waters of the São
Francisco River used by the Tuxá as a result of the lack of current in the river,
which has been impounded to create the reservoir of the dam, and due to the
excessive increase of nutrients in the water. The drainage of agricultural fertilizers,
rainwater from the city, detergents, and sewage compromise water availability, food,
and indigenous health (Bernal 2021).
Environmental impacts that have been intensifying or reappearing due to the
accumulation of impacts, in this case due to the consequences of climate change,
further exacerbate the water, food, and health deficits of the population in the region.
Indigenous Perceptions of Climate Variability and Its Impacts

on the Tuxá People
According to Nabhan (2010), indigenous peoples from different parts of the world
are recording their phenological observations to monitor climate variability and its
impacts. Contributions from different disciplines bring new approaches and inter-
esting results to these interpretations that help to understand the implications of the
perceptions of the affected populations. Weber (1997) states that prior to reaching
conclusions on climate change, it is necessary to understand the perceptions, judg-
ments, and actions of farmers, as these responses enable the identification of adaptive
and mitigation strategies (Maddison 2007). In Rodelas, the indigenous population
reports that they perceive a decrease in precipitation and an increase in temperatures,
variations that have become more evident over the last 35 years, affecting their water
and food security.
Fig. 1 Decreasing trend in average precipitation. Most and least rainy months in Rodelas (March–
August) from 1981 to 2018. (Source: Author’s elaboration with NASA precipitation data. Power
Data 2019 Program)
Analyzing the average rainfall trends in the most and least rainy months (March
and August, respectively) during the last 37 years, observers can observe a decline in
average precipitation, which in the last 7 years has not exceeded 80 mm (see Fig. 1).
The decreased precipitation has been occurring since 2008, when the annual precip-
itation was 198.77 mm, while in 2018, it was only 73.68 mm, with the years 2012,
2013, and 2014 having the lowest precipitation. These data confirm the observations
of the population, who say that these last few years were the worst and were the years
when the most damage occurred.
August is the month with the lowest average rainfall in Rodelas. In 2009 and
2010, the precipitation was 24 mm and 36.55 mm, respectively. In contrast, the
average precipitation in August during the years 2011–2018 was only 11.51 mm.
For the local population, this change in rainfall was perceived with three obser-
vations: the decrease in water in the region, the disappearance of some animals, and
the decreased agricultural production of the indigenous people. Regarding the first
point, many residents, relying on memories, report that in the past, the region
experienced heavy rains in the rainy season, which increased the amount of water
in the reservoirs as well as the São Francisco River and its flow. According to these
residents, in the last 20 years, the reductions of the water level of the river and the
amount of rainfall have been evident, with streams and reservoirs remaining dry for
extended periods.
Regarding the second fact, residents characterize the droughts as the main factor
responsible for the disappearance of animals from the region, including the inhambu
(Tinamiformes), cutia (Dasyprocta), caititu (Pecari tajacu), and some species of

snakes.
. . . They disappeared, many animals disappeared, today. For some time now, some types of
animal that were here in the region, today there is nothing more than the snake, and even the
snake is disappearing. And other types of animals that you have here, like the deer that we
had here in this region, the nambu and other types of animals that we had here, like the
agouti, another animal that we had here in the region, had a lot of pigs, the peccaries. And
there is no longer another animal in this region that is also gone. . ., the maned wolf, we don’t
have them here on these riverbanks anymore. I saw this change happening as well as other
animals that live here in this region that I got to see. . .. (Testimonies of the indigenous Tuxá
de Rodelas Tenório Silva)
The decrease in indigenous agricultural production, as a result of reduced rainfall,

is perceived every year, but this trend has been particularly severe in the last decade.
According to the local population, the most deficient years started in 2009 and lasted
until 2018, with the worst year being 2013. The indigenous people say that the
current rainfall is not sufficient for their agriculture, forcing them to change their
routines and further distancing them from the natural life they were used to.
. . . I think the rain here in the Northeast has decreased. As a boy, I could see a lot of rain here,
because people even planted in the caatinga, because there is a canyon where the riverbed is,
so when it rained, it got wet; this never happened again. Today, you also see a river that is
decreasing. In the past, when it got stuck, you used to see the high river. For 10–15 years
now, it doesn’t fill anymore, it is very low. Once, I passed in front of the lapa, then I saw
people passing by on foot; they never used to go like this, the river corridor is deep, there
everything goes and the current is strong. The corridor was always deep, and it never filled
up again, it is very weak (. . .) There were worse years without rain, right? I think it wasn’t
even, it’s not, for us, here, it didn’t reach that much this year, it’s not that bad. As for the
drought, I think it was worse a few years ago, because there wasn’t even rain. This year, it
was more rainy. For me, it was in 2013, because it didn’t rain, it was a year that wasn’t
rainy. . .. From then on, I think it was rainier, now 2013 I think was one of the worst years
that it had, talking about the drought really (. . .). This year, there was a little rain, but it was
not enough for us, for the vegetation to be able to come back, to have life. The little bit of rain
that fell was not enough. It’s been about 7 years since we’ve had rain in the region. Seven
years ago, there was no rain at all. Sometimes, it came like this, it dripped right, but this year
it came a little more. It rained for a few days for about a month, but the rain was not enough.
It really wasn’t rain at all. . .. (Testimonies of an indigenous Tuxá de Rodelas resident)
In addition, analyzing the average temperatures in the last 37 years of the hottest
and coldest months (April/November) in Rodelas, we observe an increase in the
ambient temperature. The temperature has increased by approximately 1 C and
0.7 C for the months of April and November, respectively (see Fig. 2). The highest
temperature is recorded in November. At the beginning of the analyzed period, the
temperature in November reached 29.72 C, while at the end of the period, it reached
30.47 C. The highest temperature during the entire period occurred in 1998,
reaching 30.7 C, followed in subsequent months by abrupt variations and high-
and low-temperature peaks and troughs.
Fig. 2 Temperature change trends. Hottest and coldest months (April/November) in the munici-
pality of Rodelas. Analysis period: 1981–2018. (Source: Author’s elaboration with data from
NASA’s temperature records. Power Data 2019 Program)
Regarding the maximum and minimum temperatures recorded in April, in the first
years analyzed, the hottest Aprils occurred in 1982 and 1983, with temperatures of
27.12 C and 27.17 C, respectively. The April temperature increased to 28.31 C in
2015. However, it is observed that the hottest April in the analyzed period was in
1998, with the temperature reaching 29.62 C. Until 1992, the maximum tempera-
ture of the municipality did not exceed 27.50 C, while temperatures above 28 C
have been recorded since 2012.
These abrupt variations observed since 1998 show that the perceptions of the
indigenous population about these sudden and frequent changes are correct. These
changes contribute to the degradation of the endemic vegetation, making the region
more arid and less productive, forcing many families to look for alternatives to
guarantee water and food resources for their consumption and production.
The Implications of Drought on Food, Water, and Health Security
Commitment to Food Safety
Indigenous residents claim that the drought of the last 6 years caused four springs
from which they supplied water for consumption to run dry, causing a major water
shortage as well as important economic losses. According to IBGE data, the popu-
lation of Rodelas suffered a significant drop in the production of peanuts, bananas,
beans (in grain), cassava, passion fruit, watermelon, corn (in grain), and tomato
between 2012 and 2016 (see Table 1). During the indicated period, the population’s
production was practically zero, requiring the replacement of the products with
onions and melons in 2017 and 2018. The only product that reappeared again after
the drought period was watermelon; however, for 2017 and 2018, production
dropped to half of that recorded between 2010 and 2011.
Agriculture data in Rodelas for the years 2012–2016 reflect the effects of the long
drought. Figure 1 shows that the rainfall in the area began to decrease in 2011 and
remained scarce until 2016. In 2015, there was slight rainfall; however, as residents
of the municipality claim, it was not enough to support agriculture that year.
The Tuxá people traditionally produced beans, corn, rice, cotton, watermelon,
and manioc, foods that are not produced today due to the lack of territory and the
prolonged droughts that make irrigation impossible. These productions, in many
cases, depend on the rain cycles; however, due to prolonged droughts and the
unpredictability of rains, many farmers have given up on the activity due to the
economic losses recorded annually. For example, the owners of small plots of land
claim that the drought in recent years has caused them to lose any of the crops
they grow.
Different indigenous people, remembering former times of indigenous agricul-
ture, claim that the rains of past years, which were abundant, allowed the production
of beans, cassava, pumpkin, and watermelon in large quantities, which today are
scarcely harvested and consumed. For them, today’s rains promise only a reduction
of dust in the area due to their short period and low intensity.
. . . Today, we miss this because we don’t have the soil anymore because it’s very dry, and
even if there is rain, it’s not enough to go down, right. In the old days, we saw rain that ran on
the roads that led to those holes; today, we don’t see it anymore. The rain that comes is very
scarce, just enough to reduce the dust. We no longer have that good winter rain for us to
plant, because we used to plant and harvest a lot of beans, cassava, pumpkin, watermelon.
Today, we don’t have these anymore. We no longer have this rain to say that, we plant, we
plant, but to ask God that we would come to take away that excess food that we came to take
from the land itself, right. . .. (Testimonies from residents of the Tuxá de Rodelas indigenous
community)
To lessen the impact of the drought, different families started to cultivate on the
riverbank, hoping to produce some of the products formerly grown and consumed in
the area, including umarí and jatobá. However, the retreat of the river caused a lack
of water, and the crops, exposed to high temperatures, ended up withering. Thus,
community members claim that agriculture for the families that practice it is not even
sufficient to cover the demand of family members, forcing them to look for jobs
outside the village or to survive on a monthly basis with government aid that is
distributed, including a basic food basket and a family allowance.
. . . We still had some plants that we cultivated on the bank itself. With the drought, these
plants ended up dying, and they were plants that we were trying to recover from the riparian
forest. We don’t have the ingazeira we had, the chameleon, we were starting to plant. We
don’t have jatobá, which was something that was used for people’s food; we don’t have
umarí. Today, we do not have water to water that plant. It will not survive because the soil is
Table 1 Average yield of production in the municipality of Rodelas (BA). Production of temporary crops (kilograms per hectare)
2010 2011 2012 2013 2014 2015 2016 2017 2018
Peanuts (in shell) 1000 1757 1800 – – – – – –
Banana (bunch) 14,000 14,000 – – – – – – –
Onion – – – – – – – 19,461 20,000
Coconut 6000 6000 60,000 60,000 60,000 60,049 60,000 27,313 27,949
Beans (grain) 500 667 – – – – – – –
Guava 13,000 15,000 13,500 15,000 15,000 14,500 15,000 15,545 14,545
Papaya 30,000 25,000 30,000 40,000 38,000 38,667 38,000 44,444 33,333
Manioc 12,000 12,000 – – – – – – –
Mango 15,000 30,000 28,000 21,000 20,757 20,730 20,649 14,162 15,333
Passion fruit 15,000 15,000 9000 – – – – – –
Watermelon 20,000 30,000 – – – – – 16,916 15,625
Melon – – – – – – – 14,000 14,000
Corn (grain) 500 500 – – – – – – –
Hydroelectric Construction on SDGs and Brazilian Population: Tuxá. . .
Tomato 25,000 25,000 – – – – – – –

Source: Authors’ elaboration with data SIDRA/IBGE 2020. https://sidra.ibge.gov.br/tabela/5457
1287
hot, and it keeps killing that little plant that we planted if we do not have enough water for it
to sprout. (. . .) so many who have their jobs manage to live because they have a job at
school, because they have a job at the health post. But for those who really live from
agriculture, it is difficult; we live more with the help of a family allowance that is 80 reais
that we receive. . .. (Testimonies from residents of the Tuxá de Rodelas indigenous
community)
Indigenous livestock and fishing activity also experienced a considerable impact

during the last drought. The Tuxás lost an important number of goats, which
perished due to the lack of food during the 2013 drought. Regarding fishing, they
indicate that they used to harvest a variety of fish, including pacamã (Lophiosilurus
alexandri), jandiá (Rhamdia quelen), corvína (Argyrosomus regius), pirá-tamanduá
(Conorhynchos conirostris), surubim (Pseudoplatystoma corruscans), blue and
yellow mandi (Pimelodus pohli), acari (Loricariidae), cascudo (Hypostomus affinis),
and carí (Rhinelepis aspera). Today, members of the Tuxá people say that fishing is
very difficult, forcing many of them to carry out this practice by crossing the São
Francisco River or moving to other Tuxá areas. However, they indicate that tradi-
tional fishing, which includes the use of cast nets, set nets, and hook and line, does
not allow them to obtain an adequate amount of fish to feed their families.
The decrease in fish in the waters of the São Francisco River has intensified in the
last 10 years. According to the Tuxá fishermen, a first decrease was observed as a
result of the construction of the Luís Gonzaga dam, but they were still able to obtain
an adequate amount for their consumption and commercialization. However, the
fishery has further decreased in the last decade due to the reduction of the river level
as a result of several factors, including the diversion of waters, the low precipitation,
the increase in temperatures, and the long drought.
Impacts of Drought on Access to Water and Indigenous Health

and Well-Being
According to the monitoring of the National Water Agency (ANA), due to the
droughts recorded in 2018 in the Northeast region, approximately 521 aquifers
suffered a decrease in their water levels, 214 of them reaching 30% of their capacity,
a water deficit similar to the one that plagued the Brazilian semiarid region between
2012 and 2016. This situation compromised the access to water of several north-
eastern families, forcing them to look for resources in other sources to guarantee
their water supply at home. The Tuxá are not far from this reality, as they report that
in recent years, access to water has become increasingly difficult due to their main
reservoirs being drier every year.
The community has its own water tank supplied by a pump that captures water
from the São Francisco River. In the dry season, they report that the distribution of
the resource decreases because the pump is out of the water due to the retreat of the
river, giving rise to internal social conflicts. The people most affected by the
deficiency are those who live in the most distant part of the river bank, because
during the most critical period of drought, the water pressure does not reach the
entire population, forcing a large part to seek help from neighbors living in the
houses closest to the water tank.
On occasions, members of the most needy families must travel to other areas of
the city in search of water, in certain situations paying amounts that exceed their
daily budget. Some families that have better economic conditions request delivery
from water trucks or buy gallons of mineral water. The adult members of these
families say that when they have the means, they prefer to buy mineral water, which
is intended for daily consumption and food preparation, as they question the quality
of the water distributed in the village. Residents state that the filtration of water prior
to consumption is not enough to reduce the pollution in the water coming from the
São Francisco River, indicating that the situation is very unfair, since many do not
have enough economic resources to purchase good-quality drinking water.
Water pollution is due to two factors: the flow of sewage water from the
municipality of Rodelas and the residual fertilizer that is used in monoculture in
the region (Bernal 2021). Regarding the first point, the indigenous people responsi-
ble for water distribution in the community claim that the collection point is located
downstream of the city’s sewage pipes, which end up contaminating the water
collected for consumption throughout the year. A statement from the São Francisco
River Basin Committee, issued on August 22, 2017, reported that the point of
collection of water for the public supply of the Tuxá village is located in the Itaparica
Reservoir, which receives the release of untreated domestic sewage from the entire
city of Rodelas in addition to agricultural effluents from the application of pesticides
on coconut crops around the dam. Moreover, the statement indicates that goats are
also raised close to the catchments, compromising the quality of the water that
supplies the Tuxá indigenous community. The most affected members are children
and elders, who, after ingesting or coming into contact with the river water, feel
irregular digestive symptoms or experience skin and other more complex diseases
that were not common among the residents in the past.
. . . For consumption, we have to buy it; people who don’t have it filter it or drink it like this. I
myself never drink this water, only mineral water here. Boy, it’s polluted a lot. The sewage
water falls there, the sewers burst, everything falls up there, so the people get sick. We have
to buy water; we don’t have money, and we have to buy water, to cook too, for everything.
Now another thing, here from the city above, all the sewage water comes out and goes into
the river. Then when it rains, the water slides from the houses to the stream, from here above
the coconut plantations, and washes all that poison that they put and falls into the river. (. . .)
There are children who have a stomachache, feel sick when they drink water. Yes, when they
come to bathe in the river there, they take a bath there, then they get sick. . . a lot of diarrhea,
a lot of hepatitis, a lot happens on their own from water. (. . .). I don’t know why it could
be. We talk about poison, there is poison everywhere, you drink poison, breathe poison, you
eat poison. But you see that we are surrounded by coconut plantations. We are surrounded by
this. My husband worked three years in a store of poison, fertilizer, right? Three years
passed. Every month, they put the poison in coconut trees, just the fact that he transports it,
takes the closed packages and distributes it, because he was an employee, right? Then, every
month, he had tests because he caught the poison, he had a very high level of poison in his
blood in three years. So imagine the people who work there, they spray, breathe, go to the
river, so everything is poisoned. . .. (Jose Batista Almeida Sá, Mrs. Maíra indigenous
residents of Rodelas, Tayra Vieira Almeida (Director Captain Francisco Rodelas Indigenous
School))
By analyzing the results of the evaluation of two samples of water from Rodelas
carried out by the National Water Agency and compared the results to the parameters
established as the norm for health actions and services of the Unified Health System
(see Table 2), it is observed that some parameters are outside the established range.
The results of the microbiological parameters (total coliforms and Escherichia coli)
revealed high levels of bacteria. According to national regulations, the maximum
acceptable value for each sample is the absence of bacteria in 100 ml in systems or
collective alternative solutions that supply fewer than 20,000 inhabitants, with only
one sample having a positive result among those examined in the same month.
However, in both records made available by the agency, values above the established
thresholds are observed, evidencing the existence of important indicators of
contamination.
The results of the evaluations confirm the suspicion of the residents of the
community, who claim that the water quality of the São Francisco River has been
continually deteriorating since the construction of the hydroelectric plant, and it is
urgent to implement actions in the municipality to reduce the risks of the consump-
tion of contaminated water on indigenous health.
Indigenous Double Exposure and Commitment to the SDGs: Zero

Hunger, Clean Water and Sanitation, and Health and Well-Being
The initial consequences generated by the construction of the hydroelectric plant

were the loss of territory, the deterioration of its water resources and fisheries, and
the difficulty in the production and collection of food due to the land deficit,
problems that have been worsening due to the impacts generated by climate change,
creating a condition of indigenous double exposure.
In this sense, the dual consequences of the construction of hydroelectric plants
and climate change on traditional populations cannot be denied. Although they are
different problems and occur at different times and they are maintained or mitigated
through different mechanisms, they tend to be exacerbated due to the process of
accumulating impacts. This dual effect can be seen in the water deficit caused by the
pollution of water bodies and other main sources of supply and the simultaneous
decrease in precipitation. Moreover, the diminished agricultural productivity and the
resulting lack of food caused by the decrease in precipitation have exacerbated the
negative effects of the land deficit caused by the forced relocation of the indigenous
population.
The land deficit here has triggered greater vulnerability, as the lack of sufficient
land prevents the indigenous population from securing sufficient food and income
sources as well as water sources. For generations, the land they have lost had allowed
the Tuxás to produce and guarantee various foods that, currently, many members of
Table 2 Results of water assessment in the Municipality of Rodelas. Analysis based on the results of the analysis of bodies of water by the National Water
Agency (ANA)
Physicochemical Samples Station code Collection Collection Results Maximum Source
parameters date time acceptable
valuesa
Turbidity 1 48780000 07/11/2018 12:18:00 7.6 £5 uT Table of organoleptic potability standards
Two slices 04/10/2018 12:30:00 18 (source: prt ms/gm 2914/2011)
Chloride 1 48780000 07/11/2018 12:18:00 2.2 mg/L 4 Potability standard table for chemical
Two slices 04/10/2018 12:30:00 4.3 substances that pose a health risk (source: prt
ms/gm 2914/2011)
Nitrite 1 48780000 07/11/2018 12:18:00 0.02 mg/L 1 Potability standard table for chemical
Two slices 04/10/2018 12:30:00 0.02 substances that pose a health risk (source: prt
ms/gm 2914/2011)
Microbiological Samples Point/place of Collection Collection Results Maximum Commentsa
parameters collection/ date time acceptable
source valuesa
Total coliforms 1 48780000 07/11/2018 12:18:00 18 Absence in Table of microbiological standard of water
Two slices 04/10/2018 12:30:00 20 100 ml for human consumption (source: prt ms/gm
Escherichia coli 1 48780000 07/11/2018 12:18:00 – Absence in 2914/2011)
Two slices 04/10/2018 12:30:00 – 100 ml
Hydroelectric Construction on SDGs and Brazilian Population: Tuxá. . .
Source: Author’s elaboration

a
Consolidation Ordinance No. 5 of September 28, 2017. Consolidation of rules on health actions and services of the Unified Health System
Ministry of Health, Minister’s Office
Consulted: 14/02/2020
Source: https://portalarquivos2.saude.gov.br/images/pdf/2018/marco/29/PRC-5-Portaria-de-Consolida%2D%2D%2D%2Don%2D%2D-5%2D%2Dde-28-de-
setembro- de-2017.pdf
1291
the community are unable to produce even for the sustenance of their families.
According to members of the community, before the construction of the hydroelec-
tric plant, these people were known as autonomous producers and, eventually,
traders of the surplus products.
. . . Look, the land is the base of everything, the base, everything that is done, the land is in
the first place, right, and we Tuxás, who have always been an autonomous people, we always
lived from what we produced, right. Never did the Tuxá people have a culture of asking
anyone for anything. We had this predisposition to plant and harvest and live off what was
harvested, and with the loss of land, you know, this had an impact on the cultivation practices
that we had in the past. We lost the land. Our life was to plant beans, plant rice, plant corn,
plant onions; it was our life, and today, we are here in a private prison, with nowhere to plant
anything to support ourselves, with no place for me to plant anything. It destroyed every-
thing I even had, because when we had our island, we created everything and planted rice
and as we raised it. We had everything there; we raised cattle on the rope, goats, pigs,
chickens, everything. Then, when we came here, we brought the animals, but with the
climate, the water, I don’t know why, but many animals didn't survive, they died. So we
worked in the fields; the culture of the Indian is the fields, the work in the fields, we lived off
the fields. There were mangoes, cassava, beans, now we have nothing, I don’t have land, I
just survive (. . .). We had our fields, we had everything too, hunger, hunger didn't go away,
now we don’t have land. (. . .) It was fishing and agriculture, beans among others, and when
we had a good harvest, then you sold the rest, one arroba, two. For food, the Indians hunted,
they left and stayed in the forests for a week, and they arrived with everything: 10 capybaras,
a lot of chameleons, and then we shared them with all the families. They also picked a lot of
fruit, not just animals, there was a lot of fruit in the forest. . .. (Testimonies from indigenous
residents of the Tuxá de Rodelas community)
Many families tired of the lack of food seek areas within the city itself to plant and
guarantee their food supply. According to indigenous residents, this initiative made it
possible for some families to guarantee their consumption of beans, cassava, corn,
and potatoes; however, they point out that the last drought caused shortages again,
compromising their food supply, with some families going through long periods of
uncertainty and shortages, giving rise to a feeling of poverty and insecurity.
. . . We, due to not receiving this land, most, some who could not stand being in an idle
condition, took a piece of ground here inside the village. It’s nothing very big, and then they
started to plant. And then, for example, in this process now of this drought, we are also
suffering from it. Those families, those groups of people who live farther away have suffered
cruelly because they have lost the ability to exploit agriculture because it is no longer
possible. Planting and harvesting a field using rainwater is no longer possible, and even
those who raise goats, goats or sheep, also suffer a lot because the dams are so dry. Imagine
7 years, without planting; you rejoice when the rain comes, you plant and wait for the rain to
continue and it ends, stopped in the middle of the way. People who are used to living on what
they plant, with the drought, if there is no water, there is no way to plant. So these people are
having a hard time. . .. (Testimonies from indigenous residents of the Tuxá de Rodelas
community)
Within the community, there is still a considerable number of residents who are
used to producing their own food, but they say that in different cases, they survive
only with difficulty. The land deficit of the Tuxá makes it difficult for indigenous
residents to access adequate food through their own production, and they are forced
to consume a deficient diet due to the scarcity of food and fish in the São Francisco
River.
According to data from the Brazilian Institute of Geography and Statistics (IBGE)
and representatives of the indigenous village, 70% of the families have difficulties
feeding themselves on a daily basis, surviving on the rural retirement income of
some family members and the help that the state and national governments provide,
including the distribution of subsidies such as Bolsa Família, Seguro Defeso, and
basic food baskets. This situation clearly reveals the existence of needy families, a
result of land limitations caused by the construction of the hydroelectric plant and the
effects of climate change.
Observing the indigenous reality, it can be concluded that their rights to produce
and consume food are compromised by this double exposure, putting Tuxá food
security at risk. The community is experiencing chronic food insecurity (Maluf
2007), understood as long-term and persistent, originating from the loss of the
people’s land, aggravated by prolonged droughts. There is still a long way to go to
end hunger, achieve food security, and improve the nutrition of vulnerable
populations through the promotion of sustainable agriculture in Brazil, as called
for in SDG 2. Therefore, as stated by Valente (1997), it is up to the national state to
create mechanisms that guarantee food sovereignty and security.
In relation to water and health, it is observed that the impact of the construction of
hydroelectric plants causes drastic changes in the physical and biological character-
istics of the water, effects that the Tuxás have observed since the inauguration of the
dam. They have observed a continual degradation of the water of the river due to its
stagnation and pollution, compromising the quality of the water for its consumption.
This situation was further intensified due to the restriction of access to water caused
by the decrease in precipitation and the resulting water deficit, jeopardizing the
health of the members of the Tuxá people through both the lack of water for
consumption and the emergence of several waterborne diseases. Brazil is committed
to the potable water and sanitation SDG, which seeks to achieve universal and
equitable access to water for human consumption by 2030, providing safe and
accessible water for all. There are still a few years left to reach this goal; however,
as noted, many people face difficulties in obtaining adequate access, compromising
the health of the population.
As part of Brazil’s commitment to achieving SDG 3, health and well-being, the
country planned to reduce the mortality rate of mothers, newborns, and children
under 5 years of age caused by epidemics of AIDS, tuberculosis, malaria, viral
hepatitis, neglected diseases, waterborne diseases, arboviruses transmitted by Aedes
aegypti, and other communicable diseases. As far as the indigenous people are
concerned, water consumption has been compromising the health of children and
elders of the population due to the quality of the resource, making it necessary for
local authorities to take actions to guarantee the population’s health and make
progress in fulfilling the goals established.
Health, food, and water security are interlinked and are key factors for effective
growth and a sustainable future. By ensuring health, water, and food, the social and
economic development of the populations involved is promoted along with the

survival and well-being of humanity (Campos et al. 2017). In this sense, the Tuxá
people, as they do not have security in any of these essential resources, are limited in
their capacity for social and economic development, a situation that deserves to be
analyzed to identify solutions.
Proposed Approach to the Analysis of Indigenous Vulnerability

from a Multiscale and Transdisciplinary Approach
Vulnerabilities to climate change have traditionally been studied in isolation from

other stress factors (O’Brien et al. 2004), making it necessary to introduce additional
exposure factors to help determine the real vulnerability of the most affected
populations. Füssel (2006–2009) highlighted the need to generate new multiscale
and interdisciplinary approaches to define vulnerability and explain the variations
and interactions of phenomena that occur at various scales and in a mosaic of spatial
situations. In this sense, having analyzed the socioeconomic and environmental
characteristics of a group of indigenous people, as well as the external and internal
factors that would affect their vulnerability, where the land deficit and climate
change translate into water and food insecurity, it is proposed the following approach
to the analysis of indigenous vulnerability, analyzing social aspects, environmental
and geographical characteristics, transversal axes of vulnerability, that allows to
approach the socio-environmental reality faced by a certain population (see Fig. 3).
Fig. 3 Vulnerability diagram. A tiered interdisciplinary approach. (Source: Own elaboration)

In this proposal, carrying out an assessment of the land determinant becomes

elementary, since, as observed throughout the work, access to land constitutes an
aggravating factor of inequality, limiting the development of communities and giving
rise to constant water and food insecurity due to loss of territory and the impacts of
climate change. It is considered that incorporating this characteristic into the analysis
of social, cultural, and environmental factors in specific settings and areas of study
would allow the development of public policies in a regional and national context.
This approach incorporates multiscalarity, interdisciplinarity, and transdisciplinarity,
and is proposed as an analytical approach to vulnerability and its attributes, which
would enhance the development and implementation of sectoralized adaptive
measures.
Likewise, this approach proposes the incorporation of a broader analysis of social
characteristics to understand the perceptions that the population has about climate
change and their beliefs in order to determine their exposure to risk as an important
factor of vulnerability (Bernal and Rodrigues-Filho 2020; Bernal et al. 2020).
Conclusions
The Tuxá indigenous population faces the dual impacts of a land deficit and climate
change, factors that have generated an accumulation of implications, such as food
and water insecurity, making these stresses a real and urgent concern to be addressed,
since health and the well-being as well as the socioeconomic development of
indigenous families are at risk. The territorial loss caused by the construction of
the hydroelectric plant mainly affected the following areas of indigenous life: their
union or family integration, traditional economic activities, food, access to quality
water resources, physical and mental health, economic stability, housing, generation
and provision of livelihoods, and resources. Even though resettlement and territorial
loss took place more than three decades ago, it is observed that the impacts
generated, which were somehow fought and minimized by part of the population
over the years, resurfaced in the last decade as a result of the impacts caused by
climate change, triggering harmful consequences that, if not addressed, will be
increasingly difficult to resolve.
The impacts of climate variability on the population have greatly compromised
the food and water security of the population and have been detrimental to the health
of the indigenous community. Several of these problems arose after the displacement
and resettlement of the population and have accumulated impacts that have wors-
ened over the years. Thus, to reduce the vulnerability of the indigenous population
caused by the construction of hydroelectric plants and climate change, it is necessary
to incorporate public policies and emergency plans to respond to the needs of the
population, making it possible to guarantee the cultural and social rights of the
indigenous communities most affected.
Ensuring the stability and survival of indigenous peoples is the responsibility of
society and governments. However, today, this has become a difficult task due to the
paucity of actions and commitments on the part of the political authorities and the
consecutive setbacks observed in public policies that increasingly threaten the well-
being of these populations. In this sense, it is essential to provide solutions that
advance the goals outlined in the SDGs, encouraging the design and incorporation of
public and private projects that help reduce existing deficiencies and promote
improvements in people’s quality of life.
The SDGs represent a global action plan to eliminate extreme poverty and
hunger, provide quality lifelong education for all, protect the planet, and promote
peaceful and inclusive societies by 2030 (UNICEF 2020). Three SDGs – health and
well-being, clean water and sanitation, and zero hunger – are particularly complex to
address, since, as seen, several factors intervene and influence these goals, making
them even more difficult to achieve. However, efforts must be made due to the
important structural impact that these goals have on the well-being of world society.
In this sense, attention is drawn of regional and national authorities to become aware
of the indigenous problem, so that actions are taken for the benefit of this subjugated
society group over the past centuries.
Finally, it should be noted that one of the limitations of this work was the lack of
access to historical data on the transfer of the indigenous people, resulting in an
invisibility of what happened. Likewise, the precarious support from national and
government institutions to currently seek an effective solution to the case of the Tuxá
people identifies a lack of interest in the face of a latent national indigenous social
reality. Therefore, it is suggested to continue studies of this nature to demonstrate
the impacts of social and environmental injustice in order to achieve, at some point, the
design and promotion of public policies in favor of the integrity and survival of the
traditional peoples of Brazil and the world.
Acknowledgments This work was supported by INCT/Odisseia-Observatory of socio-environmental

dynamics: sustainability and adaptation to climate, environmental and demographic changes under
the National Institutes of Science and Technology Program (Call INCT – MCTI/CNPq/CAPES/
FAPs n.16/2014), with financial support from Coordination for the Improvement of Higher Edu-
cation Personnel (Capes): Grant 23038.000776/2017-54; the National Council for Scientific and
Technological Development (CNPq): Grant 465483/2014-3; and the Research Support Foundation
of the Federal District (FAP-DF): Grant 193.001.264/2017).
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Policy Dialogue on SDG Implementation
in an Archipelagic Nation
Lesvie Archer and Jeannie Gibson
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1302
Small Island Policy Implementation Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1304
Pursuit of Environmental Sustainability and The Bahamas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1305
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1307
Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1311
Best National Policies and Planning Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1311
Identifying and Correcting Deficiencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1316
Correcting Deficiencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1319
Success Stories and Replicability Potential . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1320
Stakeholder Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1322
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1325
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1326
Abstract
This chapter focuses on the successes, challenges, and opportunities facing small
island developing states that are in pursuit of environmental sustainability
through attainment of the Sustainable Development Goals (SDGs). Using The
Bahamas as a case study, this chapter magnifies stakeholder perceptions of the
relationship between SDG goal attainment, environmental policy, and the pecu-
liarities of policy development and implementation in an archipelagic nation. An
exploratory mixed methods approach occurred using the archipelago of The
Bahamas as the geographical study area. Data collection occurred through struc-
tured email interviews with government, civil society, and the private sector
members. A thematic analysis interpreted participant responses within the
broader social context of the Bahamian islands studied and, in comparison, to
L. Archer (*) · J. Gibson

Government and Public Policy Institute, University of The Bahamas, Nassau, NP, The Bahamas
e-mail: lesvie.archer@ub.edu.bs; Jeannie.gibson@ub.edu.bs

https://doi.org/10.1007/978-3-031-16017-2_74
1302 L. Archer and J. Gibson
published literature on the subject. Broad interpretation of the thematic categories

identifies SDG implementation challenges, deficiencies, replicable successes, and
opportunities specific to archipelagos that are also developing states. Kendall’s
coefficient of correlation “W,” is then calculated, revealing the level of agreement
between the four stakeholder groups per their thematized responses to each
question. Implications of stakeholder agreement levels are then discussed. The-
matically, policy implementation, greater research, and financing support were
identified as the best ways to effectively address environmental issues related to
SDG attainment across the Bahamian archipelago; key deficiencies related to
challenges with policy implementation, research, and education and awareness.
Success stories shared by participants related principally to policies, projects, and
programs, with their replication requiring strategic financing through use of
penalty funds, as well as increasing networking collaborations and partnerships.
New policies, programs, and initiatives suggested by participants focused on
funding, incentives, research, public awareness and education, and measures to
improve quality assurance. A key limitation of this research is its focus on specific
SDGs (namely, 6, 7, 13, 14, and 15) and its engaging of stakeholders in certain
geographical areas of The Bahamas, namely Exuma, Grand Bahama, Eleuthera, and
New Providence islands. In alignment with SDG-17: Partnership for goals, a practical
implication of this chapter does its advocacy for creation of a national environmental-
focused data repository inclusive of technologically empowered collaborative plat-
form that can support citizen science. Findings also complement efforts at the
University of The Bahamas to develop a national data repository, ongoing environ-
mental research concerning SDG implementation in The Bahamas (Wyatt et al., Ecol
Soc 26, 2021), and studies recommending a greater focus on protecting and devel-
oping its blue economy activities (Bethel et al., Water 13:1399, 2021).
Keywords
Public policy · Archipelago · Sustainable Development Goals · Private sector ·
Bahamas · COVID-19 · Caribbean · Environmental governance
Introduction
This chapter complements ongoing environmental research concerning SDG imple-

mentation in The Bahamas (Wyatt et al. 2021) and aligns with studies that recom-
mend greater focus on protecting and developing its blue economy activities (Bethel
et al. 2021). It builds from Scobie’s (2016) contribution on climate change, Pugh’s
(2013) work on archipelagic small island developing states (SIDS), and findings
from a research grant awarded to the University of The Bahamas by the Global
Environment Facility (GEF) Small Grants Program implemented under the United
Nations Development Program (UNDP). This chapter describes a Caribbean
country’s pursuit of environmental sustainability from the perspective of govern-
ment, industry, and civil society stakeholders. Through interviews with stakeholders
Policy Dialogue on SDG Implementation in an Archipelagic Nation 1303
across the Caribbean archipelagic nation of The Bahamas, this chapter magnifies
shortcomings and replicable successes related to this country’s pursuit of the Sus-
tainable Development Goals. It concludes by offering recommendations on new
policies, programs, or initiatives, and by making suggestions on how best interna-
tional funding organization can be engaged to develop and execute them.
Photo 1 displays a map of The Commonwealth of The Bahamas, an archipelagic
nation in the Caribbean comprised of 400,000 people and 2000 islands and cays.
With the exclusion of several private islands, the population on each inhabited
island in The Bahamas varies between less than 100 to around 300,000 (Census
2022). Nearly 75% of residents live on New Providence Island (Census 2022),
which is 21 miles long and 7 miles wide, and houses the capital city of Nassau. In
2015, the country agreed to pursue the United Nations’ Sustainable Development
Goals 2030 (SDGs) as an important national and global initiative. With a slated
deadline of 2030, the 17 interrelated SDGs are designed to secure a sustainable
future for all by making a collective, comprehensive, and complete call to action. A
number of 158 nations agreed to pursue the UN’s SDGs and several countries submit
biannual reports summarizing their progress.
The Bahamas’ SDG unit is located in the Office of the Prime Minister, suggesting
high prioritization of the goals. This unit acknowledged that the implications of the
COVID-19 pandemic prevented submission of a 2020 Voluntary National SDG
Photo 1 Bahamas map. Designed by Volina. (Image #37050410 at VectorStock.com)

Review. In March 2022, however, the country demonstrated continued commitment

to the SDGs by becoming signatory to the United Nations Multi-County Sustainable
Development Corporation Framework. From this framework’s synopsis of the
country’s condition, while The Bahamas has achieved SDG 7: Affordable and
clean energy; the country is unable to provide data needed to assess progress on
SDG 1: No poverty, SDG 10: Reduced inequalities, and SDG 11: Sustainable cities
and communities. The framework identifies that all remaining SDGs currently face
varying degrees of implementation challenges throughout the country and suggests
that the country struggles alongside other Caribbean nations in its attainment of
majority of the SDG goals (United Nations 2022).
In terms of regional progress, this multilateral framework summarizes that
SDG 7: Affordable and clean energy is the goal that has been achieved by most
islands across the Caribbean, while Goal 10: Reduced Inequalities is the goal that
most commonly lacks data across the region. Most Caribbean SIDS are also facing
major challenges in pursuit of Goal 14: Life Below Water and Goal 15: Life on
Land. It is also anticipated that implications of the COVID-19 pandemic have
exacerbated challenges related to the pursuit of people-centered SDGs (1,2,3,4,5,
and 6) (UN 2022). However, according to the framework report, the pandemic is
only one of the critical challenges preventing unhinged attainment by the Carib-
bean of the SDGs. Additional major issues include (a) structural challenges/
vulnerabilities or historical characteristics associated with the economies of
small island developing states, e.g., limited resource base, population education,
and skill level; (b) economic stagnation and growing poverty and inequality;
(c) violence and crime; (d) climate change (both anthropogenic and natural
hazards); (e) governance system that lacks effective social support and national
culture that promotes discriminatory practices; and (f) challenges with data
availability, robustness, transparency, and dissemination.
Small Island Policy Implementation Challenges
At least five of the six abovementioned challenges identified in the United Nations
Multi-Country Sustainable Development Cooperation Framework (for) the English-
and Dutch-speaking Caribbean 2022–2026 are also highlighted in literature
addressing policy implementation challenges facing small island developing states
(SIDS). First, as countries with smaller populations, economies, and often lower
levels of education in their labor force, SIDS may experience a heavy dependence on
expatriates and foreign trade to generate revenue (Athukorala 2004) in a way that can
delay effective policy creation and implementation. At the same time, these dynam-
ics often suggest a robust private sector that may make policy implementation easier
through the sector’s ability to provide wider access to finance, provoke higher
literacy rates, and strivings to meet international best practices (Boolaky 2010).
Second, in recognizing that the United Nation defines SIDS “as states that face
specific social, economic and environmental vulnerabilities” (Dagher 2019, p. 5;
Beuermann and Schwartz 2018), Caribbeans SIDS are particularly vulnerable to a
specific set of problems impacted by circumstances outside of their control. Addi-

tionally, Bass and Dalal-Clayton observe that the small size of some islands
increases the likelihood that a seeming isolated incident of environmental damage
can quickly spread to contaminate the entire island (1995). These impacts alongside
other environmental vulnerabilities tend to result in SIDS having their policy
development subject to planning around earthquakes, hurricanes, tropical storms,
and typhoons. Inherent in their environmental vulnerability, geographic location,
and limited resources are recognition of high transportation and imports costs,
greater rates of poverty, and smaller populations. Limited population numbers also
place constraints on human resources that would limit the amount of the population
that is able to provide that level/type of education (Crossley and Sprague 2014).
These factors make policy implementation challenging because they often indicate
limited internal market, institutional capacity, innovation, and competitiveness
(Dagher 2019).
Like many developing nations, Caribbean environmental and economic chal-
lenges are intimately related (Boyle and Freeston 2001). Unfortunately, there
remains a dearth of literature on environmental policy on SDGs. Scobie (2016)
highlights that in the Caribbean context, several challenges related to fragmentation
exist that prevent effective environmental governance, namely “silos in public
environmental governance architecture, an unwillingness to share data, insufficient
political will, unsustainable project-based funding, and a lack of accountability
among actors” (p. 16). She examines the nature and impact of environmental policy
on climate change challenges in the Caribbean and argues that sustainable progress
requires the region to improve in key areas of governance and management: There is
a need to increase the sophistication of policy development and governance, logis-
tical planning, financial resource generation management, and stakeholder collabo-
ration (Scobie 2016). COVID-19 compounded these challenges, especially for
archipelagic SIDS of the Caribbean that already face the additional task of fostering
sustainable development amidst inherent geographical fragmentation.
Pursuit of Environmental Sustainability and The Bahamas
The following five SDGs place particular emphasis on environmental care and
wellness:
• SDG 6 – Clean water and sanitation: ensure availability and sustainable manage-
ment of water and sanitation for all
• SDG 7 – Affordable and clean energy: ensure access to affordable, reliable,
sustainable, and modern energy for all
• SDG 13 – Climate action: take urgent action to combat climate change and its
impacts
• SDG 14 – Life below water: Conserve and sustainably use the oceans, seas, and
marine resources for sustainable development
• SDG 15 – Life on land: protect, restore, and promote sustainable use of terrestrial
ecosystems, sustainably manage forests, combat desertification, and halt and
reverse land degradation and halt biodiversity loss
Findings from the 2022 United Nations Multi-County Sustainable Development

Corporation Framework report identify that while The Bahamas (and several other
Caribbean Island states) have achieved SDG 7: Affordable and clean energy, the
country faces significant or major challenges in pursuing attainment of the SDGs
related to clean water and sanitation, climate action, life below water, and life on land
(United Nations 2022). Concerning each of these goals, the following paragraphs
briefly overview the Bahamian context, inclusive of highlighting findings presented
in the country’s latest Voluntary National Review on the Sustainable Development
Goals to the High-Level Political Forum of the United Nations Economic and Social
Council (Bahamas 2018).
• SDG 6: Clean water and sanitation: While access to clean water and the
embracement of healthy sanitation practices is common across the Bahamian
archipelago, its availability and sustainability remain a challenge due to years of
inadequate maintenance of its national water supply structure, the existence of
unregulated housing, and poverty. Efforts are being made to reduce water loss,
extend water supply, construct treatment centers, and design sustainable plans.
Key implementation challenges mentioned related to sustainable sources of
financing, and the tendency of residents to use their own wells rather than to
source water from the meter-based national water supply system.
• SDG 7: Affordable and clean energy: Most of the country is already able to access
electricity. Accordingly, momentum toward SDG 7 in The Bahamas prioritizes
energy efficiency and renewable energy utilization. Several key legislation/legisla-
tive reform efforts, partnerships, policies, and programs include creating a National
Energy Policy 2013–2033, implementing the Small-Scale Renewable Generation
Program, signing on to the Small Island Developing States (SIDS) Sustainable
Energy Mechanism, SID DOCK, and entering into an agreement with the Carbon
War Room (CWR). The Bahamas Government also developed an integrated and
comprehensive Department of Environmental Planning and Protection (enacted
January 2020) and implemented the National Maritime Policy. The latest voluntary
report also reflected on positive outcomes generated from private sectors organi-
zations such as The Bahamas National Trust and its partners, and the GERACE
Research Center. Key implementation challenges noted in the report relate to the
challenge of maintaining political will, the lack of consistent policy momentum and
sustainable financing models, and the need for greater technical expertise. Also,
with less than 1% renewable energy usage in the country (Ward 2022), The
Bahamas ranks lowest in the region and is unlikely to reach its 30% renewable
energy target by the 2033 deadline it set for itself (Oxford 2022).
• SDG 13: Climate action: Action steps taken by The Bahamas to mitigate the
effects of climate change include becoming signatory to regional and interna-
tional agreements, establishing several government agencies, policies, programs,
and systems, involvement of the private sector through the University of The
Bahamas’ Climate Change Initiative, and an array of research projects. Post this
2018 review, signature advancements made include establishment of the Univer-
sity of The Bahamas’ Climate Change Adaptation and Resilience Research
Center, and enacting of the Climate Change and Carbon Market Initiatives Bill,
2022, which aims to establish the country as first in the world to sell blue carbon
credits on the voluntary carbon market (Parliament of The Bahamas 2022). Key
implementation challenges mentioned in the report include lack of research,
financing, economic valuations, and public awareness.
• SDG 14: Life below water: National progress toward the development of an
integrated and comprehensive Department of Environmental Planning and Pro-
tection (which enacted January 2020) and implementation of the National Mar-
itime Policy, the Review also reflected on positive outcomes generated from
private sectors organizations such as The Bahamas National Trust and its part-
ners, and the GERACE Research Center. Key implementation challenges
concerning the country’s fisheries management relate to inadequate logistical,
personnel, and funding capacity, administrative bureaucracy, and government
interest in industries that may enhance ecological susceptibility and social
conflict.
• SDG 15: Life on land: Action steps taken by The Bahamas include advancements
made through The Bahamas National Trust, the Andros Sustainable Development
Master Plan, the Global Environment Facility Pine Islands – Forest/Mangrove
Innovation and Integration Project, and the 10,000 Fruit Trees Campaign. Key
implementation challenges identified relate to the country’s geopolitical disposi-
tion as an import-dependent archipelagic nation and secondly to capacity devel-
opment deficiency in relation to research and funding.
In sum, this latest National Review affirms that public policy and international
agreements operate as key drivers of environmental progress in the country. Given
The Bahamas’ elevated level of integration with global alliances, significant positive
changes are already taking place (Bahamas 2018). Private sector appeal and civil
society also play valuable roles in the pursuit of sustainable development for the
country. However, the Review acknowledges that their contributions and attitudes
may not be as easily noticed given shortages in research and data accessibility that
plagues the region. It is hoped that the outstanding data accessibility and stakeholder
collaboration efforts will strengthen considering that the recently signed multilateral
agreement focuses on strengthening SDG 17: Collaborative relationships (United
Nations 2022).
Methodology
With the objective of taking an explorative approach to better understanding a

variety of stakeholder perspectives on The Bahamas’ progress toward SDGs 6, 7,
13, 14, and 15, questionnaires were emailed to experts in academia, civil society,
government, and the private sector. Inclusion criteria required participants to be
Bahamian residents who possessed specialty knowledge of the country’s
environmental landscape, and who either specialized in a field of expertise related to

environmental sustainability, or who worked as official representatives in a locally
based company, institution or organization with vested interest in The Bahamas'
environmental sustainability. Each participant received an introductory email iden-
tifying the recipient as a subject expert or policy influencer, summarizing the
research project, and providing an overview of the targeted SDGs. Each participant
was asked to respond to the following four questions (Nassau Guardian 2020;
University of The Bahamas, 2020):
• What is the best way to address these environmental issues through national
policies and planning?
• Where are the deficiencies and how can they be corrected?
• Where are the success stories and how can they be replicated?
• What new policies, programs, or initiatives are needed, and how best can the
private sector be engaged to develop and execute them?
Follow-up emails and phone calls occurred within the allotted time frame, and of
the 30 (30) emails sent out requesting stakeholder feedback on the select Sustainable
Development Goals (SDGs), email responses were received from 15 stakeholder
participants that specialized in the country’s environmental care and well-being. The
respondents included representatives from four government agencies, four private
sector companies, three nongovernment or nonprofit organizations (NOGs/NPOs),
and four responses from academics within the environmental field. Some partici-
pants gave their perspectives as subject matter experts on the country’s alignment
with specific SDG. For example, hydrologist Dr. Richard Cant answered the four
questions specifically in relation to SDG #6 Clean water and sanitation; environ-
mental scientist Kelli Armstrong specializes in climate change answered the four
questions specifically in relation to SDG #13 Climate action; and Guilden
M. Gilbert, Jr., vice president of Alternative Power Sources (Bahamas) Ltd. emailed
responses specifically in relation to SDG#7 Affordable and clean energy. Other
participants such as Rochelle Newbold then director of The Bahamas government’s
Department of Environmental Planning and Protection, and a representative from the
Exuma Chamber of Commerce, etc., emailed offered responses to the four questions,
based on a seeming collective assessment of the SDGs #6. 7, 13, 14, and 15. Emailed
responses were collected and organized under each of the four questions.
The explorative outline is presented in this chapter via a thematic analysis of
email interviews conducted in 2021 interrogated against peer-reviewed environmen-
tal policy–related literature. This initial stage of analysis began by reading and
rereading (twice) interview responses to become sufficiently familiarized with the
data. Herein, ideas presented by the interviewees as reflecting specific responses to
the questions asked were isolated on an excel sheet as a source for codes. In coding
interviewee responses, data deemed unrelated to the four research questions were
eliminated. Repeated readings enabled a clustering of keywords and expressions
(e.g., “implement current policy”). These clusters were assigned explicitly descrip-
tive codes. These codes were then carefully transitioned and organized under
umbrella concepts. As a data-driven analysis, outstanding interviewee response
Table 1 Research questions, thematization of interview responses with specific examples

Thematized responses with specific stakeholder
Research question responses as examples
What is the best way to address these issues Implement current policies: fully implement
(related to SDGs #6, 7, 13, 14, and 15) through current policies; regional accountability;
national policies and planning? empowering departments to carry out their full
responsibilities; government needs to better
monitor and protect groundwater resources
Further scientific research needed: customize
research to each island; improve and increase
data access; need to identify and protect
important bodies of water
Greater financing support: enforcing penalties
and fines for violations; affordable financing for
renewable energy; privatize power supply on
some islands; lower duties on electronic
vehicles, golf carts, and motor scooters
Where are the deficiencies and how can they Implementation-related deficiencies: major
be corrected? data governance issues (e.g., data collection,
access, monitoring, and project budgeting,
planning, and effective delegation)
Education and awareness deficiencies:
insufficient community engagement;
partnerships are not maximized
Research-related deficiencies: limited research
on certain environmental issues and access to
research restricted; dominant focus on solar
power is unhealthy for country
Where are the success stories and how can Policies: legislation that ensured protection
they be replicated? over forestry, biophysical monitoring, and
animal protection, tax removals or reductions
on (renewable energy) RE items, and hybrid
and electric vehicles
Research studies: Bahamas Land Resources
Survey (BLRS); Waterkeepers Water Quality
Monitoring Reports
Programs/projects: Networking collaborations
and partnerships, e.g., with Bahamas National
Trust; monitoring plan for species found in the
national parks
Replicating success stories: use penalty funds
identified in policies as financial support to
replicate policies, plans, and programs
What new policies, programs, or initiatives are Incentives: tax credits for renewable energy
needed, and how best can the private sector be systems; aquaculture investment subsidies;
engaged to develop and execute them? incentive transition to energy-efficient
standards
Research support: new research initiatives
(e.g., including customized research and policy
approach [and effective punishments] for each
island or nation region); collaborative data
sharing network that supports citizen science
(continued)
Table 1 (continued)
Thematized responses with specific stakeholder
Research question responses as examples
Public awareness and education: Public
education campaigns on SDGs and
environmental issues in general
Quality assurance: provide international
certification of research labs, training, and
licensing; better policing and monitoring of
enacted policies; better communication
between interlinking organizations responsible
for license approvals; use international
standards to monitor contracts and projects
was marked as important as responses common throughout the dataset. Table 1

presents a summarization of each question’s descriptive codes, highlighting common
responses identified across all SDG interview submissions:
Given that interviewee questions were open ended, stakeholder responses to
questions 1, 2, and 4 were thematized, then ranked based upon frequency using
their weighted arithmetic mean. A ranking of 1 indicates the highest frequency of
responses for a certain theme among all stakeholder participants; rankings of the
same number indicate tied responses. Responses to Question 3 were excluded from
this statistical analysis because of the high levels specificity and diversity revealed in
the numerous case study examples shared by respondents.
For each question with its ranked responses, Kendall’s coefficient of concordance
(Kendall’s W) was calculated using PSPP software. By ranking of stakeholder
responses to research questions 1, 2, and 4, Kendall’s W measures the level of
agreement between these ranked stakeholder groups’ (or judges’) responses.
Kendall’s W was not calculated for question 3, rather the questions’ specificity
which generated a variety of case study responses across specific environmental
areas, e.g., climate action, water, and sanitation etc., that may be broadly categorized
as successful policy, project, or program initiatives.
Measuring the consistency of responses based upon stakeholder groupings (gov-
ernment, private sector, nonprofit (NPO) or nongovernment (NGO) organizations,
and academia), helps better understand variability in responses. Kendall’s W repre-
sents a variability that is ranked on a scale of 0 to 1, with a score closer to zero
indicating a lower level of agreement (higher disagreement) between stakeholder
responses and a score closer to 1 indicating a higher level of agreement. Agreement
consistency or inconsistency affects the quality, impact, and implementation effec-
tiveness of environmental sustainability initiatives and the SDG pursuit. Broader
implications may improve contextualization of challenges related to small island
policy implementation: If levels of divergence exist among these key stakeholders
concerning the country’s most significant environmental issues, deficiencies, and
possible solutions, it may seem unsurprising that policy implementation is challeng-
ing; if results demonstrate high levels of consistency (agreement), it suggests that
stakeholders are of similar accord and are applying the same standard of thinking
Use thematic
categories and
weighed
Calculate
Thematize rankings to
weighed ranking
stakeholder determine
of stakeholder
responses Kendall's
response
Coefficient of
Concordance for
each question
Photo 2 Diagram of Methodology embraced in this chapter
when reflecting on environmental sustainability in the country. A diagram of the

methodology is presented below (Photo 2).
The overarching objective of this research project is to identify and better
understand factors that must be considered with the crafting and implementing of
policies to facilitate SDG attainment in an archipelagic nation. Elaboration and
interrogation of these common responses and their implications across the different
SGDs are presented below in the “Findings” section.
Findings
Collectively, participant responses to the four research questions evidence their

recognition that strives for attainment of environmental sustainability. This section
presents their responses, discussing commonalities and divergences across the four
stakeholder groupings in relation to literature on challenges facing SDG implemen-
tation in the Caribbean, and environmental policy implementation challenges
in SIDS.
Best National Policies and Planning Practices
Participant responses to question 1: What are the best ways to address environmental
issues through national policies and planning? may be categorized into three key areas:
policy implementation, research, and financing support. As summarized in Table 2,
Kendall’s W calculated for these three response rankings under question 1 equals 0.93.
The high Kendall’s W rating suggests a strong consensus among the stakeholders
about the rankings that the best way to support environmental sustainability is firstly
to implement (fully) current policies, secondly to conduct greater scientific research,
and thirdly to offer stronger funding support and avenues. Consistency of responses
across the different professional groups suggest that there is a shared set of goals and
a standard way of thinking about ideas related to environmental sustainability within
the archipelago. As an example, several respondents indicate that the best way to
Table 2 Ranking of responses to Question 1 by stakeholder/judges and related Kendall’s corre-

lation of concordance
Question 1: What are the best ways to address environmental issues through national policies and
planning?
Stakeholder/ Implement current policies Further scientific research Funding
Judge and plans needed support
Government 1 2.5 2.5
NPO/NGO 1 2 3
Private 1 2 3
Academia 1 2.5 2.5
MEAN 1.00 2.25 2.75
RANK
Kendall’s W ¼ 0.93
address environmental issues in the country is to have the government fully imple-
ment current policies and plans:
• Full implementation of the National Energy Policy 2013-2033 is the best way to
meet SDG7. (Private Sector stakeholder)
• Implementation of the country’s National Development Plan is needed more than
the creation of new policies or programmed. (Private Sector stakeholder)
• The best way to address Climate Action issues would be to implement current
policies, projects, and planning initiatives. (Academic stakeholder)
• Ensure the Government follows through on its commitment to (1) implement
current national policies (2) execute current planning initiatives, and (3) enforce
accountability. (NGO stakeholder)
This common concern among local stakeholders about policy and project imple-
mentation sheds a critical light on interlinkage between SIDS’ environmental and
economic concerns as articulated by Dagher (2019) and Boyle and Freeston (2001).
For example, in December 2021, the Government of The Bahamas commissioned
Ragged Island as the first 100% solar-powered major island in the country (Ward
2022). At the island’s solar-powered microgrid commissioning ceremony, prime
minister of The Bahamas, the honorable Phillip Davis, explained to the island
community of 65 persons that the project’s 5-year timeline and increased $USD5
million price tag are attributable to delays related to two hurricanes and the COVID-
19 pandemic that affected supply chain services. Additionally, subcontractors of the
project lived on Grand Bahama, a Northern Bahama Island, which, when hit with a
major hurricane, delayed their ability to continue operations on Ragged Island, a
southern island unaffected by the same hurricane (Ward 2022).
Other government-sponsored renewable energy projects in the country, such as
with the Anatol Rodgers High School and the Thomas A. Robinson National
Stadium Solar Park, experienced similar delays, citing challenges with funding
which affected provision of (expatriate) technical expertise (Hartnell 2022). A
2018 Inter-American Development Bank (IDB 2018) funding opportunity provided
the government of The Bahamas with technical expertise, “an economic develop-
ment framework analysis” and a stakeholder support forum, which purposed to
correct the major policy and data gaps, and poor stakeholder coordination levels
(IDB 2018). The latest IDB grant preparation (2022) is similarly focused on pro-
viding technical expertise to strengthen policy implementation. Together, these and
several other international grants/loans speak to Dagher’s (2019), Crossley and
Sprague’s (2014), and Athukorala’s (2004) point that policy implementation in
SIDS suffers from limited institutional capacity and a corresponding heavy depen-
dence on foreign expertise and skills.
Interestingly, this point limited institutional capacity and a corresponding heavy
dependence on foreign expertise and skills was not raised by stakeholders in their
interview feedback submissions. No stakeholder mentioned that quality education
and high-level training of locals offer a “best way” approach to address environ-
mental issues. In that the high Kendall rating for this Question 1 indicates a strong
similarity of thought among stakeholders, per their responses, a consistent silence
also arguably affirms a similar thinking trend. Greater education and training are,
however, mentioned as a common response to Question 4, which asks how interna-
tional organizations and funding agencies can support local stakeholders in their
pursuit of sustainable environmental development. The repeated mentioning by
stakeholders of having international funding organizations support education and
training by providing opportunities for international certifications and the building of
local laboratory facilities to prevent samples from having to be transported out of
country partly aligns with the tendency of organizations, such as the IDB, to provide
technical expertise and analyses. A gap therefore exists between the (a) nonmention
of further education and technical training as a best policy implementation practice,
(b) direct provision of technical expertise by international organizations, and
(c) request by stakeholders to have international organizations educate/train them
(stakeholders) to effectively create and implement best policies and practices them-
selves. Here, Boolaky’s (2010) position that strengthening the private sector via a
wider access to finance and correspondingly demanding their ability to meet higher
standards is arguably viewed by stakeholders either as a responsibility of the
international community or, based upon the silence in Question 1 responses, as a
nonreality, at least without international support.
In remembering the Bahamian archipelago as part of the larger Caribbean archi-
pelago – the islands sharing certain historical and structural challenges/vulnerabil-
ities – some responses advocate that community/regional support would lead to
greater local policy implementation, execution, and accountability:
• The best way to address these issues is by directing national policies and
planning towards completing the Caribbean Challenge Initiative’s (CCI) ‘20 by
20’ Marine Conservation Challenge. (private sector stakeholder)
This stakeholder advocates that environmental issues in the country may be best
addressed by fostering partnerships, active engagement, and accountability at the
regional level. Unfortunately, Scobie’s (2016) research into the nature of regional
environmental policy accountability for Caribbean SIDS finds that while “account-
ability [is] valued as a good governance principle” policymakers lack practical
“structured processes” and “mechanisms to operationalize accountability” (p. 2).
According to Scobie (2016), uptake of the processes and mechanisms deemed
necessary for effectively operationalizing regional accountability first requires the
region to strengthen its “‘culture of governance’. . .as a whole” (p. 2). When com-
paring The Bahamas’ posture in SDG goal attainment to that of other Caribbean
nations (UN 2022), it seems that the problem of environmental policy implementa-
tion and accountability at the individual country level is also reflected at the regional
level. Therefore, while active participation of Caribbean SIDS in similar initiatives
driven by the regional governing body may strengthen national stakeholder buy-in,
motivation, and accountability, the decision may likely be of neutral effect in the
environmental policy implementation dilemma faced by the individual
Caribbean SIDS.
Participants also highlight The Bahamas’ archipelagic fragmentation as justifica-
tion of the outstanding need to customize implementation of current environmental
policies and planning initiatives to the unique needs and features of individual
Bahamian islands. For example, concerning SDG 6: Clean water and sanitation,
one participant notes that,
• The water source differs on each island. Some islands have little to no rain and
people seldom have the resources to build rainwater tanks or collection basins to
collect rainwater. The islands of Mayaguana and South Andros have communities
that are stretched far from each other. The idea to run water lines from settlement
to settlement is not only costly to install but challenging to maintain. New
Providence often subsidizes the utility cost for the Family Islands, which in turn
drives the cost up in the Capital. Some islands already have freshwater resources,
for example, New Providence, Abaco, Grand Bahama, North Andros, and Rum
Cay. However, the quantity of water produced may not be enough to sustain the
growing populations on the islands. In a few instances, islands that have reverse
osmosis water are provided by the state. Some islands, for example, Staniel Cay
has Water Makers that provides reverse osmosis water to the town (NPO/NGO
stakeholder).
This participant further elaborates that variation in water topography across the
Bahamian archipelago also applies to sanitation (septic waste and outdoor toilet)
topology. Such variation shows that a “blanket approach” to policy creation and
implementation is inadequate for an archipelagic space. It further demonstrates a
need for national policies and planning initiatives to be governed by a customized
island-by-island approach. As this respondent later stated, “logistically, each island
and cay need to be considered separately.” As demonstrated by the high Kendall W
rating, this view was reiterated in different ways by different participants and
highlights the role and impact of knowledge as a resource on political initiatives to
regulate the environmental landscape; as Peuhkuri (2002) asserts, environmental
policy quality in archipelagic spaces is dependent upon scientific research.
This participant’s viewpoint additionally suggests that crucial scientific knowl-

edge about the environment is either not available or not effectively utilized by in the
local policymaking setting. In agreement with Peuhkuri’s research (2002) on archi-
pelagic environmental debates, this participant’s comment about the “gaps, uncer-
tainties and controversies in the knowledge base” demonstrates “the lay people’s
ambivalent attitude to science” (p. 157). For Peuhkuri (2002), the combination of
ignorance and ambivalence encourage a discretionary choosing of knowledge and
research findings by interest groups that influence the creation and adoption of
policies that often prove fragmented in quality, challenging to implement, and
controversial in impact. Mitigating these policy dilemmas require shifting the social
and culture of local stakeholders, but also sufficient financial resources and technical
expertise, which according to Scobie (2016) is a chronic governance and manage-
ment challenge of Caribbean SIDS attempting to advance environmental sustainably
within their countries.
Participants also identify a need to rectify data collection and exchange fragmen-
tation that prevents an effective addressing of environmental issues facing the
country. For example, one participant advocates using policies that strengthen
collaboration across the Bahamian islands and across stakeholders as the best way
to address climate change concerns:
• The best way to address climate action through national policy and planning is to
encourage the useful exchange of information and collaborative efforts to assist
decision making, development of a centralized process for data collection, and
creation of a centralized sign up for monitoring efforts. These suggestions are
grounded in the centralizing thought that Bahamians must work collectively to
deposit and analyze data collected during monitoring. There is lost data as
groups and individuals are not aware of how useful the information, they gather
is to the development plan. Small groups of individuals who are regularly
collecting data during outings – fishermen, dive operators, school groups, service
organizations – should be made aware of projects and information needed for the
purposes of national policy development. (Private sector stakeholder)
This participant response explains that The Bahamas needs to institute a central-
ized, standardized, and equitably accessible data collection system and collaboration
platform focused on environmental concerns relevant to the country. This explana-
tion aligns with the UN’s 2022 assessment of SDG attainment by the entire Carib-
bean region that is struggling in part due to “challenges with data availability,
robustness, transparency, and dissemination.”
Further, the participant’s referral to fisherman etc. as sources of critical data
collection speaks first to Scobie’s (2016) point about the need for Caribbean SIDS
to improve and increase stakeholder collaboration. Second, it highlights the potential
contribution of citizen science to quality policy creation, in addition to increasing
public engagement, awareness, and diversly sourced data collection. Hecker et al.
(2019) observe, “policy documents seem to be influenced strongly by the citizen
science discourse in the science sector” (p. 32). Thirdly, this embrace of
collaboration between scientists and lay persons emphasizes Crossley and Sprague’s
(2014) argument that human resource constraints exist among SIDS that limit
capacity and make policy implementation challenging.
Research useful to attainment of the environment-focused SDGs can be collected
and effectively shared. Collecting, updating, and distributing high-quality data from
islands across the archipelago would demonstrate sensitivity to each island’s unique
social, geological, and economic composition. While there is increased advocacy for
greater implementation of current national policy and planning initiatives, the
country can facilitate a successful SDG implementation by ensuring that within
these policies and initiative there is room for customization that evidences respect to
the unique environmental topography of each island, strengthening accountability by
expanding the environmental focus to like-minded spaces, i.e., the Wider Caribbean,
and creating a digital repository that also encourages collaboration and engagement
across local and regional stakeholders.
Identifying and Correcting Deficiencies
Participant answers discussed in this sector are in response to Question 2: Where are
the deficiencies and how can they be corrected? Responses to Question 2 may be
categorized into three areas: implementation challenges, research challenges, and
education awareness challenges. For this analysis, research challenges include
concerns over how data and information in relation to environmental issues is
managed in the country and by stakeholders themselves. Policy implementation
issues such as data collection, access, monitoring, and project budgeting, planning,
and effective delegation are addressed under the implementation challenges theme,
and across the various environmental issues, as mentioned by several participants.
Table 3 presents a summary of the themes, weighed mean rankings, and Kendall’s W
score.
Kendall’s W for Question 2 is equal to 0.25, which suggests great divergence
among stakeholders as to primary deficiencies plaguing environmental sustainability
efforts in country. Scrutinizing the ranking results, however, suggests that NPOs, the
Table 3 Ranking of responses to question 2 by stakeholder/judges and related Kendall’s correla-

tion of concordance
Question 2: Where are the deficiencies?
Stakeholder/ Implementation Research Education Awareness
Judge challenges challenges challenges
Government 1 2 3
NPO 3 1.5 1.5
Private 3 1.5 1.5
Academia 3 1.5 1.5
MEAN RANK 2.5 1.63 1.88
private sector, and academia are of one accord in their views concerning key
deficiencies, with perspectives from government stakeholders operating as the
primary outlier. Government sector participants responded to this question by
identifying challenges that prevented them from fully carrying out their policy
mandates. Considering that the government is the lead policymaker, this finding
suggests that this stakeholder is sensitive to its deficiencies and desires to operate
more effectively. Similarly, in recognizing that of the three themes, research and
education awareness more reflect the dominant business of the private sector,
NPO/NPOs, and academia, it is these two categories that they more readily identify
with and prioritize deficiencies. The overall inconsistency in responses and rankings
between government and nongovernment sectors concerning Question 2 therefore
likely reflect their professional background and related streamlining of thought.
Without agreement on key deficiencies concerning environmental sustainability,
efforts made to resolve identified deficiencies become restricted and at risk of
demonstrating no lasting impact.
When scrutinizing participant responses, great overlap exists between the three
major themes. For example, one participant elaborated on the challenges associated
with effective implementation of photovoltaic (PV) projects as governed by current
renewable energy policies:
• Each PV project is done in isolation without the knowledge about performance of

one informing future projects. Greater communication between PV project devel-
opers needs to occur. (private sector respondent)
Highlighting communication inefficiencies between PV project developers sug-

gests that data access and monitoring challenges exist in the renewable energy field.
The participant also laments that communication inefficiencies exist between the
three agencies collectively responsible for PV application and licensing procedures.
This lamentation confirms Scobie’s assessment that Caribbean government agencies
tend to operate in silos and demonstrate “an unwillingness to share data” (Scobie
2016, p. 16). These challenges in data collection and sharing were noted across
environmental areas. For example,
• With regards to the many useful sources of climate data and information that exist
in and on The Bahamas, there is little standardization regarding how/when/where
records are collected. For example, in the absence of a national weather &
metocean instrument network, much of this information may be collected on a
project-by-project basis across the archipelago, whether for capital or develop-
ment interest, but not shared with the public. (private sector respondent)
From this extract, it seems that while The Bahamas has signed on to some
international and local agreements to strengthen pursuit of environmental sustain-
ability, fundamental systems for effective data collection and management remain
outstanding in the private and government sectors. These data collection challenges
hinder effective implementation because they inherently make collaborations less
effective and accessible. Collaborations in general were also identified as challeng-

ing thanks to the subpar quality of personal general assigned to policy creation
bodies. Committee members on policy creation bodies may lack engagement,
expertise, and sometimes interest. Sometimes, a lack of government interest is also
responsible for environmental deficiencies throughout the archipelago. Delayed
adoption of the country’s energy policy, for example, suggests confirmation that
resolving the energy challenges will be messy and disjointed (Meadowcroft 2009)
even as it supports relevance of Scobie’s critique that political will in the region
toward SDG pursuit is lacking (2016). Under this subheading of deficiencies, one
participant lamented that the budget for public sector environmental agencies is
subject to current government priorities. This view highlights the perspective in the
literature that government prioritization of SDG issues remains a key challenge as
the government has yet to effectively enforce some of their own policy mandates:
• A key deficiency centers around environmental policy creation and enforcement.

For example, the communities in South Andros have been permitted to cut down
the trees in the pine forest which are needed as freshwater aquifers. (NPO/NGO
stakeholder)
• In Abaco and Grand Bahama [persons are] building in low lying areas, and then
rebuilding back in the same places continues to take place [after hurricane
damage]. Better construction methods and inspections being done are not hap-
pening, and material choices such as building exteriors of ply and or T 1 11
(which cannot withstand a CAT 5 storm) are still being used. (NPO/NGO
stakeholder)
• No resources are put in place to prevent unauthorized fishing in reserved sea
parks and the careless polluting of Bahamian waters by vacation yachts, etc.
(NPO/NGO stakeholder)
• Another major deficiency concerns the pollution dumped into the ocean by cruise
ships as they pass through Bahamian waters en route to their destination.
From these excerpts, participants seem to express a sense of condonement on part

of the government as a deficiency with ramifications on the country’s environment.
Here, condonement appears to be connected to the implementation deficit affecting
certain environmental policies and refers to the passive acceptance of the over-
looking of harmful, offensive, or immoral acts related to environmental protection.
Known issues continue without policy remedies, and this is particularly the case with
international tourism-related activities. This is particularly true where water man-
agement regulations under SDG 11 do not address environmental degradation
caused when pine forests, which are needed as freshwater aquifers, are cut down.
This discourse is consistent with prior research in environmental studies in the
country (Buchan 2000). However, this acknowledgment of policy deficiencies
must also be considered within the understanding of the government-limited
human resource capacity and expenditure, a challenge common to SIDS (Dagher
2019). These deficiencies must also be considered relative to the vast expanse of sea
water and islands to manage, per the country’s inherent archipelagic fragmentation.
With only Bahamian citizens possessing the right to enter the local transportation
sector, current transportation capabilities within and between islands remain archaic
and contribute to the challenges facing effective environmental sustainability
through management, accountability, and innovation and cost-effectiveness.
Private sector innovation in the country is not limited to transportation but has
also been critiqued by participants as contributing to deficiencies in effective man-
agement in other areas of the environments. Several people recognized that private
sector deficiencies also exist in the areas of innovation and public engagement. For
example, in the water management sector of the country, a private sector stakeholder
noted that innovation is low. In the energy sector, another private sector participant
observed that the national concentration on solar and PV projects fosters limited
engagement with other RE technologies that may be more effective for the Bahamian
topography and socioeconomic area. An academic expressed frustration with the
lack of RE and SDG engagement by the country’s tertiary education providers. This
lack of engagement in the development and implementation of renewable energy
locally relates to stakeholder frustrations over data standardization, centralization,
and accessibility challenges that stagnate opportunities for partnerships and faster
output while increasing the likelihood of data duplication. These data fragmentation
strengthens ongoing networking deficiencies because it means that across the dif-
ferent environment sectors multiple projects end up occurring throughout the archi-
pelago in isolation to each other; because findings are not shared with the public,
data is often lost as groups and individuals such as fishermen and women, for
example, are not always aware of the utility of the information.
Lastly, a deficiency concerning the quality of engagement seems to also exist. For
example, one participant confessed that stakeholder collaborations on policy crea-
tion and committee designation often invite suboptimal performance due to inade-
quate engagement, expertise, or interest. In sum, participants responses collectively
presented under the deficiencies’ subheading suggest that SDG deficiencies related
to the country’s environment are caused by challenges identified as weakness across
in the country more broadly and are common to SIDS; they include a lack of
incentives to attain stated objectives, inadequate availability or use of information,
and overall weak management (Ram et al., 2017; Fajgenbaum and Loser 2018,
p. 95). Undergirding these challenges lie issues of funding, lack of personnel,
insufficient research, social conflict, ecological susceptibility, and varying degrees
of public awareness. These foundational issues are the ones exacerbated by the
pandemic (UN 2022).
Correcting Deficiencies
When examining participant responses on part two of Question 3: How to correct

environmental policy and planning deficiencies, three overarching responses
emerged: strengthening research and development, enhancing policy effectiveness,
and maximizing partnerships. Respondents stressed that technological innovations
as well as technological maturations in the areas of potable water, sanitation, and

renewable energy need to be intentionally researched for applicability to the Baha-
mian context. For example, given The Bahamas is surrounded by salt water,
technological innovations in desalination makes it a noteworthy option for residents
to adopt it as a sustainable source of potable water, as this is currently not the case.
Research is needed for the country to ensure it is well positioned to take advantage of
the maturing of other technologies. Interviewees also stressed that the need for the
government to develop a centralized and standardized data collection system for all
professionals engaged in such data collection. Some suggested that the government
ought to take on this responsibility to create and manage a data repository because of
their regulatory capacity, requiring many environmental projects to be submitted,
reviewed, and approved before operationalization. Students, researchers, and other
government officials will have access to the data if the government decides to store it
and will be able to utilize it to undertake evaluations and discover local patterns to
better respond to environmental challenges in the country.
As mentioned earlier, there was also agreement among interviewees across the
sectors that many deficiencies can be corrected simply by fully enforcing existing
polices while amending others. For example, in addition to enforcing current levies
and fines, one participant mentioned that full enforcement of existing policies such
as The Bahamas Building Code, across all islands in the country, will prove helpful.
This participant elaborated the use of technology per virtual site visits at every stage
of the construction process from those inspectors based in the capital to mitigate the
challenges of building across and archipelago of 20+ lesser-developed, inhabited
islands. This participant also advocated official adoption of regional standards into
the country’s building code. Interestingly, no government interviewees mention
adoption of the country’s National Development Plan as a key force, nor did they
highlight opportunities available through collaboration efforts with regional organi-
zations such as CARICOM. However, such ideas were repeatedly suggested by
private sector and civil society participants. Interviewees from the private sector and
government stress the need for tertiary institutions to strengthen their research and
development as well as its digital footprints through data collection, management,
storage, and public education, and regional collaboration. The perceived value of the
national university appears to the centralizing force and potential for remedying
challenges related to environmental concerns, SDG attainment, strengthening pri-
vate sector engagements, improving public education, pursuing regional develop-
ment, and maximizing participating from international funding organizations.
Stakeholder perceptions of how to mitigate environmental deficiencies for sake of
environmental wellness and SDG attainment seemingly emphasize the country’s low
hanging fruit.
Success Stories and Replicability Potential
Several success stories identified by participants focus on policy and legislation

wins. For example, successful organizational authorities secured legislation that
ensured protection over forestry, biophysical monitoring and animal protection, tax
removals or reductions on (renewable energy) RE items, and hybrid and electric
vehicles. Additionally, several research initiatives and projects were identified by
stakeholders as successful. The following excerpt provides an example of how a
funded study carried out by one government department became a replicable success
story thanks to another government sector:
• Studies carried out on the groundwater resources of The Bahamas under the
Bahamas Land Resources Survey (BLRS) were a major achievement. The islands
not included in this study were subsequently investigated by the Ministry of Works
and the WSC so there is information available on every inhabited island. The
major factor not covered or addressed by the BLRS study was the concerns of
climate change and particularly that of rising sea levels and the threat posed by
storm surges. Research is now needed on how these will impact the water
resources of each island and a time frame needs to be developed on the loss of
the groundwater resources of each of the major islands. Modelling may be the
best way to approach this problem. (private sector stakeholder)
Baseline studies carried out by one agency concerning groundwater resources

on some islands of The Bahamas were a major achievement and the project was
then replicated by other agencies so there is now information available on every
inhabited island. Not only was this initiative by a government agency successful,
but it was also successfully continued by another government agency and holds
potential for further expansion in different ways. Similarly, another participant
drew attention to a successful project centered on monitoring of marine water
quality and the testing well water used by private homeowners after a major natural
disaster, which was initiated by a civil society organization; this participant
advocates that government adopt and continue the project alongside an education
campaign teaching homeowners about safe water quality levels and how to treat
well water.
To facilitate the replication of such success stories, three participants mentioned
the use of the financial support received from penalty funds to support replication of
these policies, plans, and programs. In addition, networking collaborations and
partnerships have also generated success stories of replicable quality.
• Success stories lie with the Bahamas National Trust. In addition to being a
member of the National Climate Change Committee, the Trust has been granted
opportunities to restore areas in The Bahamas that have been impacted by
erosion and other detrimental impacts because of Climate Change. This oppor-
tunity resulted from its partnership with the Coastal Resilience Network
(ICZM Project, The Northern Bahamas Restoration Project, and partnerships
with The Perry Institute for Marine Science) and Nature Base Solutions.
Additionally, the Terrestrial team at The Bahamas National Trust is currently
working on a monitoring plan for species found in the national parks.
From this excerpt, partnerships prove to be fruitful activities for the generation of
replicable success ventures; at least one organization partners with an international
institute which then connected them to a local initiated that provided them with
access to an expansive network of support for a variety of environmental well-being
projects. Additionally, to improve the success and quality of projects in general, one
private sector participant hoped to see the government adopt the practice of many
IDB and CDB-funded projects that mandate climate risk and vulnerability assess-
ments (CRVA) or have climate-resilient design goals embedded in their environ-
mental and social impact assessments. Lastly, participant responses also creatively
identified success points even when projects failed. For example, one participant
mentions the development of major solar projects as successful public awareness
campaigns despite the fact that many of the projects themselves have yet to prove
successful in practice (e.g., T.A. Robinson National Stadium solar-powered car park,
Anatol Rodgers energy conservation measures and solar project, and Cecil Wallace
Whitfield Centre). Overall, participant responses highlight successful action steps
taken by Bahamian stakeholders to mitigate environmental issues in the country and
to increase momentum toward SDG achievement. The next section explores what
more can be done in terms of new initiatives to streamline and speed up SDG
progress and attainment.
Stakeholder Recommendations
Participant answers shared in this section are in response to Question 4: What new
policies, programs, or initiatives are needed, and how best can the private sector be
engaged to develop and execute them? Responses emphasized four areas: incentives,
research support, public awareness and education, and quality assurance controls,
with Table 4 ranking the frequency of these response and measuring the level of
agreement between them.
Kendall’s W for Question #4 is equal to 0.63 which indicates a relatively decent
level of agreement among stakeholders about the best way international organiza-
tions and partnerships can assist in supporting environmental sustainability and
Table 4 Ranking of responses to question 4 by stakeholder/judges and related Kendall’s correla-

tion of concordance
Question 4
Stakeholder/ Research Public awareness and Quality assurance
Judge Incentives support education controls
Government 4 2 2 2
NPO 3.5 3.5 1.5 1.5
Private 4 1 2 3
Academia 4 2.5 2.5 1
MEAN 3.88 2.25 2.00 1.88
RANK
bringing about SDG attainment. The ranking of quality assurance controls as most
important among stakeholders aligns with findings from the previous sections that
emphasize the need for more effective policy creation and implementation. The close
second and third rankings of public awareness and education, and research support,
respectively, also appropriately align with responses collected from the previous
questions. Also, considering that while the questions were open ended, the responses
for each question seem to align, per a focus on improving policy implementation,
which suggests that all participants are generally applying the same standard of
thinking, which may reflect the shared cultural background. Athukorala (2004)
argues that inadequate environmental policy measures and quality control practices
and procedures on SIDS may be attributed to government prioritization of revenue
supported by foreign investment, which according to Dagher (2019) may over-
shadow needed focus on a country’s limited internal market, institutional capacity,
innovation, and competitiveness.
For example, one participant encouraged the government to strengthen its
research base used to create policy and legislation intended to protect the archipel-
ago’s environmental resources:
• Have Members of Parliament conduct research to determine which plan would

work best for their communities and its financial feasibility. Plans and costs
should be submitted to the government to be discussed, voted on and become
an act or law. In each case, fines must be put in place to ensure that the course
planned for each area is fulfilled and those who break the law must be penalized.
(NGO/NPO stakeholder)
This participant encourages the country’s government, a key stakeholder and

decision-maker, to ensure it conducts thorough investigations and is properly edu-
cated about the country’s environmental disposition and culture, and to pursue
specialized knowledge of their constituency area. Similar conclusions may be
determined from remarks offered for effective water management and sewage
systems, and renewable energy developments; while respondents’ suggestions differ
and even conflict at times (e.g., building of rainwater tanks, solar-powered osmosis
plants, desalination systems, etc.), they all acknowledge the strategic organization of
water resources must be grounded in an understanding that water sources vary
according to each island and that settlements can be great distances from each
other. These suggestions reiterate the earlier-mentioned emphasis for a customized
approach toward the SDGs and also the need to conduct research studies with a
corresponding policy development focus and sensitivity to each island’s unique
landscape. Reiterations of the importance of education and enforcement connects
to the realization that although an archipelagic nation, The Bahamas’ government
primarily operated through centralized authority rather than a decentralized system
and management structure; the country possesses no local government system
available for the most populous island of New Providence. This consideration offers
itself as a prerequisite to effective environmental policy enforcement in an archipe-
lagic nation.
The advocacy made by participants for a customized research and policy

approach was complemented by advocacy for new research initiatives of a more
general or country-wide nature as well. For example, one suggestion highlights an
innovative use of salt, which is an ordinary and plenteous natural resource of the
country. Rather than exporting salt out the country, it advocates use of this natural
resource to build ridges that can create higher ground in the country to assist in
reducing flooding. Another recommendation cites mandatory integration of disaster/
crisis management plans as clauses into current policies, programs, and initiatives
that acknowledge alternative methods to achieve freshwater and deal with septic
waste. Investigations and policy creations around preserving life underwater may
additionally be viewed more uniformly with country-wide application. Examples
include studies on how to reduce ocean acidification in Bahamian waters, and on
assessing its impact on marine organisms with calcium carbonate shells, etc. Partic-
ipants also mention a variety of education campaigns that can prove successful
through their generic application. New public education initiatives (inclusive of
scholarships) include sharing the importance of pine areas to preserve freshwater
sources, discouraging marine pollution, nurturing a culture of preparedness for
climate change (as opposed to adaptation), and promoting overall ocean health as
well as physical health:
• An education program concerning our diets and our health issues needs to be
addressed. We need to encourage our population to eat less meat and eliminate
cows as the methane produced to raise them worldwide is more of a threat than
fossil fuels. (private sector stakeholder)
In addition to promoting informal education initiatives such as proper food and

nutrition, participants highlight possible collaborative efforts between public and
private sectors; the mechanism for facilitating successful collaboration proved
similar across stakeholder responses and includes recognition that (1) messaging
should be agreed on and circulated within the sectors; (2) engaging of stakeholders
on all levels of national policy and planning creation through workshops, trainings,
and support through small grants to encourage individuals to engage in the SDGs;
and (3) the pooling of resources through inclusive and transparent public-private
partnerships for communicating reaches a wider local, national, regional, and global
network.
Several participants also paid direct attention to the formal education systems at
all levels. At the primary and secondary school levels, suggestions offered range
from making gardens mandatory on all school campuses, and by implementing first
aid training and water safety as well as other climate and disaster management
education in school and after-school program curricula. At the tertiary level, two
private sector participants acknowledge that they would feel greater incentive to
invest in renewable energy efforts if the country’s national university played a
greater role in the attainment of SDGs and in the addressing of environmental issues.
Participants also suggest that the national university provides training required for
international certifications, and that it collects and analyzes data from various private
and public sector environment projects, investigates innovative environment tech-

nology options and become a leader in their design and development, ensures best
practices are followed in areas of environmental concerns, and leads public educa-
tion and data translation campaigns.
Participants also identify ways that private sector and international funding
organizations can best support SDG attainment. Suggestions include their facilitat-
ing the opening of labs and offering of lab certifications based on set standards or
global guidelines. This idea means that indigenous samples will no longer have to
leave the country, and the emergence of new revenue opportunities for the private
sector. Other suggestions made that directly benefit businesses and the economy
emphasize incentivizing businesses to focus on water source management, sanita-
tion, and the manufacturing of salt-related products, as well as by lowering or
eliminating the duty on solar-powered golf carts and motor scooters for the benefit
of tourism, for the reduction of traffic congestion, and to reduce the number of
vehicles and related fossil fuel emission. Additional suggestions include greater
participation from the private sector, offering feedback on legislative proposals, as
consultants, and working on technical advisory committees (TACs) organized to
create terms of reference and to review interim deliverables for future government
and civil society projects.
Overall, the common stakeholder response emerging from the data emphasizes
greater collaboration. Stakeholders advocate the need for SDG promotion and
awareness to be an ongoing dialogue if 2030 targets are to be achieved. Engaging
stakeholders in continuous dialogue on the SDGs is needed alongside the develop-
ment of an extensive, comprehensive, and community-based educational campaign.
With continuous funding provided for participating stakeholders, innovatively
designed calls to action can be made across major media platforms. The goal of
attaining a more educated and engaged populace focused on the SDGs will provide
an opportunity to develop, strengthen, and enhance the value of networks through
meaningful and sustainable relationships.
Conclusion
This chapter contributes to knowledge on aligning environmental landscapes to the

United Nations SDGs at the government, private sector, and civil society level. It
highlights stakeholder perceptions that SDG attainment in The Bahamas, increasing
public and private sector awareness, education, collaboration, and consultation at all
levels, is central to national policy and planning success. Its findings emphasize both
standardization and customization as imperative to SDG success in an archipelagic
nation. Such factors are critical when exploring how implementation efforts across
the Caribbean region can be strengthened and supported. A key objective of this
chapter is to provoke a better understanding of the interconnectedness between
government, civil society, and the private sector activities in the context of SDGs
6, 7, 14, 15, and 17. This chapter also discerns and discusses agreement levels
between stakeholder groups on best practices, deficiencies, and suggested next steps
in the movement toward environmental sustainability. This contribution joins

research that seeks to provide industry practitioners, NGOs/NPOs, researchers, and
policymakers with bottom-up as well as top-down policy perspectives specific to
sustainable environments and opportunities for private sector and international
organization involvement (Nair and McLeod 2020).
This chapter’s findings are consistent with related research on ways that policy
activities can be enhanced in the country and region (Hall 2019). From these
findings, this chapter identifies the dominant policy discourses on how the Baha-
mian environmental concerns aligns with the SDGs. This chapter additionally
explores discourses that may stimulate future policy discussions, to include greater
focus adaptation on the SDGs for the sustainability of the environment in The
Bahamas. This chapter also illustrates the need for future qualitative research on
public-private partnerships (SDG 17) for sustainable environmental care. Overall,
in recognizing while national crises like pandemics and hurricanes trigger change
in the policy and development planning practices of a nation, they may also be a
ripe opportunity to generate inclusive balance to the national SDG formal policy
and planning process (Suwandi 2019). Such action was taken in April 2022 with
The Bahamas becoming signatory to the becoming signatory to the United Nations
Multi-County Sustainable Development Corporation Framework. Therefore, while
the COVID-19 pandemic delayed or stopped many of its in-person conferences and
dialogues aimed at promoting the SDGs, the greatest need for stronger collabora-
tion and partnership is still an advancing agenda and action. Its creation and
adoption support the exercise presented in this chapter that overall, adhering to
SDG 17: Partnerships for the goals – “it is important for all projects, programs,
initiatives to include and engage the public at all levels” – is the best way to
accomplish all other SDGs in an archipelagic nation.
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The Deployment of Artificial Intelligence for
Social Policy to Fight Poverty in Colombia
Roberto Garcia Alonso, Ulf Thoene, Diego Davila Benavides, and

Gabriel Lozano
Contents
The Deployment of Artificial Intelligence for Social Policy to Fight Poverty in Colombia . . . 1330
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1330
AI, SDGs, and Social Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1331
Colombia: Government Data and the Application of AI in Social Policy . . . . . . . . . . . . . . . . . . . . 1334
The System for the Identification of Potential Beneficiaries of Social Programs
(SISBEN) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1336
Comparative Databases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1338
Discussion: SISBEN IV, Algorithms, and the Digital Welfare State . . . . . . . . . . . . . . . . . . . . . . . . . . 1340
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1342
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1343
Abstract
Since 1995, the Colombian government has used the System for the Identification
and Classification of Potential Beneficiaries (SISBEN) to target and direct social
spending toward individuals from the most vulnerable sectors of the population.
In the fourth and latest version of the SISBEN, the Colombian government began
to use artificial intelligence (AI) and data analytics technologies to spot inconsis-
tencies in the SISBEN database and identify individuals who might be providing
R. Garcia Alonso
Universidad de La Sabana, Bogota, Colombia
Universidad de Salamanca, Salamanca, Spain
e-mail: roberto.garcia@usal.es; roberto.garcia@unisabana.edu.co
U. Thoene (*)
Universidad de La Sabana, Bogota, Colombia
e-mail: ulf.thoene@unisabana.edu.co
D. Davila Benavides · G. Lozano
Universidad Santo Tomas, Bogota, Colombia
e-mail: diegodavila@usantotomas.edu.co; yamidlozano@usantotomas.edu.co

https://doi.org/10.1007/978-3-031-16017-2_46
1330 R. Garcia Alonso et al.
false or misleading information to better channel public spending earmarked for

antipoverty programs. The use and application of AI is envisaged to foster
innovation, efficiency, and effectiveness.
The Sustainable Development Goals (SDGs) are a set of targets set out to
achieve inequality and poverty reduction and sustainability, as well as create more
resilient institutions and public policies. A key aspect of achieving this policy
agenda is the explicit use of information and communication technologies,
particularly AI. The use of AI is seen to contribute to more effective public
policies and processes. It has shown enormous potential for transforming public
policies and processes in low- and middle-income countries such as those in the
Latin American and Caribbean region.
The impact of the Fourth Industrial Revolution (4IR) on the provision of
public goods and services has been discussed in the context of generating well-
being or in terms of the digital welfare state. This concept is best understood as
rights guaranteed and rendered more accessible by the state through the emer-
gence of information and communication technologies in the implementation and
design of public policies. Despite ongoing data ethics and privacy concerns, the
Colombian state has made significant progress in the provision of normative and
institutional frameworks for the collection, aggregation, exchange, and innova-
tion in the use of government data.
Keywords
Artificial intelligence for development · Colombia · Digital social welfare · Public
sector innovation · Social policy · Sustainable Development Goals
The Deployment of Artificial Intelligence for Social Policy to Fight

Poverty in Colombia
Introduction
While the scope of government action on structural issues such as extreme poverty
and social inequality has been the subject of ongoing public and political debate, the
constant insertion of new methodologies, leveraging technologies such as artificial
intelligence (AI), has enabled the establishment of more efficient mechanisms to
target public social spending in Colombia.
AI shows special promise in decreasing and optimizing government social
spending (Noriega-Campero et al. 2020). The System for the Identification and
Classification of Potential Beneficiaries (SISBEN) is the algorithm used to allocate
social program funds by individually qualifying the Colombian population in terms
of income. In its fourth and most recent version, the government will begin to use
data analytics technologies to search for inconsistencies in the database, punish
alleged abusers, and limit the number of people who can access benefits. Moreover,
the implementation of the AI-based fourth version of SISBEN is expected not only
The Deployment of Artificial Intelligence for Social Policy to. . . 1331
to improve the flow of information but also to contribute to achieving the Sustainable
Development Goals (SDGs).
The SDGs are a set of targets for achieving inequality and poverty reduction and
sustainability, as well as creating more resilient institutions and public policies. A
key aspect of this agenda is the explicit use of information and communication
technologies, particularly AI. The use of AI can contribute to more legitimate public
policies and processes (Pencheva et al. 2020). AI has shown enormous potential for
transforming public policies and processes in low- and middle-income countries
such as those in the Latin American region. The impact of the Fourth Industrial
Revolution (4IR) on the provision of public goods and services constitutes part of the
discussion on welfare provision and the digital welfare state. For Ala Fossi et al.
(2019), this concept should be understood as a series of rights that must be
guaranteed through information and communication technologies in the implemen-
tation and design of public policies.
The Colombian state has made significant progress in providing regulatory and
institutional frameworks for the collection, aggregation, exchange, exploitation, and
innovation in the use of government data (DNP 2018; Ortegon-Cortazar et al. 2020).
By understanding the importance of SISBEN as a determinant axis of social spend-
ing, it is possible to assert the relationship between AI, SISBEN, and SDGs,
specifically SDGs 1.3, 1.4, 1a, 1b, 9b, 9c, 16.5, 16.6, and 17.14, 17.15, 17.18, and
17.19.
UN Sustainable Development Goals 16 and 17 can be related to several public
value results. Hence, SDG fulfillment indirectly results in the attainment of such
public value-related outcomes. Furthermore, as far as fulfillment of SDGs 16 and
17 is concerned, the adoption of digital technologies in public administration,
specifically tax administration, has a potentially positive impact on public value,
technologies whose implementation is not without challenges (e.g., data governance,
automated decision-making).
AI, SDGs, and Social Policy
In recent years, innovation processes have materialized in the application of algo-

rithms based on AI for massive data analysis and to support decision-making in the
public sector (Leslie 2019). According to Gomez Mont et al. (2020: 12), “AI is a
field of study focused on the development of capabilities in computational systems
that are used to perform tasks previously considered exclusive to human intelligence,
including reasoning, learning, and problem solving, to mention just a few.”
Rouhiainen (2018) states that machine learning is one of the main approaches to
AI. This enables computers or machines to develop the ability to “learn,” generating
suggestions or predictions in a specific situation and based on a given data set. In
other words, machine learning extracts or assimilates patterns found in the data sets
to generate decision mechanisms. The learning types are multiple and can be
categorized into supervised, unsupervised, and reinforcement learning. Supervised
learning uses data that have been previously labeled or organized to influence what
the algorithm should do with new information. This method, as evidenced, requires
human intervention to provide a feedback process (Rouhiainen 2018). In
unsupervised learning, the data have not been previously organized or labeled. As
a result, the algorithm must extract the necessary patterns autonomously and does
not require human intervention. In reinforcement learning, algorithms learn from
experience (Rouhiainen 2018). In other words, the operator delivers a “positive
reinforcement” in each case it gets right.
Criado et al. (2021: 2) argues that AI is part of the Fourth Industrial Revolution
(4IR), a new technological wave in the public sector: “characterized by some
disruptive features, including the diffusion of big data, social media, autonomous
systems, focus on innovation, disruptive role of technologies, emergence of trans-
formative organizational types (holacracy) or open and collaborative cultures.” In
summary, the 4IR is characterized by a “fusion of technologies that is blurring the
lines between the physical, digital and biological spheres, with unprecedented
exponential speed, scope and impact for almost all industries in all countries”
(DNP 2019: 8).
The impact of the 4IR on the provision of public goods and services is framed in
the discussion on the provision of welfare or the digital welfare state. For Ala Fossi
et al. (2019), this concept is understood as a series of rights that should be guaranteed
to the population through the irruption of information and communication technol-
ogies (ICTs) in the implementation and design of public policies. These rights are
• Access: In very general terms, it speaks of equal access to services such as

information or entertainment, insofar as they are aimed at satisfying an
individual need.
• Availability: A complementary right to access since it is not only important that
the information or entertainment be accessible, but also that it be varied (different
types of content).
• Dialogic rights: Refers to the digitalization of public space where people can
debate or share opinions on public issues or interests (typical of a traditional
public space).
• Privacy: This is understood as the protection of personal data, even when these
are processed by the state.
For Eichhorst and Rinne (2017), the concept should go beyond an enunciation of
rights and focus upon the automation of administrative and public policy processes,
on the understanding that the state seeks to create predictive models of social
behavior through the implementation of new technologies and statistical techniques
(data mining and machine learning). Therefore, the digital welfare state must not
only guarantee rights, but also be operational in terms of data modeling and use of
algorithms capable of understanding and predicting social needs. However, it is also
imperative to control these elements through open data and open source to
strengthen data and algorithms (e-transparency).
The approach taken by Larsson and Teigland (2019) is more traditional and,
therefore, closer to the usual definition of the welfare state, understanding that the
category “digital” is descriptive and operational in the sense that it emphasizes the
importance of new technologies in the delivery of sectorized goods and services to
the population. Public issues or matters such as health and social security, education,
and citizen protection should be strengthened with ICTs.
However, using AI-based systems does not come without challenges and caveats.
As van Zoonen (2020) asserts, “This transition to data-driven social policy, captured
by the term ‘digital welfare state,’ almost completely takes place out of political and
social view, and escapes democratic decision making.” Hence, there is a rich
discussion surrounding AI for public value in terms of governance, ethics, and
citizen participation, among others. The main concerns revolve around, on the one
hand, the creation and implementation of an AI system that widens the inequality
gap through exclusionary parameters, and, on the other hand, that the state, in
rushing to create a digital welfare state, disregards data protection regulations,
which, in turn, touches upon ethical issues and privacy concerns.
In fact, the potential of AI technologies to promise positive social change and
impact drives their adoption by governments worldwide. However, the United
Nations Human Rights Commissioner (2019: 19, 10) emphatically warns of the
“risk of stumbling, zombie-like, into a digital welfare dystopia” and recommends
that human rights should be at the center of this digital governance era so as to ensure
social protection and in order to avoid “designing the digital welfare state not as a
Trojan Horse [. . .] but as a way to ensure a decent standard of living for everyone.”
This “Trojan Horse” refers to the creation of a “police robot” in terms of social
benefit eligibility in which AI, rather than reaching the poorest, ends up targeting and
punishing the poor because they fail to meet the algorithms’ parameters. Further-
more, any AI used to implement public policy is fed with the data collected from the
population and diverse database sources, from credit history reports to criminal
records. This information requirement poses a risk for beneficiaries in terms of
their data privacy, as well as their inability to correct errors or challenge the
algorithms’ outcomes. The human rights dimension is complex and palpable when
talking about social benefits since there is a direct and insoluble relationship between
social protection and the right to life with dignity, which, implies, in turn, access to
basic goods and services.
Human rights are the basic building block underlying the SDGs, which is why it
is key to frame and align any digital transformation to its goals and targets. Ramdey
and Bokhari (2021: 841) analyze the digitalization of welfare schemes in India from
a sustainable development point of view, finding that AI for social welfare schemes
that specifically target the most vulnerable populations in rural areas “can be used to
bridge the information divide that can also help reach development goals.” The
authors emphasize how these new technologies can be used to encourage citizen
participation and community outreach. Furthermore, Ramdey and Bokhari (2021:
841) show that, in terms of welfare schemes that use AI, SDG 17, named “Partner-
ships for Goals,” is key to expanding access, but also in designing “people-centered
solutions.”
Khamis et al. (2019) assert that, if used correctly, AI, robotics, and automation
will help governments achieve their SDG goals. The authors are not ignorant of the
ethical challenges that these digital technologies pose, but they highlight their
environmental and socioeconomic benefits if implementers aim to minimize nega-
tive impacts, such as a lack of qualified personnel and humans forced into unem-
ployment by technologies, by clarifying misconceptions and showing the other side
of the coin. Hence, they acknowledge the historical problem with the adoption of
new inventions, from the wheel to the computer, yet evidence the opportunities and
possibilities that arise in terms of sustainable development. AI poses the same
challenge the invention of the internal combustion engine represented for carriages
pulled by horses, or the impact of industrialization on farmers, or the Internet on
libraries. Yet such challenges should not be reason to discard, but rather to do things
better for the benefit of humanity. It is significant that since AI’s inception ethical and
data protection issues have been brought to the fore. Khamis et al. (2019) elaborate
on how the negative impact can be reduced, anticipated, and corrected along the way
in a transparent and participatory manner.
The next section analyzes the advantages and challenges of AI use in social policy
in Colombia, and how the SISBEN is aligned with the SDGs (Table 1).
Colombia: Government Data and the Application of AI in Social

Policy
This data revolution has leveraged the development of the digital economy, 4IR, and
AI in the public and private sectors. Undoubtedly, AI currently underpins multiple
solutions with an impact on efficiency and productivity. However, the national
government recognizes that, whilst AI may have various benefits, it may also entail
risks that Colombian society will have to face and mitigate (DNP 2019). In partic-
ular, the possible deepening of social differences and inequities. In this scenario, the
state should adopt the necessary regulatory frameworks to adopt adaptive principles
to reduce gaps related to the adoption of this and other disruptive technologies.
In sum, we can assert that Colombia has aimed to establish an overarching
national data strategy through its data exploitation policy, the open data policy,
and the interoperability framework (CAF ). This has positioned the Andean country
as an AI governance and implementation frontrunner, so much so that the AI
Readiness Index (Oxford Insights 2021) recognized Colombia as a rising star in
terms of how it responsibly uses AI measured through four indicators: inclusivity,
accountability, transparency, and privacy.
AI permits innovation, efficiency, and effectiveness across all sectors. Successful
AI cases documented by CAF (2021) in Colombia indicate this. To mention a few,
the early warning system of some local governments aims to decrease corruption and
inefficiencies in public procurement processes through machine learning algorithms.
The Colombian Ministry of Transportation, together with de National Planning
Department (DNP), is working to identify tertiary and rural roads based on satellite
images and machine learning algorithms, including a mechanism that prioritizes
objectives. Other AI-based systems are either implemented or under development in
public health, education, waste management, and fiscal matters.
Table 1 Regulatory framework

Description
Decree 1151/2008 Online government is a strategy to achieve social inclusion and
competitiveness through the use of ICTs
(https://mintic.gov.co/portal/inicio/Glosario/G/5306:Gobierno-
en-Linea-GEL).
Law 1266/2008 Habeas data law. Regulates the collection of citizens’ financial,
business, credit, and services data (http://www.secretariasenado.
gov.co/senado/basedoc/ley_1266_2008.html).
Law 1581/2012 Establishes guarantees so that individuals can define the
collection, use, sharing, disclosure, updating, modification, and
suppression of their data. Also establishes the delegation for the
protection of personal data, attached to the superintendence of
industry and commerce, to supervise and guarantee that public
and private entities respect principles, rights, and guarantees in
personal data processing
(http://www.secretariasenado.gov.co/senado/basedoc/ley_
1581_2012.html).
Law 1712/2014 Law on transparency and access to National Public Information
defines “open data” as all those primary or raw data, found in
freely accessible and interoperable formats that allow access,
use, and reuse, which are safeguarded by public or private
organizations that perform public functions and which any
citizen, freely and without restriction, can use to create solutions
and services
(http://www.secretariasenado.gov.co/senado/basedoc/ley_
1712_2014.html).
2014–2018 NDP “Todos por The National Development Plan (NDP) recognizes the
un Nuevo País” importance of data as a public value asset.
Decree 1078/2015 Regulates the ICT sector
(https://www.funcionpublica.gov.co/eva/gestornormativo/
norma.php?i¼77888).
Decree 1008/2018 Establishes the general guidelines for digital government policy
(https://www.funcionpublica.gov.co/eva/gestornormativo/
norma.php?i¼86902).
Policy Document CONPES The National Data Exploitation Policy (big data) outlines five
3920/2018 major objectives: (1) personal data protection; (2) transparency
and open data; (3) access and interoperability; (4) administrative
efficiency; and (5) information reporting
(https://colaboracion.dnp.gov.co/CDT/Conpes/Económicos/
3920.pdf ).
Policy Document CONPES The National Policy for digital transformation and artificial
3975/2019 intelligence aims to enhance economic and social value in
Colombia through the strategic use of digital technologies in the
public and private sectors
(https://colaboracion.dnp.gov.co/CDT/Conpes/Económicos/
3975.pdf ).
Source: Authors’ elaboration
The System for the Identification of Potential Beneficiaries of

Social Programs (SISBEN)
SISBEN can be seen as a direct effect of the social, economic, legal, and political
changes brought about by the 1991 Colombian Constitution, which stipulated the
need to increase social spending through conditional and unconditional transfers
(Conover and Camacho 2009). In this sense, SISBEN is configured as an instrument
for public spending since it identifies Colombians living in poverty through infor-
mation collection and quantification processes (mainly surveys). Regarding the
variables and formulas for measuring poverty, SISBEN is understood as a “cardinal
indicator” since it assigns values from 0 to 100 according to the living conditions of
households. Therefore, those households that obtain a score close to 0 belong to the
poorest and those close to 100 to the richest (Conover and Camacho 2009). It is
essential to emphasize that SISBEN should not be understood as a mechanism
oriented exclusively to the targeting of households living in poverty, but also seeks
to carry out individual targeting.
Originally, SISBEN was understood as an instrument of the General Health
Social Security System (SGSSS), focused upon identifying beneficiaries of the
subsidized health regime. However, via Article 30 of Law 60/1993, it became a
targeting tool for the whole country’s social spending, at national and territorial
levels. On the other hand, the Colombian government policy guideline Conpes 22 of
1994 (DNP 1994) adopted socioeconomic stratification as the basic mechanism to
identify the potential beneficiaries of social policies in terms of geographic area and
for each territorial entity. It posed a series of problems since the information derived
from surveys in those locations deemed as the poorest failed to provide a universal
criterion, for example, the hidden dimensions of poverty, for the data and informa-
tion collection instrument, excluding potential beneficiaries.
Understanding the importance of SISBEN as a determining factor of social
spending and, especially, for conditional transfer programs, the system has under-
gone a series of changes throughout its 30 years, recently implementing its fourth
version. The first version, created in 1994, had the purpose of indirectly measuring
the level of welfare present in the country’s households, data obtained via the design
of an income index, which integrated elements such as durable goods and current
household income, among other elements, which in turn were grouped into four
groups: housing, services, human capital, and social security and demographics.
These elements comprised a socioeconomic scale, which categorized the surveyed
population from 1 to 6, as well as established cutoff points (rural and urban) that
facilitated the allocation of subsidies to the beneficiary population.
The model was updated to SISBEN II in 2003 due to issues of political and data
manipulation. This second version was implemented by the Directorate of Social
Development of the National Planning Department (DNP) and entailed the elimina-
tion of per capita income (household and individual) and the inclusion of the housing
stratum, which would be the basis to determine respondents’ vulnerability. However,
SISBEN II also included changes in the number of interviews and delimited the
benefits derived from social policies at the municipal level to prevent them from
being leveraged as a mechanism for electoral transactions (Conover and Camacho

2009).
The third version of SISBEN retained the same conceptual approach as the
previous version, which understood the system as a quality-of-life index and not
as an indirect measure of the level of household welfare (as SISBEN I originally
did). Among the most significant and enhanced changes is the inclusion of the
individual’s ability to achieve the average standard of living to combat poverty,
which transformed the traditional approach to welfare. Moreover, this version aligns
with the Millennium Development Goals (MDGs), integrating dimensions such as
health, education, housing, and economic vulnerability. It also considered multi-
dimensional indicators such as the Quality-of-Life Index, the Unsatisfied Basic
Needs Index (UBN), the Human Development Index (HDI), among others.
Finally, 2021 was the year SISBEN III was envisaged in its fourth version, which
seeks to strengthen the system with a social and productive approach to the estima-
tion of poverty (DPS 2020). Social inclusion in SISBEN IV is based on the United
Nations Economic Commission for Latin America and the Caribbean (CEPAL 2019:
92) definition: “The realization of rights, participation in social life, access to
education, health and care, as well as to basic infrastructure services, and the
availability of material resources such as income and housing.” In other words, it
seeks to generate actions that guarantee access to social services.
Regarding productive inclusion, the state also aligns SISBEN IV to CEPAL
(2019: 110) guidelines, defining it as “development-oriented policies that support
productive activities, the creation of decent jobs, entrepreneurship, creativity and
innovation, and to encourage the formalization and growth of micro, small and
medium-sized enterprises, including thorough access to financial services.” In sum-
mary, productive inclusion seeks to generate actions that guarantee access to suffi-
cient and sustainable sources of income so that the individual can acquire basic
goods and services.
Now it is important to understand that the inclusion approach means that SISBEN
IV assumes a comprehensive measurement of multidimensional poverty (social
inclusion) and monetary poverty (productive inclusion). However, it is necessary
to clarify that, whilst the inclusion categories strengthen identification
(in administrative records) of the types of poverty present in the surveyed popula-
tion, they do not replace official estimation instruments (Large Integrated Household
Survey and Quality-of-Life Survey).
SISBEN IV not only includes a statistical change with respect to the estimation of
poverty indices, but also streamlines databases and methodological instruments for
information collection. Among the most noteworthy changes is the use of techno-
logical tools to conduct the survey, thus replacing the use of paper and pencil;
secondly, the construction of a georeferencing portal that makes it possible to
identify at the local level the number of households or families living in extreme
or moderate poverty or vulnerable to poverty. Finally, there is a methodological
element that has implications for the statistical model as it will also consider the
capacity of households to generate income, an additional classification variable to
the quality-of-life survey.
The new version strengthens the measurement processes and variables, charac-
terizes the trajectory of poverty, from rural to urban, and contrasts its incidence
among territorial entities (municipalities and departments), which will facilitate the
design of better social policies with conditional transfers, where about 74% of the
records had not been updated since 2011 (DNP 2021).
SISBEN IV seeks to renew not only the variables and categories with which the
poverty condition of respondents will be interpreted, but also innovates in methods
of information collection through the implementation of specialized software. DNP
has developed a machine-learning Random Forest model to “identify an algorithm
that performs a robust prediction of the per capita income of the expenditure unit
through socio-economic variables” (DNP 2021). In other words, SISBEN VI con-
trasts social inclusion with productive inclusion, with respect to the capacity of
households to generate income or access basic goods and services, through the
analysis of dimensions such as housing, health, education, and labor markets. This
enables more precise identification of poverty conditions using a multidimensional
approach and the respective degree of vulnerability with respect to extreme poverty.
Comparative Databases
Through this model, SISBEN IV classifies the population using an approach

oriented to productive inclusion by weighting a class system based on income
(quality-of-life). Classifier A is composed of five subgroups (A1–A5) and includes
households living in extreme poverty; classifier B corresponds to households in
moderate poverty and comprises seven subgroups (B1–B7); classifier C includes
vulnerable households and comprises 18 subgroups (C1–C18); and classification D
includes households that are not living in poverty and comprises 21 subgroups
(D1–D21).
As an information system, SISBEN IV depends upon the interaction of several
actors to function properly. DNP is the entity responsible for its updates, oversight,
and implementation, in other words, the system’s manager. Municipalities ensure
application of the survey at the territorial level and can upload information daily and
finally, and most importantly, Colombian citizens who feed the system with their
personal data. This new version promises to be constantly updated and more secure
against fraud.
Using innovative methodologies, the AI-based SISBEN will make sure that the
benefits of 20 social programs reach those who need them most. In fact, the system is
framed as a tool for social justice since it provides a better gauge of poverty at a
departmental level and decreased data inconsistencies. In 2016, DNP flagged
384,000 inconsistencies, including persons scored as poor and receiving benefits
that in 42% of the cases were already deceased and 35% had a high income (DNP
2017). AI’s intrinsically advanced capabilities will help avert these types of situa-
tions and complement with dissuading mechanisms, including legal repercussions,
removal from the database, and benefit ineligibility.
Nevertheless, some critics claim that the fourth version is socially exclusive rather
than inclusive and disregards key governance and ethics principles in terms of data
protection (Lopez 2020). To begin with, SISBEN IV uses credit history information
from a third-party database thanks to an agreement signed between DNP and
Experian. As a result, Experian has gained access to DNP’s nonprivileged informa-
tion to develop loan access applications and services (Lopez 2020). Using citizens’
information for product development breaches, the Personal Data Protection Law,
which stipulates that data, should only be used for the purposes for which it was
collected, and social policy is not the same as business growth. Detractors also
highlight that nobody monitors or supervises this type of behavior since a state entity
manages the system (Lopez 2020).
Second, opponents emphasize that the new and improved system runs counter to
social justice and welfare state principles since rather than “searching for
low-income individuals” to properly classify them and decide whether they should
receive social program benefits, the AI has been designed to “search for liars” or
inconsistent data (Lopez 2020: 24). Hence, it seems to be a technology that aims to
exclude rather than include individuals (Lopez 2020). This concern is not new and
has gained momentum in the United States in recent years, for instance, where data-
driven initiatives to inform social policy led to millions of Americans being falsely
accused and denied social transfers (van Zoonen 2020).
The improvements made to SISBEN IV were made to better target that
low-income population that has historically been excluded and denied access to
social program benefits. At the same time, due to increasingly fraudulent and unfair
behavior evidenced in prior versions, the fourth version also attempts to directly
address these issues. In sum, SISBEN IV seeks to assess eligibility and fight unfair
benefit distribution more effectively. Moreover, it is an information system; hence,
program eligibility depends upon each government program’s access criteria. Thus,
whilst it is important that the system remains accountable, it is important not to
disparage the use of AI to better organize, systematize, predict, and analyze infor-
mation in Colombia’s struggle against poverty. Finally, allowing citizens to chal-
lenge wrongful eligibility outcomes could be one way of avoiding a policing
SISBEN that merely harasses and punishes, in other words, avoid it from becoming
an AI Trojan Horse.
As an AI information system, SISBEN IV contributes to the achievement of the
SDGs. It is a mechanism for identifying verification, thus consonant with SDG 16.9.
There are 35.8 million Colombians or 75% of the country’s population registered to
date. The lack of official identification contributes to fraud and poor population
targeting, among other outcomes. Challenges to this SDG include underreporting,
data protection issues, and access to social benefits. If an individual is not registered,
they will be unable to apply to any government social program.
The digitalization of SISBEN beneficiary information is not an isolated event, the
whole country has increasingly gone digital, but in terms of its beneficiaries, which
are the most vulnerable populations, it has also translated into the financial inclusion
of more of its beneficiaries as they are accessing electronic payments. This clearly
aligns with SDGs 1, 2, 3, 5, 8, 9, 10, and 17, especially with respect to greater
financial inclusion.
At the same time, as SISBEN identifies the beneficiaries of government social
programs, it becomes a public spending monitoring system, which directly contrib-
utes to SDG 16 on peace, justice, and strong institutions. As Dasandi and Mikhaylov
(2019) conclude, machine learning enhances the tracking progress capabilities of
SDG 16. SISBEN can fulfill this aim thanks to its information-sharing agreements
with other state entities and third parties and the digitalization of beneficiary
information. In fact, this cross-referencing of information is one of the fourth
version’s main updates.
Finally, Ahmadi Zeleti et al. (2021) and Walsh et al. (2021) consider SDG 16 to
be essential to public management, while SDG 17 refers to the need for governments
to create global partnerships to raise funds for implementation, as well as share
knowledge and be part of an international community. With SISBEN IV, the
Colombian government is taking an innovative stand against poverty and inequality.
The new version seeks to promote accountability and transparency, while fighting
corruption. Simultaneously, citizen participation and engagement are what keep the
SISBEN up and running. These are all dimensions related to SDG 16. Partnership
building has been key to the development and upgrading of the SISBEN information
system. DNP has partnered with Experian to exchange credit history information,
with the Colombian Public Agency for Entrepreneurship and Innovation iNNpulsa
to develop an algorithm to detect fraudulent activity, and the Inter-American Devel-
opment Bank for their expertise in AI implementation and decision-making. The
AI-based SISBEN IV is framed within the SDGs to ensure ethical and transparent
behavior, but more importantly to eliminate poverty in Colombia and help those
most in need.
Discussion: SISBEN IV, Algorithms, and the Digital Welfare State
In relation to the elements that make up welfare, SISBEN IV is a tool framed to

guarantee “future consumption of welfare” (Larsson and Teigland 2019: 5) by
predicting the behavior and vulnerability of society using data and algorithms
capable of identifying not only the situation of extreme and monetary poverty but
also the expectation of access to essential services such as health, education, and
basic goods. Whilst the digitalization of welfare can ensure greater state operability
when identifying potential beneficiaries of social assistance or social policy, as is the
case with SISBEN, for Larsson et al. (2019) innovation using ICTs has generated
several risks for the population considering that the data and algorithms are fallible,
generating a need for public scrutiny or continuous oversight of the use of these
technologies, which in turn generates a continuous challenge for decision-makers in
the design and subsequent implementation of policies.
On the other hand, CEPAL (2021), in its special report on COVID-19, under-
stands this concept based on the development of a digital governance model capable
of generating transformation that encompasses the following:
– Promotion of equality: Exalts joint development between digital transformation

and citizen interaction using the multiple channels created by the state. Moreover,
ICTs should encourage access to information not only through platform innova-
tion, but also in the development of a communications infrastructure (network
coverage, access to smart devices, among others) capable of guaranteeing real
access.
– Protection of economic, social, and labor rights: This element highlights access to
social policies through the efficient use of technologies, which must guarantee
transparent criteria for the selection of beneficiaries, as well as include account-
ability mechanisms and open data. Ultimately, the aim is to strengthen access to
public information and reduce corruption.
– Rejection of unauthorized data collection and its misuse or unauthorized use:
Such a measure seeks to provide security standards, which protect information in
a society that accesses social policies.
– Promotion of a digital governance model from a productive strategic perspective:
This refers to a comprehensive transformation that starts from the dissemination
of new technologies for productive devices, business models, and financing
mechanisms that seek to promote the digital economy.
The concept of the digital welfare state refers to a series of actions to be taken by
governments and especially by public policymakers to ensure access to goods and
services for those who experience socioeconomic vulnerability. For this reason,
algorithms must be designed to facilitate the full categorization and identification
of potential beneficiaries, while maintaining transparency and open data criteria.
Based on these considerations (raised by theorists and CEPAL), the case of
SISBEN is noteworthy since, as a first step, five dimensions of welfare have been
categorized through three approaches: quality-of-life (housing conditions and public
services); social inclusion; health (educational conditions, and conditions of children
and youth), and productive inclusion (work). Second, these approaches have indi-
cators that are assigned the same value or weight within the dimension. Finally, both
dimensions and indicators have been given algorithms, leaving them as independent
variables and categories.
To understand the system’s operability, there are a series of processes that may be
alarming. In the first place, neither the DNP nor the DPS make any mention of the
software that will be used to analyze and operationalize the information that will be
integrated into the databases for each respondent. Second, it is understood that,
whilst the use of new technologies can be productive to streamline processes and
modernize public administration and welfare policies, if the information collection
mechanism is not transformed the traditional measurement problems will continue to
exist, since SISBEN is a survey model applied through the georeferencing of poverty
and vulnerability and may leave out phenomena such as the hidden dimensions of
poverty.
Finally, as SISBEN is a tool that scores individuals and categorizes each as a
potential beneficiary of social policies, the individual should know their score and
the possible benefits they can access with respect to their categorization. However,
for this to be possible a digital transformation is needed that goes beyond the
modernization of infrastructure, portals, or microsites and guarantees more access
to Internet connectivity and coverage throughout the country’s 1104 municipalities,
as well as the use and access to smart devices that facilitate real democratization of
information.
Conclusion
“There is little doubt that the future of welfare will be integrally linked to digitization
and the application of artificial intelligence” (UN Human Rights Commissioner
2019: 19). The Colombian government is leveraging AI to improve its reach
throughout the country and improve access to basic goods and services for the
poorest through SISBEN IV.
Colombia is an AI governance and implementation forerunner. The improve-
ments made to SISBEN IV were thought to better target that low-income population
that has historically been left out and denied access to social program benefits. At the
same time, due to ever-increasing fraudulent and unfair behavior evidenced in prior
versions, the fourth version also attempts to confront these issues. In sum, despite a
number of ethical and privacy concerns, SISBEN IV seeks to assess eligibility and
combat unfair program benefit distribution more effectively. Moreover, it is an
information system, hence program eligibility depends upon each government pro-
gram’s access criteria. Thus, whilst it is important that society keeps the system
accountable, it is important not to disparage the use of AI to better organize,
systematize, predict, and analyze information to assist Colombia’s fight against
poverty.
The fourth version of SISBEN aligns with SDGs 1, 2, 3, 5, 8, 9, 10, 16, and 17.
With SISBEN IV, the Colombian government is adopting an innovative approach to
poverty and inequality. This is achieved by the new version seeking to promote
accountability and transparency, while fighting corruption. Simultaneously, citizen
participation and engagement are what keep the SISBEN running, while global and
local partnerships have incorporated international insight, best practice, guidelines,
and knowledge sharing into the new design.
A key limitation to Colombia’s digital transformation involves connectivity
issues, such as stable, unlimited, and affordable access to the Internet, whether
through mobile devices or computers. Only 37.2% of Colombian households can
access the Internet from home (OECD 2021). The Colombian government is work-
ing to expand connectivity. However, this has proven to be a slow and bumpy road.
For the national digital strategy to be fully effective, this restriction should be at the
top of the government’s agenda.
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Nature-Based Solution for Climate-Resilient
Cities: Lessons from Mexico
Sendy Pérez and Héctor Becerril
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1346
Climate Change and Urban Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1348
Global Warming and Urbanization Role for Climate Change and Action . . . . . . . . . . . . . . . . 1348
Linkages of Climate Change and Urbanization in the Global Agendas . . . . . . . . . . . . . . . . . . . 1350
Nature-Based Solutions: Conceptualization and Linkages with the SDGs . . . . . . . . . . . . . . . . . . . 1351
Conceptualization and Roots . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1351
Nature-Based Solutions’ Role for Achieving the 17 SDGs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1352
Implementation of NbS in LAC: Some Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1353
Challenges in the Development of NbS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1355
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1356
Coyuca’s Urban-Lagoon System: An Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1357
NbS Developed in Coyuca’s Urban-Lagoon System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1360
Restoration and Reforestation of Mangroves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1360
Reforestation of the Watershed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1361
Rainwater Harvesting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1363
Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1364
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1365
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1366
Abstract
Climate change is a major challenge for Latin America and the Caribbean (LAC)
cities. Thus, it is of vital importance to find ways to build urban resilience across
the region. Nature-based solutions (NbS) which seek to protect, manage, and
restore natural ecosystems, addressing climate change and environmental
S. Pérez
Development Management Centre, Autonomous University of Guerrero, Acapulco, Mexico
e-mail: 13315885@uagro.mx
H. Becerril (*)
National Council of Science and Technology (CONACYT), Mexico City, Mexico
e-mail: hbecerrilmi@uagro.mx

https://doi.org/10.1007/978-3-031-16017-2_54
1346 S. Pérez and H. Becerril
degradation while promoting human well-being, have been encouraged as suit-

able solutions across the globe. In this sense NbS are linked to the achievement of
SDGs, including SDGs 11 and 13 that focus on sustainable urban development
and climate change, respectively. Aiming to generate a better understanding of
NbS potential for making LAC cities more climate resilient and sustainable, this
chapter explores the opportunities and challenges they offer through the case of
Coyuca’s urban-lagoon system located in the Metropolitan Area of Acapulco, in
the pacific coast of Mexico. The analysis builds on field visits and semi-structured
interviews. The chapter highlights that NbS are concrete actions that are currently
being implemented on the ground, contributing to the achievement of SDGs
11 and 13, and ultimately the 2030 Agenda, and this despite the absence of the
use of the NbS concept. It also stresses that NbS implementation in Coyuca is not
supported by a diagnosis or structured plan, which contrasts with regional and
national initiatives supported by clear methodologies and robust strategies.
Lastly, the chapter highlights the need to develop inclusive modes of governance,
mobilizing state and non-state stakeholders, to raise awareness and articulate
environmental and socioeconomic needs and expectations of people and
communities.
Keywords
Nature-based solutions · Climate change · Resilience · Cities · Mexico
Introduction
One of the most important challenges for humanity is climate change as unequivo-
cally humans are warming the planet (IPCC 2021). Human activity has already
caused global warming of 1 C, considering pre-industrial levels as baseline, and it is
expected that it reaches 1.5 C between 2030 and 2051 if the same rate of increase
continues, negatively affecting social and natural ecosystems and transforming the
climate system (IPCC 2018a). Latin America and the Caribbean (LAC) is a region
particularly vulnerable to climate change due to its geographical location, climate
conditions, and natural assets’ sensibility to climate, as well as the institutional,
demographic, and socioeconomic conditions that prevail, including poverty and
inequality (Margulis 2016). Cities have greatly contributed to climate change, yet
they are an essential part of the solution (IPCC 2018b). In LAC, cities have been
contributing to environmental degradation, greenhouse emissions, and water pollu-
tion, among others (CEPAL 2018); however, they are crucial for climate action and
ultimately the building of urban resilience (UNEP 2017; Cohen et al. 2018).
The global agendas adopted during the 2010s recognized this connection. The
2030 Agenda for sustainable development establishes 17 Sustainable Development
Goals (SDGs), including taking urgent action to combat climate change and its
impacts (SDG 13) and making cities and human settlements inclusive, safe, resilient,
and sustainable (SDG 11) (United Nations 2015b). In addition, the New Urban
Nature-Based Solution for Climate-Resilient Cities: Lessons from Mexico 1347
Agenda (NUA) that emerged from the Habitat III process recognizes that human
settlements face unprecedented threats from diverse drivers including climate
change and its related risks; accordingly, the NUA is committed to “strengthening
the resilience of cities and human settlements” (United Nations 2016). This is
particularly important in small- and medium-sized cities where the bulk of the
urban growth is expected to occur; however, they tend to have limited resources
and institutional capacity for addressing climate change (IPCC 2018a).
To build urban resilience, diverse solutions are being encouraged in LAC and
across the globe, including nature-based solutions (NbS), which aim to protect,
manage, and restore natural ecosystems, addressing climate change while promoting
human well-being. Mobilized by the International Union for Conservation of Nature
(IUCN) and the World Bank since the 2000s, the concept of NbS is considered an
umbrella concept that encompasses diverse ecosystem-related approaches (Seddon
et al. 2020).
Aiming to generate a better understanding of the opportunities and challenges
associated with the development of NbS for building climate-resilient cities in LAC
and thus achieving SDGs 11 and 13, this chapter explores the implementation of
NbS in the state of Guerrero in the pacific coast of Mexico. Specifically, it analyzes
the implementation of three initiatives in Coyuca’s urban-lagoon system located in
the periphery of Acapulco Metropolitan Area: restoration of mangroves, reforesta-
tion, and rainwater harvesting. The analysis focused on the key factors that have
contributed to their development, the major challenge faced by stakeholders to foster
their implementation, and potential lines of action for further their development.
Methodologically, this chapter builds on desk research, field visits, and semi-
structured interviews with local actors involved in the implementation of the men-
tioned NbS. The analysis included four stages: the identification of NbS in Coyuca’s
urban-lagoon system, the mapping of stakeholders involved in their implementation,
the conduction of semi-structured interviews with those stakeholders, and the anal-
ysis of interviews. This led to the identification of main factors that have been
supporting NbS development in Coyuca, the main challenges that limit their expan-
sion, and the possible ways to move forward to consolidate the existing initiatives.
The chapter highlights that NbS are concrete actions that are currently being
implemented on the ground, contributing to the achievement of SDGs 11 and 13, and
ultimately the 2030 Agenda, and this despite the absence of the use of NbS as a
concept. However, the existing initiatives are not completely linked to climate
change and urban sustainable development. Accordingly, the incorporation of the
concept NbS in the public agenda might help to link and make visible the connec-
tions to climate resilience. The chapter also stresses that the current implementation
of NbS in Coyuca is not supported by a diagnosis or structured plan and monitoring,
which contrast with regional and national initiatives supported by clear methodolo-
gies and robust strategies. Therefore, there is a need to articulate all efforts. Lastly,
the chapter illustrates the need to develop inclusive modes of governance, mobiliz-
ing state and non-state stakeholders, to raise awareness and articulate environmental
and socioeconomic needs and expectations of people and communities.
The chapter is structured as follows. The section “Climate Change and Urban
Development” describes the challenge of climate change and its connection to urban
development globally and in LAC. The section “Nature-Based Solutions: Concep-
tualization and Linkages with the SDGs” focuses on the roots and conceptualization
of nature-based solutions, highlights that NbS have been promoted in LAC through
diverse programs and projects, and explores major challenges for NbS implementa-
tion. The section “Methodology” presents the methodology of the study, while the
section “Coyuca’s Urban-Lagoon System: An Overview” gives an overview of
Coyuca’s urban-lagoon system and Acapulco Metropolitan Area. The section
“NbS Developed in Coyuca’s Urban-Lagoon System” presents and discusses the
opportunities and challenges regarding the restoration of mangroves, reforestation,
and rainwater harvesting in Coyuca. The section “Conclusion” presents the conclu-
sions of the study.
Climate Change and Urban Development
Global Warming and Urbanization Role for Climate Change

and Action
Climate change is a major challenge for humanity as unequivocally, humans are

warming the planet (IPCC 2021). Human activity has already caused global
warming of 1 C, considering as baseline the pre-industrial levels, and it is expected
that the increase reaches 1.5 C between 2030 and 2051 if the same rate continues,
impacting social and natural ecosystems and transforming the climate system (IPCC
2018a). Overall, a deficit of rainfall and droughts in some regions, hot extremes in
most inhabited regions, and the rise of average temperature in most land and oceans
are forecasted. Moreover, a rise in sea level is expected, and impacts on ecosystems
and biodiversity on land. However, climate change impacts will not be equally
distributed across the globe and among people: some regions such as the Arctic
and vulnerable populations, including coastal communities, are at disproportionately
greater risk from global warming of 1.5 C or more. In this sense, it is important to
note that the effects and impacts of climate change are not the same for everyone: it is
disproportionately impacting people living in conditions of poverty and vulnerable
groups, including women, children, and older people (Casas 2017; Kelman 2017;
Dodman et al. 2019; Pelling and Garschagen 2019). Furthermore, the conditions of
poverty and disadvantage suffered by certain populations are expected to increase
with global warming. Therefore, it is crucial that climate action integrates those
people to effectively address their needs and aspirations while fighting against
climate change. Regarding urban areas, climate change represents a greater chal-
lenge in small- and medium-sized cities where the bulk of the urban growth is
expected to occur; this is because most of these human settlements lack resources
and institutional capacity (IPCC 2018a).
Latin America and the Caribbean (LAC) is a region particularly vulnerable to
climate change because of its “geographical and climatic situation, its
socio-economic, demographic and institutional condition and the high sensitivity to

the climate of its natural assets, such as forests and biodiversity” (Margulis
2016: 23). Specifically, LAC is the second most hazard-prone region of the world:
over the past two decades 152 million people were affected by 1205 disasters
associated with natural hazards, including 548 floods, 330 tropical storms, and
74 droughts (OCHA 2020). Climate change is expected to increase the intensity
and frequency of these natural hazards, amplifying their impacts and undermining
the quality of life and well-being of people across the region. In addition, the region
concentrates around 8% of the world population, out of which 23% live in informal
settlements with precarious living conditions, which exacerbates their vulnerability
to climate change (Margulis 2016).
Urban development in the region has a major role in climate change as it has
fueled “greater demand for transport, public services, inputs and products and, in
general, greater pressure on natural resources and environmental goods and ser-
vices,” increasing the generation of greenhouse gases (GHG), degradation of soils,
and water systems (CEPAL 2018: 45). Nevertheless, urban development is crucial
for addressing climate change (IPCC 2018b; Rodríguez Aldabe 2018; Sanchez
Rodriguez et al. 2018). Cities can become engines of change and innovation for
mitigation and adaptation strategies. Fighting against global warming requires
system transitions not only in energy, industry, land use, and ecosystems but also
in urban and infrastructure. At the global level, by 2050 the population living in
urban areas is forecasted to increase between 2.5 and 3 billion, which will require the
construction of buildings and expansion of infrastructure. The way this urban
expansion is executed will be crucial for limiting global warming. In addition,
urban expansion is a major determinant of emissions across sectors, while buildings
are responsible for over a third of global energy consumptions (IPCC 2018b). In this
regard, Browder et al. (2019) stress the importance of integrating gray infrastructure
(traditional civil works) and green infrastructure such as mangrove forest, for climate
action. Among others green infrastructure contributes to building resilience due to its
“natural adaptive and regenerative capacity,” its role for community empowerment,
and its facility to enhance economic efficiency of investments (green infrastructure
tends to be low cost and cost effective). Moreover, several studies have focused on
building resilient cities and fostering climate adaptation in urban areas in LAC
(UNEP 2017; Cohen et al. 2018). Therefore, cities in LAC and across the globe
are crucial not only for climate change but also for climate action.
Coastal cities are particularly of great environment and socioeconomic impor-
tance; however, they are increasingly vulnerable to climate change. The IPPC fore-
casts that due to the rise in sea level, coastal systems will face more frequent episodes
of erosion, flooding, and submergence. Moreover, it is expected that the risk
associated with storms, coastal flooding, rainfall, and landslides will increase
(IPCC 2018a). Coastal cities and agglomeration areas have been fundamental for
urban development in LAC. Their number has increased from 42 to 420 between
1945 and 2014 (Barragán and de Andrés 2016). Currently, large coastal cities in the
region such as Buenos Aires, Rio de Janeiro, and Recife and low-lying coasts of
several countries, including Argentina, Belize, Colombia, Costa Rica, Ecuador,
Guyana, Mexico, Panama, El Salvador, Uruguay, and Venezuela, are the most
vulnerable to climate change (Margulis 2016).
Linkages of Climate Change and Urbanization in the Global Agendas
The global agendas and frameworks for action adopted during the 2010s recognize
and promote the articulation of climate change and the transition towards a more
sustainable urban development. The 2030 Agenda for sustainable development,
adopted by 193 Member States of the United Nations, seeks to end poverty and
hunger while protecting the planet “from degradation, including through sustainable
consumption and production, sustainably managing its natural resources and taking
urgent action on climate change, so that it can support the needs of the present and
future generations” (UN 2015a). The 2030 Agenda comprises 17 Sustainable Devel-
opment Goals that are “integrated and indivisible, global in nature and universally
applicable.” Better known as SDGs, these goals are: (1) no poverty, (2) zero hunger,
(3) good health and well-being, (4) quality education, (5) gender equality, (6) clean
water and sanitation, (7) affordable and clean energy, (8) decent work and economic
growth, (9) industry, innovation, and infrastructure, (10) reduce inequality,
(ii) sustainable cities and communities, (12) responsible consumption and produc-
tion, (13) climate action, (14) life below water, (15) life on land, (16) peace and
justice strong institutions, and (17) partnership to achieve the goal.
Specifically, SDG 11 focuses on making cities sustainable, safe, inclusive, and
resilient. To achieve this goal several targets were determined, including signifi-
cantly reducing the number of deaths, people affected, and direct economic losses
caused by disasters (Target 11.5), reducing the environmental impact of cities (Target
11.6), and providing universal access to green and public spaces (Target 11.7). For its
part, SDG 13 focuses on climate action and includes as target the strengthening of
resilience and adaptive capacity (Target 13.1) and the incorporation of climate
change initiatives into public action (Target 13.2) (UN 2015a).
For its part, the New Urban Agenda (NUA), elaborated through the Habitat III
process, recognizes that human settlements face unprecedented threats from diverse
drivers including climate change and its related risks. It also recognizes that the way
in which urban settlements are planned, financed, governed, and developed is key for
sustainability and building resilience within and across territories. Consequently, the
NUA aims at “strengthening the resilience of cities and human settlements,” via the
“development of quality infrastructure and spatial planning, by adopting and
implementing integrated, age- and gender-responsive policies and plans and
ecosystem-based approaches” and “by mainstreaming holistic and data-informed
disaster risk reduction and management at all levels. . . and to enable households,
communities, institutions and services to prepare for, respond to, adapt to and rapidly
recover from the effects of hazards” (UN 2016). The NUA is also committed to
promoting NbS.
Lastly, the Paris Agreement adopted at the 21st session of the Conference of the
Parties (COP) in 2015 aims to “strengthen the global response to the threat of climate
change, in the context of sustainable development and efforts to eradicate poverty”
(UN 2015b), while the Sendai Framework for Disaster Risk Reduction 2015–2030
also adopted in 2015 seeks the “substantial reduction of disaster risk and losses in
lives, livelihoods and health and in the economic, physical, social, cultural and
environmental assets of persons, businesses, communities and countries”
(UN 2015c).
It is worth noting that in the past couple of years, the discussion on climate change
has focused on the synergies among the mentioned agendas. The first conference on
the synergies between the Paris Agreement and the 2023 Agenda was organized in
April 2019 in Copenhagen, while the UN summit in the same year sought to explore
those connections (Zhenmin and Espinosa 2019). Besides, the United Nations Office
for Disaster Risk Reduction (UNDRR) and the Intergovernmental Panel on Climate
Change (IPCC) highlight that disaster risk reduction (DRR) and climate action are
crucial for achieving the other agendas (IPCC 2018a; UNDRR 2019).
Nature-Based Solutions: Conceptualization and Linkages

with the SDGs
Conceptualization and Roots
Nature-based solutions, better known as NbS, aim to foster the sustainable use of
nature to address global challenges, including climate change, turning natural capital
into opportunities for promoting sustainable development. The International Union
for Conservation of Nature (IUCN) conceptualized NbS as “actions to protect,
sustainably manage, and restore natural or modified ecosystems, which address
social challenges in an effective and adaptive manner, while simultaneously provid-
ing well-being, human rights and biodiversity benefits” (Cohen-Shacham et al.
2016: 5). This conceptualization takes a global perspective as it considers all types
of ecosystems with a nature protection and management approach.
The development of the concept of NbS emerged in the 1970s in connection with
environmental services and the caring of biodiversity and human well-being (Cohen-
Shacham et al. 2019). Since the end of the 2000s this concept has been promoted by
the IUCN and the World Bank, and it is strongly related to diverse approaches,
including natural system agriculture, natural solutions, ecosystem-based approaches,
adaptation services, natural infrastructure, green infrastructure, and ecological engi-
neering (CONAMA 2018). These approaches share many similarities and serve as
an operational framework for NbS (Cohen-Shacham et al. 2016) as shown in
Table 1. Consequently, NbS can be considered an umbrella concept that encom-
passes diverse ecosystem-related approaches for addressing multiple challenges
(Seddon et al. 2020).
Table 1 Ecosystem-related approaches

Ecological restoration The process of recovering or enhancing an ecosystem that is
damaged, destroyed, or disturbed
Ecological engineering Ecosystem management to implement sustainable designs,
integrating society with its natural environment, in a symbiotic
way
Forest landscape restoration It is a planned restoration process to rescue ecological
functionality and improve human well-being in degraded or
deforested landscapes
Ecosystem-based adaptation EbA involves governments at different levels, the private sector,
(EbA) and NGOs to address the use of environmental services and
biodiversity and develop sustainable strategies, policies, and
adaptation measures, helping society to reduce vulnerability and
adapt to climate change
Ecosystem-based mitigation EbM addresses climate change through mitigation processes
(EbM) regarding greenhouse gas sources, ensuring the participation of
communities and the sustainable use of coastal and marine
ecosystems
Climate adaptation services Climate adaptation alternatives increase the capacity to respond
to changes by supporting ecological mechanisms
Ecosystem-based disaster Sustainable management and conservation or restoration of
risk reduction ecosystems for disaster risk reduction
Green infrastructure It includes the connection of natural, semi-natural, and artificial
networks, with environmental characteristics to offer a wide
range of ecosystem services at an urban scale, providing benefits
to the population
Natural infrastructure Repair of the structure, performance, and composition of
ecosystems through planned and managed strategies to provide
ecosystem services. This is through the creation of natural land
networks
Ecosystem-based It is an integrative and transdisciplinary approach with the aim of
management approaches maintaining a healthy, resistant, productive, and diverse
ecosystem to provide the necessary services to society through
the sustainable use of goods
Source: own based on Pérez (2021)
Nature-Based Solutions’ Role for Achieving the 17 SDGs
NbS are key for meeting the Sustainable Development Goals (SDGs). They are
connected to and can contribute to achieving the SDGs directly related with nature.
NbS contribute to SDG 6 on clear water and sanitation and SDG 14 which aims to
guarantee and conserve and sustainably use the oceans, seas, and marine resources.
Specially, NbS can foster the improvement of water quality (Target 6.3), the protec-
tion and restoration of water-related ecosystems (Target 6.6), and the reduction of
marine pollution of all kinds, in particular from land-based activities (Target 14.1).
The implementation of NbS can also contribute to SDG 13 which focuses on climate
adaptation, by building and strengthening resilience and adaptive capacity to
climate-related hazards and natural disasters (Target 13.1), and SDG 15 which
relates to the quality of terrestrial and marine biodiversity, by contributing to the

conservation of mountain ecosystems (Target 15.4). As these SDGs promote a
stronger ecosystem service (Tasnim and Irfanullah 2020), NbS are crucial for their
achievement across all regions.
It is important to highlight that NbS are also connected to the remaining 13 SDGs.
The implementation of NbS can contribute to alleviating poverty, improving food
production, and improving the well-being of people (SDGs 1, 2, and 3), as well as
quality of education and gender equality (SDGs 4 and 5), although major cultural
challenges and norms of each region are also required in this case. The development
of NbS can also contribute to improving air quality, mitigating climate effects, and
reducing stormwater runoff and pollution, fostering urban resilience which is in line
with SDGs 7, 11, and 16, particularly by increasing the share of renewable energy
(Target 7.2); reducing the number of deaths, economic losses, and people affected by
disasters (Target 11.5); reducing the environmental impact of cities (Target 11.6);
and promoting participation of developing countries in the global governance 16.8
(Tasnim and Irfanullah 2020). NbS can also generate economic and non-economic
value contributing to SDGs 8 (decent work and economic growth), 9 (industry,
innovation, and infrastructure), 10 (reduce inequalities), and 12 (responsible con-
sumption and production) (Seddon et al. 2020).
The diverse connections between NbS and the SDGs stress the need for multi-
disciplinary and multistakeholder approach, integrating all efforts to incorporate
NbS (SDG 17) (Tasnim and Irfanullah 2020).
Implementation of NbS in LAC: Some Examples
Across the Latin America and the Caribbean (LAC), several NbS’ projects have been
implemented providing benefits for communities and territories and contributing to
the achievement of the SDGs.
One of them is the project “CityAdapt: reconnecting cities with nature in Latin
America and the Caribbean.” It has been implemented in the cities of San Salvador
(El Salvador), Kingston (Jamaica), and Xalapa (Mexico) and has focused on the
analysis of climate vulnerability and the identification of environmental services that
promote climate adaptation. Financed by the Global Environment Facility (GEF),
the project is executed by the Regional Office for Latin America and the Caribbean
of the United Nations Environment Program, together with environmental authori-
ties in each country. Appropriated NbS were implemented in each city, seeking to
strengthen climate resilience in the medium or long term, through a methodology
based on five stages (Table 2). The expected results are the reduction of vulnerabil-
ities and risks of people, infrastructures, and ecosystems; the sustainable use and
conservation of ecosystems, landscapes, and watersheds; the improvement of liveli-
hoods; and the economic and ecological integration and connectivity between cities
(CityAdapt 2020).
Another example of NbS in the region is the project “Articulating global agendas
from the local: Ecosystem-based Adaptation as a catalyst for municipal actions to
Table 2 CityAdapt methodology

Stage Main activities
Context analysis Construction of a baseline that includes the elaboration of a map of actors
and the identification of needs, capacities of local communities, and
possible options for nature-based solutions to address the impacts of
climate change
Vulnerability Evaluation of vulnerability, livelihoods, and ecosystem to identify
assessment problems, “hotspots,” and possible solutions
Exploring options Elaboration of a collective diagnosis to build a portfolio of options that
integrates different perspectives and needs; this is based on the knowledge
of the stakeholders. Validation of the identified measures, articulating
them with existing actions and potentially evaluating other NbS. During
this process the costs, co-benefits, compensation, and synergies among
actions are considered
Implementation of Implementation of NbS validated at urban, peri-urban, and rural levels of
actions cities, in combination with evaluations of benefits, costs, and impacts to
determine the scaling up of actions across cities in the medium and long
term
Monitoring and Definition of monitoring indicators, analysis of impacts and effectiveness
evaluation and communication of results, as well as the creation of capacities and
support to governance to guarantee the replication of actions
Source: CityAdapt (2020)
achieve global goals,” which has been implemented by the French agency for the
design and implementation of international technical cooperation projects (Expertise
France) and the German Corporation for International Cooperation (GIZ).The pro-
ject is part of the component “Forests, Biodiversity and Ecosystems” of
EUROCLIMA+ (2021), a regional cooperation program between Latin America
and the European Union that seeks to contribute to the fulfillment of the goals agreed
by Latin American countries in their nationally determined contributions (NDC).
Accordingly, the objective of the project “Articulating global agendas from the
local” is to “strengthen capacities at the local level and reduce the vulnerability of
the population against the adverse effects of climate change by integrating the
Ecosystem-based Adaptation approach,” incorporating a gender perspective and
articulating global agendas on climate change, biodiversity conservation, sustainable
development, and disaster risk reduction (PRONATURA-ANAMMA 2018). The
project has financed a total of 9 projects in 12 Latin American countries
(EUROclima 2021a), and the methodology comprises 4 steps: (i) creation of
enabling conditions for the incorporation of the ecosystem-based adaptation
approach and integration of global agenda objectives in municipal plans or strategies
(month 1 to month 12); (ii) planning and monitoring of ecosystem-based adaptation
actions (month 13 to month 24); (iii) implementation of ecosystem-based adaptation
pilot (month 25 to month 32); (iv) systematization of results and lessons learned
(in parallel from month 4 to 32) (PRONATURA-ANAMMA 2020).
A third example is the project “Green Basins: adapting to the future”
implemented in Mexico, the Dominican Republic, Guatemala, and Cuba. The
project promotes the adaptation to climate change through the implementation of
ecosystem-based adaptation and comprehensive management watersheds, seeking to

reduce vulnerability to extreme weather events caused by climate change, as well as
minimize the associated social and economic impact with innovative financial
mechanisms and in line with people’s needs (IKI Alliance 2021). The intervention
model includes actions to address ecological restoration, forest conservation, and
biodiversity, following four dimensions:
(i) Sustainable land use plans: strategies through a participatory process

encompassing actions aimed at ecosystem-based adaptation, promoting resil-
ience through the ecosystem services that society depends on because of
climate change.
(ii) Innovative financial mechanisms: it entails the development of creative and
proactive economic linkages between ecosystem services and beneficiaries or
users.
(iii) Environmental services of forests: promote building resilience of forests and
productive areas of the watersheds; accordingly, an improvement of productive
strategies and techniques in agricultural, livestock, and forestry areas is sought
as well as fighting fires and promoting conservation.
(iv) National regulations and policies: based on the lessons learned from the project,
it is intended to publicize the findings and results so that the different levels of
government can include them in the regulatory framework and thus promote
public policies aimed at resilience. To achieve this, the project seeks to raise
awareness among decision makers and leaders through forums about the issue
of climate change and vulnerability of society (IKI Alliance 2021).
These examples show that from an international and regional perspective, the
concept of NbS is being mobilized and NbS are being implemented across Latin
America and the Caribbean through diverse methodologies and strategies that
articulate one or more solutions.
Challenges in the Development of NbS
Even if NbS emerge as suitable and pertinent approaches to address climate change
and contribute to a sustainable urban development as they can contribute among
others to reducing greenhouse gases (GHG), managing terrestrial ecosystems, and
improving agriculture, they pose unique challenges. Without scientific evidence
about biodiversity, NbS can contribute to the saturation of ecosystems, as well as
put at risk the ecosystem with monoculture or low diversity plantations. In addition,
promoting the implementation of NbS through policies that provide an economic
incentive for the purpose of mitigating GHG emissions might compromise local land
rights by encroaching on community lands (Seddon et al. 2020). Moreover, in some
cases, the private sector, NGOs, and governments might adopt NbS for their own
gain, developing unfavorable solutions and favoring the capitalist system to the
detriment of ecosystems and communities (Ribeiro 2020).
Therefore, it is essential to clearly establish the needs for the decarbonization of

the economy while implementing NbS (Seddon et al. 2020) and integrate them into
existing local and international policies for climate mitigation, protection of biodi-
versity, and urban planning, considering not only their potentials but also the
challenge they entail (Nesshöver et al. 2017). It is also important to implement
NbS supported by diagnosis and plans of action, articulate them to sustainable
strategies and policies, and establish monitoring and maintenance strategies to
ensure their operation (Nesshöver et al. 2017).
Methodology
The analysis focuses on three existing NbS in the municipality of Coyuca which
have an impact in Coyuca’s urban-lagoon system. These NbS are restoration of
mangroves, reforestation, and rainwater harvesting. The analysis is based on desk
research, field visits, and semi-structured interviews with local actors involved in the
implementation of the mentioned solutions.
The analysis was carried out following four stages. The first one involved the
identification of NbS that contribute to build climate urban resilience in Coyuca’s
urban-lagoon system and ultimately the municipality of Coyuca located in Acapulco
Metropolitan Area. To this end, two documents were analyzed because of their
relevance for climate change and urban development. First, the “Climate Action
Strategy” developed through the project “Coyuca Resilient to Climate” financed by
the Initiative “Climate Resilient Cities in Latin America” led by Climate and
Development Knowledge Network (CDKN), the International Development
Research Centre (IDRC), and Fundación Futuro Latinoamericano (FFLA) (Becerril
et al. 2019). The project focused on the elaboration of a participatory and gender-
sensitive climate adaptation strategy for Coyuca’s urban-lagoon system with the
purpose of advancing participatory and inclusive urban governance patterns that
facilitate climate action (Becerril and de la Parra 2019). The strategy is composed of
three axes of action: capacity building and coproduction of knowledge from a gender
perspective, participation and public policies for climate resilience, and raising
awareness about climate change, gender inequalities, and urban development. The
strategy also highlights that addressing public service-related issues, including
water, sanitation, and waste management, could be suitable entry points for building
climate resilience. The second document was the “Action Plan” of the Watershed
Committee of Coyuca and Mitla lagoons (CCCM 2020). This plan was elaborated
between 2019 and 2020 through a collaborative process in which governmental
actors (municipal, state, and federal authorities), civil-based organizations,
non-governmental organizations, academia, and civil society participated (Becerril
et al. 2020). The analysis resulted in the identification of three existing NbS in the
territory: (i) restoration of mangroves, which is key for climate action and disaster
risk reduction; (ii) reforestation with plants and native vegetation at the different
altitudes of the Coyuca and Mitla basin; (iii) and rainwater harvesting system
(CCCM 2020).
The second stage entailed the mapping of stakeholders involved in the design and
implementation of the mentioned NbS, while the third included the conduction of
semi-structured interviews with those actors on the field or online due to the COVID-
19 pandemic. The fourth stage included a content analysis of interviews supported
by the qualitative data analysis program Atlas.ti, which focused on the opportunities
that contributed to the development of NbS as well as the main challenges around
their development and expansion. The analysis also explored the potential lines of
actions in the coming years.
The results of the analysis are presented below after an overview of Coyuca’s
urban-lagoon system and its major climate-related vulnerability.
Coyuca’s Urban-Lagoon System: An Overview
Coyuca’s urban-lagoon system is located in the municipality of Coyuca de Benítez,

which is part, together with the municipality of Acapulco de Juarez, of Acapulco’s
Metropolitan Area (AMA) (Fig. 1). This metropolitan area has a population of
852,622 inhabitants, which represents 24% of the total population of the state of
Guerrero (INEGI 2020). It is important to note that Guerrero together with the states
of Chiapas and Oaxaca concentrates an important share of people living in poverty
Fig. 1 Acapulco Metropolitan Area. (Source: own based on data from CONABIO available at
http://www.conabio.gob.mx/informacion/gis/)
and extreme poverty in Mexico. Acapulco concentrates most of AMA’s population,

infrastructure, services, and economic growth. It experienced a rapid urbanization
process primarily driven by the development of tourism during the second half of the
twentieth century: its population increased from 55,000 in 1950 to more than
600,000 by 2000 (Becerril et al. 2021). For its part, Coyuca has experienced a less
rapid urbanization process; however, in recent years it has experienced an urban
expansion driven among others by the construction of tourism services and infra-
structure. The mentioned pressure is more intense in Coyuca Lagoon Urban System
(SULC) due to its vicinity to Acapulco city and its natural attractions, including
Coyuca Lagoon and beaches.
It is important to highlight that expansion of urban land in SULC and overall
Acapulco Metropolitan Area is not related to a higher rate of urbanization and is
occurring to the detriment of natural areas (Becerril and Lopez 2022). In addition,
despite its economic and social dynamism due to its development as a national and
international touristic center during the twentieth century, AMA is marked by
poverty and environmental degradation, in particular in its urban-rural periphery,
which is primarily composed of degraded social housing and informal settlements
that lack urban infrastructure, access to public services, and livelihood opportunities.
Coyuca’s urban-lagoon system is composed of 23 settlements that have devel-
oped in close relation with Coyuca’s lagoon, river, and the coastline (Fig. 2). The
Fig. 2 Coyuca’s urban-lagoon system. (Source: own based on data from CONABIO available at
http://www.conabio.gob.mx/informacion/gis/)
system includes rural areas characterized by low density and the development of
rural economic activities, including agriculture, fishing, and livestock; natural areas
primarily composed of the lagoon, river, and coastline; and urban areas in close
relation with the city of Acapulco. Coyuca’s urban-lagoon system is marked by
educational lagging that particularly affects women, a limited access to job oppor-
tunities, and a lack of access to health services, and social security. In addition people
in this territory live in precarious conditions: an important share of inhabitants live in
substandard housing and there is a limited access to public services such as water and
sanitation (Becerril and de la Parra 2019).
Regarding disaster risk, AMA is highly vulnerable to natural hazards including
tropical storms and floods (Table 3) (Becerril and Lopez 2022). Specifically, the
effects of climate change in Coyuca de Benítez are reflected through extreme
hydrometeorological events, causing a high level of exposure and vulnerability to
inhabitants (Becerril et al. 2019).
Regarding development planning efforts, Acapulco Metropolitan Area does not
have an updated strategy. In the past couple of years, the municipality of Coyuca
engaged in the elaboration of an Urban Development Plan and a Territorial
Ecological Ordinance Plan (POET); however, both plans have not been
implemented. Furthermore, these plans do not include a metropolitan perspective.
In addition, the municipality of Coyuca has promoted since 2019 the reactivation
of the Watershed Committee of Coyuca and Mitla lagoons (CCCM) which is
composed of four municipalities including Coyuca and Acapulco. These efforts
resulted in the elaboration of a strategic action plan that focuses on access to water,
sewage treatment, water erosion, and waste management (Becerril et al. 2020,
CCCM 2020). However, the approval of this plan was halted by the COVID-19
pandemic and public administration change at municipal level that occurred in
2021 (Table 4).
Table 3 Main tropical storm in the metropolitan area of Acapulco since the 1960s
1961 Hurricane Tara A wall of the Coyuca River bridge collapsed, more than
400 houses were lost, and agriculture and livestock
damaged
1997 Hurricane Pauline Caused great damage, especially in localities where the
growth of settlements is informal
2007 Hurricane Henriette Landslides of hills on roads that connect rural
communities
2013 Tropical cyclone Manuel 70% damage was estimated, 30 isolated towns,
and hurricane Ingrid demolition of the Coyuca bridge, and damage to basic
infrastructure, including the drinking water network
2014 Tropical storm Odile Erosion damaged bower, affecting people whose
livelihood are related to tourism
2017 Hurricane Max Affected more than 207 homes; the emergency
declaration due to severe rains was implemented
Source: own
Table 4 Watershed Committee of Coyuca and Mitla: matrix of action

Themes Lines of action
Access, use, and 1. Promote awareness campaigns for water use and reforestation of the
water quality watershed
2. Development of a hydraulic and pump network maintenance program
Treatment of sewage 3. Environmental education and training in the use of water for the
water population
4. Construction of treatment plants
Water erosion 5. Reforestation with native plants and vegetation on the upper, middle,
and lower parts of the basin
6. Inter-municipal collective action agreement around water
Waste management 7. Separation, recycling, and treatment of organic and inorganic waste
for composting and organic fertilizers
8. Make efficient and organize the routes of the solid urban waste
collection service with coverage municipal and community.
Source: Watershed Committee of Coyuca and Mitla (2019)
NbS Developed in Coyuca’s Urban-Lagoon System
Restoration and Reforestation of Mangroves
Mangroves are plant formations of trees that are characterized by having a transition
to the marine ecosystem, adapting in flooded environments. Since they have respi-
ratory aerial roots, mangroves are resistant to water salinity and capable of mitigating
extreme hydrometeorological events. In the past decades, mangroves have been
deforested or damaged primarily by urban development and overexploitation of
species. In some cases, its restoration is not possible or can take many years
(CONABIO 2009). According to the National Forest and Soil Inventory of the
National Forest Commission, Mexico has a total of 939,478 hectares of mangroves,
which represents the fourth most important extension of mangroves globally. The
federal government has restored 5,414 hectares of them since 2013 in 10 states,
including Guerrero (SEMARNAT 2017).
The initiatives of restoration and reforestation of mangroves in Coyuca Lagoon in
the past couple of years relate to projects developed by postgraduate students
enrolled in the master program Management for Sustainable Development of the
Autonomous University of Guerrero. These projects have contributed to motivating
inhabitants to carry out restoration and reforestation actions for preventing floods
and mitigating climate change. The restoration and reforestation of mangroves has
also been fostered by civil society initiatives which have contributed to the extension
of the mangrove area through the delivery and distribution of mangrove seedlings to
reforest a Conservation Wildlife Management Unit (UMA): an UMA is an area
devoted to promoting alternative modes of production that contribute to wildlife
conservation. The transformation of a regular plot into an UMA involves the
elaboration of a management plan which needs to be approved by the National
Secretariat of the Environment and Natural Resources (CONABIO 2020). Lastly, the
restoration of the mangrove area in Coyuca has been supported by the federal
government. It is important to highlight that the municipal government of Coyuca
has initiated the process for establishing a second UMA, aiming to foster public
understanding about the ecological benefit that provides caring for, preserving, and
giving a sustainable use to mangroves, as well as its key role for mitigating climate
change impacts.
The restoration and reforestation of mangroves in Coyuca’s urban-lagoon system
has been supported by the following main factors: (i) support from different sectors
and actors, creating and expanding spaces for dialogue among communities around
climate knowledge and disaster risk reduction; (ii) development of appropriate
formats for disseminating knowledge; and (iii) existence of an UMA that contributes
to the development of sustainable actions, mobilizing state and non-state actors, and
the consolidation of local knowledge about mangroves in Coyuca.
Nevertheless, the restoration and reforestation of mangroves faces the following
main challenges: first, building trust that remains a complicated task as in the past
several reforestation projects have not been completed, which deter local commu-
nities from participating; second, forming active working groups – to create and
consolidate groups that are active and dynamic for conducting restoration and
reforestation activities demands diverse resources and is time consuming; third,
developing appropriate techniques that consider local knowledge, community cus-
toms, and local mangrove management strategies; fourth, monitoring wildlife
because inadequate monitoring has resulted in the loss of mangrove seedlings;
fifth, promoting sustainable practices that contribute to addressing social and eco-
nomic needs and claims of local communities without generating environmental
degradation or increasing vulnerability to climate change and disaster risks; and
lastly, finding financing mechanisms for carrying out sustainable management of
mangroves. Other challenges include fighting fires, lack of knowledge about UMAs,
and solid waste management as heavy rains contribute to the concentration of solid
waste in the mangrove area and only those that are useful for communities are
collected.
The potential lines of action for promoting the restoration and reforestation of
mangroves include the design of sustainable projects that improve the quality of life
of the inhabitants while contributing to mangroves’ conservation, the building of
capacity to perform those activities, and the creation of strategic alliances between
the various sectors and levels of government involved.
Reforestation of the Watershed
Watersheds are dynamic systems in which the intensification of economic activities

has fostered, among others, large-scale deforestation, resulting in the concentration
of sediment in water bodies in the lowest part of basins (CONAGUA 2017).
Reforestation reduces the mentioned alterations by delaying the time of concentra-
tion of sediments, decreasing the runoff coefficient and the incorporation of
sediments to water bodies, and contributing to control floods. It is important to note

that reforestation will not necessarily lead to the original conditions of land in all
cases (CONAGUA 2017).
Reforestation with native plants and vegetation in the upper, middle, and lower
parts of the basin of Coyuca de Benítez have been carried out more regularly by the
inhabitants themselves or by the three levels of government. The involvement of
actors with knowledge on reforestation has contributed to the increase of inhabitants’
participation. This is because the environmental services offered by reforestation are
made known, which motivates the inhabitants to not only contribute to the environ-
mental changes but also to benefit socially and economically from natural resources.
The most outstanding experience in the municipality is the agreements with the
federal government for promoting reforestation in the state of Guerrero. In this
context the municipal government has participated in carrying out reforestation
campaigns each year with a greater number of seedlings and interested people in
acquiring them either for personal use or livelihood improvement. For instance, the
Watershed Committee of Coyuca and Mitla lagoons (CCCM) (Municipality of
Coyuca 2020) has held meetings about a reforestation proposal of the middle
basin with native trees. In 2019, approximately two million Mexican pesos (more
than 100,000 US dollars) was invested to protect and reforest more than 1,000
hectares of forest (Municipality of Coyuca 2020). In the following years other
agreements were reached, resulting in the provision of more than 29,000 trees for
continuing reforestation. In addition, the municipal government has a public nursery
that enables them to have seedlings available for people that are interested in
conducting reforestation without the need to be part of a governmental program or
agreement.
This NbS have been supported by several factors, including local communities
and authorities’ engagement, people’s interest on climate change and disaster risk
reduction, existence of formal agreements among stakeholders for conducting refor-
estation actions, availability of federal funding whose access is facilitated by the
municipal authorities, ease of acquisition of seedlings, and monitoring of seedlings
delivered to the communities. However, major challenges remain such as the
implementation of effective solutions at different altitudes of the basin, the devel-
opment of innovative strategies and methods for community mobilization and
climate change understanding, the establishment of effective communication about
reforestation programs with communities located in the periphery of major urban
settlements of Coyuca, the development of effective solutions to address conflicts
that emerged from reforestation processes, the delivery in a timely manner of
seedlings (appropriate season for the environment and the inhabitants), and the
continuation of financial support that was suspended due to the COVID-19
pandemic.
The potential lines of action identified are the articulation of existing reforestation
initiatives with governmental programs on disaster risk reductions and the expansion
of the communal nurseries, increasing the number of species for reforestation at
any time.
Rainwater Harvesting
Rainwater harvesting is an ancient system that has been used in different cultures. It
is an easy water collection system for human and agricultural consumption,
implemented in regions with medium and high rainfall for the provision of quality
water to meet the community’s needs. Rainwater harvesting is defined as the
collection of surface runoff for productive use (Chalco 2016). Through this type of
green infrastructure communities can take advantage of rainwater and at the same
time mitigate flooding. Guerrero is classified as a water state by the National Water
Commission, as it exceeds the national average for rainfall mainly due to two factors.
First, Guerrero through its coastal region receives cyclonic storms from the Pacific.
Second, through precipitation in the Sierra Madre del Sur, Guerrero’s runoff,
streams, and rivers are fed (Bustamante 2006).
Water is the most indispensable resource in the upper towns of the municipality of
Coyuca; therefore, communities have carried out actions to promote and expand
rainwater harvesting systems. The Centre for Education, Experimentation, Produc-
tion and Demonstration of Sustainable Inputs and Technologies (CEPRODITES) has
motivated and trained communities to build these systems in public buildings and
houses. Rainwater harvesting has been successfully implemented in the highlands or
areas with difficult access to drinking water. Several factors have contributed to its
implementation. First is the collaboration of community promoters, who have
contributed to motivating the inhabitants to incorporate this system in their homes
and public buildings. The task of community promoters is to generate a comprehen-
sive understanding of social and economic benefits of rainwater harvesting and its
importance for climate change and the environment. Second is the support of
government programs that provide financial resources. Third is the easy installation
and adaptation of rainwater harvesting systems to diverse locations, environmental
conditions, and people’s needs. It is important to highlight that the materials can also
be easily acquired. Fourth is the follow-up of the implementation by a project leader.
Fifth is the existence of tangible personal and collective benefits: the rainwater
harvested is used by households and communities. Despite these factors that have
contributed to the expansion of rainwater harvesting in Coyuca, there are important
challenges for its further development that need to be addressed. One of them is the
activation of existing bodies in charge of water management: there exist formal
institutions in the municipality, but they are not constantly active such as the
Watershed Committee of Coyuca and Mitla. Other challenges are the limited finan-
cial support provided by the government that does not allow implementing systems
of high quality and the building of trust between the government and the beneficia-
ries about the effective use of resources for the installation of rainwater harvesting
system. The mobilization and engagement of people and communities also remains a
major challenge. Lastly, keeping the systems installed in operation remains a
difficult task.
Potential lines of action for expanding rainwater harvesting system in Coyuca
include the integration of these NbS in the local public agenda so as to incentivize
their implementation in existing and future public buildings, the fostering of alli-
ances among state and non-state actors, and the development of projects that focus
on the sustainable use of runoff with the support of communities and the
government.
Discussion
The analysis of the restoration of mangroves, the reforestation of the watershed, and
the rainwater harvesting system in Coyuca makes visible that NbS are concrete
actions that are currently being implemented on the ground, contributing to the
achievement of SDGs 11 and 13, and ultimately the 2030 Agenda, and this despite
the lack of use of the concept. This shows the need to generate a comprehensive
understanding of what is happening on the ground and the way local actions can be
supported.
The case of Coyuca also shows that these initiatives implemented are not
completely linked to climate change and urban sustainable development. Stake-
holders tend to identify the relevance of the restoration of mangroves, reforestation,
and rainwater harvesting and actions related to climate action and sustainable urban
development; however, this understanding is fragmented and the contribution to
climate action is not highlighted: the initiatives are incentivized as solutions for
environmental degradation rather than climate change or urban resilience. In this
sense, the integration of the concept NbS in the public agenda might help to render
visible the contribution of restoration of mangrove, reforestation, and rainwater
harvesting towards sustainable development goals and contribute to achieving
SDG 13 and its Target 13.2 which focuses on the incorporation of climate change
initiatives into policies and strategies, and SDG 11 and its target 11.6 that focuses on
the reduction of the environmental impacts of cities.
In addition, the current implementation of NbS in Coyuca is not supported by a
diagnosis or structured plan and lack of clear monitoring and maintenance strategies,
which are essential items for the development of this type of solutions according to
Nesshöver et al. (2017). Therefore, even if these NbS can contribute to the imple-
mentation of SDG, they might be counterproductive and even put at risk the
ecosystems as highlighted by Seddon et al. (2020). Furthermore, the development
of NbS in Coyuca is not inscribed in a collective strategy or public policy, limiting
their purpose and impact as stressed by Ribeiro (2020). Consequently, the existing
NbS in Coyuca’s urban-lagoon system need to be made visible as actions that are
happening on the ground; however, they also need to be closely linked to climate
change, to sustainable urban development, and ultimately, to the SDGs and require
to be articulated as a collective strategy and incorporated in the public agenda.
The lack of a clear plan or strategy that supports existing NbS contrasts with the
initiatives developed at regional and national level by international organizations,
cooperation agencies, and national governments such as CityAdapt (CityAdapt
2020), EUROCLIMA (2021b), and green basins (IKI Alliance 2021). These exam-
ples show that from an international and regional perspective, the concept of NbS is
being mobilized and NbS are being implemented across Latin America and the
Caribbean through diverse methodologies and robust strategies that articulate one or
more NbS and have financial support. This gap between local actions and national
and regional initiatives requires to be addressed through different means, including a
constant dialogue among territories and actors and articulation of initiatives and
funding mechanisms.
The case of Coyuca also illustrates the need to develop inclusive modes of
governance, mobilizing state and non-state stakeholders. Specifically, the engage-
ment of local people and communities emerges as key element for the development
of NbS. Another key element is the articulation and coordination between national,
state, and municipal governments and agencies. Lastly, the case of Coyuca indicates
that the promotion and implementation of NbS requires raising awareness and
articulating environmental and socioeconomic needs and expectations of people
and communities.
Conclusion
Climate change is a major challenge for humanity. Latin America and the Caribbean
(LAC) is a region particularly vulnerable to it due to its geographical location,
climate conditions, and natural assets’ sensibility to climate, as well as to the existing
institutional, social-economic, and demographic conditions. The challenge of cli-
mate change is intertwined with the transition towards a more sustainable urban
development. The global agendas recognized those synergies, including the 2030
Agenda for sustainable development and the New Urban Agenda (NUA). Therefore,
it is of vital importance to find ways to build urban resilience across the region. In
this regard diverse solutions are being promoted in LAC and across the globe for
addressing climate change, including nature-based solutions (NbS).
This chapter aimed to generate a better understanding of NbS opportunities and
challenges for making urban areas in LAC more climate resilient, thus achieving
SDG 11 and SDG 13. Accordingly, it analyzed the implementation of three initia-
tives in Coyuca’s urban-lagoon system located in the periphery of Acapulco’s
Metropolitan Area (AMA): restoration of mangroves, reforestation, and rainwater
harvesting. The analysis focused on the factors that have contributed to their
development, the major challenge faced by stakeholders to promote the NbS, and
the potential lines of action for further their development.
The chapter highlights that NbS are concrete actions that are currently being
implemented, contributing to the achievement of SDGs 11 and 13, and ultimately the
2030 Agenda, and this despite the absence of the use of NbS as a concept. However,
the existing initiatives are not completely linked to climate change and urban
sustainable development. Accordingly, the incorporation of the concept NbS in the
public agenda might help to link and make visible the connections to climate
resilience. The chapter also stresses that the current implementation of NbS in
Coyuca is not supported by a diagnosis or structured plan and monitoring, which
contrast with regional and national initiatives supported by clear methodologies and
robust strategies. Therefore, there is a need to articulate all efforts. Lastly, the chapter
highlights the need of inclusive modes of governance, mobilizing state and non-state
stakeholders, to raise awareness and articulate environmental and socioeconomic
needs and expectations of people and communities.
Beyond Coyuca’s case, the chapter shows the relevance of NbS for achieving the
SDGs in LAC. It also shows that NbS might be already implemented at the local
level without using that concept. Accordingly, it is important to map the existing
initiatives across the region and find adequate ways to support them. It is also
necessary to articulate existing efforts to sound strategies and incorporate them in
the public agenda, making visible their contribution towards sustainable develop-
ment and in particular towards SDG 11 and SDG 13. It also emerges as important for
other urban settlements across Latin America and the Caribbean that the develop-
ment of NbS includes the formation of novel modes of governance, based on the
collective work of local and national governments, civil society, community-based
organizations, academia, non-governmental organizations, and multilateral.
NbS can contribute to achieving the SDGs and build more sustainable urban
future in LAC. The efforts already made at the local level for NbS implementation
require to be recognized and articulated with those made at the national and regional
level to effectively and collectively transition to more resilient cities.
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SDG5 in the Region of Latin America
and the Caribbean
Mabel Bianco
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1370
Primary Actors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1372
SDG5 in the Latam and the Caribbean . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1374
SDG 4 Quality Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1376
SDG 5: Gender Equality and Women and Girl’s Empowerment . . . . . . . . . . . . . . . . . . . . . . . . . . 1378
SDG 16: Promote Peaceful, Just and Inclusive Societies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1384
Two Case Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1386
Argentina . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1387
Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1390
Final Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1391
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1392
Abstract
This chapter is about the Sustainable Development Goal 5 (SDG 5) “Achieve
gender equality and empower all women and girls” in Latin America and the
Caribbean. It begins with an analysis of the characteristics of the region as well as
the stakeholders that participate in the follow up and periodical evaluation of
advances and obstacles in the implementation of the Agenda 2030. The status of
the SDG 5 in the region and its progress and evolution is considered, especially
due to the pandemic of COVID19, which has had a very important negative
impact in the lives of women and girls. It will also review other SDGs in relation
to their impact on gender equality and empowerment of all women and girls from
Latin America and the Caribbean, one of the main objectives of the Agenda 2030,
making an in-depth analysis so it is possible to have more information as well as a
critical perspective. Many indicators and data for the whole region as well as the
countries are revised. In order to analyze and consider the implementation status
M. Bianco (*)
Fundación para Estudio e Investigación de la Mujer (FEIM), Buenos Aires, Argentina

https://doi.org/10.1007/978-3-031-16017-2_14
1370 M. Bianco
at the country level, it is convenient to include two paradigmatic countries,

Argentina and Brazil, to demonstrate how sensible and fragile the advances in
SDG 5 implementation in Latin America and the Caribbean are. They are
presented as cases of study and the information is based on the alternative reports
prepared by civil society groups in 2022 meanwhile not the Voluntary National
Reviews (VNRs) of Argentina and Brazil presented in the High Level Political
Forum (HLPF) 2022.
Keywords
Latin America and the Caribbean · Gender Equality · ECLAC indicators · Civil
Society · Argentina · Brazil
Introduction
Latin American and the Caribbean is a very diverse region, it involves many
countries with different extensions in territory and demography, as well there is an
important linguistic, religious, and cultural diversity. The region comprehends
33 countries divided into 3 main subregions: Mexico and Central America; South
America; and the Caribbean. There are many differences between the subregions and
inside them, which includes those mentioned above and also others as origin, the
history, and the country that colonized them, among the most important.
The Caribbean subregion comprises a group of 18 countries plus some associated
states without status of countries. All countries and associated states are islands at
risk to disappear due to climate change, as well as the small islands in the Pacific.
The Caribbean subregion has a vast diversity of languages including English,
Spanish, French, and Dutch, which are the most important, as well as various
indigenous dialects. Considering the origins in the Caribbean, there are countries
that were colonies of Spain as Cuba and Dominican Republic, others were colonies
of the United Kingdom, some of France, and others of the Netherlands. While Cuba
and Dominican Republic became independent from Spain simultaneously with the
countries in Central America and Mexico and most of South American countries, the
others countries became independent later and most of them still have some form of
dependence on their colonizers.
Mexico and Central America is a subregion with a big and rich country as Mexico
and the Central American countries smaller in territories, population, and wealth.
They have similar origins; most of them were colonized by Spain so they share the
language Spanish. These countries have a considerable indigenous population, some
of which were highly developed when the colonizers arrived, but were persecuted
and subdued, forced to become Catholic and dependent on the Spanish authorities.
South America is the subregion with the biggest territory, but countries vary with
respect to the size of their territories and populations. Most of them were colonies of
Spain and share the language. Their indigenous peoples had high level of develop-
ment and were subdued, persecuted, and killed by the Spanish authorities. The fights
SDG5 in the Region of Latin America and the Caribbean 1371
for the independence from Spain started in South America and moved to the north.
The countries in the region, except Brazil, were all very similar. Brazil, the biggest
country in the subregion, was a colony of Portugal and is the only country of the
region that sheltered the monarchy. They have a different language, Portuguese, and
less indigenous people. They received a lot of slaves from Africa as well as the
Spanish Caribbean countries: Cuba and Dominican Republic, so the influence of
Africa is very important and many cultural and religious practices remain in the
population.
According to ECLAC, more than 660 million people live in the Latin America
and the Caribbean region, with a very different distribution among countries. Brazil
and Mexico are the biggest in territory and population, while in the Caribbean there
are some with smaller territories and populations. Latin America and the Caribbean
is the most unequal region of the world but not the poorest. This inequality means a
great gap among poor and rich, not only in incomes but also in many other factors
such as access to quantitative and quality of education, health care services, housing
and sanitation conditions, and others.
Until 2019, there were structural difficulties in order to implement the 2030
Agenda and the 17 Sustainable Development Goal -SDGs-, meanwhile there were
some advances, for example, in the SDG1 “End poverty in all its forms everywhere”.
A decrease of poverty was registered based principally on actions in some countries
as in Brazil with the “bolsa familia” (Inter-American Development Bank 2022). It
was a program implemented in 2003 by the national government aimed at transfer-
ring money to poor families, allowing them to increase their incomes and be able to
fulfill their basic needs, with the only requisite to send the children to school. This
program was interrupted in 2018 by the new government, but in 2020 due to the
COVID-19 economic crises, the national government gave some support but was
less significant in the money transfer and the number of families covered. Similar
programs as “bolsa familia” were adopted in other countries in the region, impacting
with a decrease of poor people and particularly of extreme poverty. With the
COVID-19 pandemic, there was a huge step backwards. In 2020, the region was
characterized by a generalized increase in poverty and extreme poverty indicators,
which reached 33.0% and 13.1% respectively (ECLAC 2022a). This percentage
meant that 204 million people could not cover their basic needs and that, of them,
81 million people lacked the resources to acquire a basic food basket. Considering
young people aged 15–24 in the region, 18.6% of them are neither in education nor
employed, a percentage that reaches 26.1% among women. Those young people not
working nor studying are called “NI-NI” (Balaguer 2022) and this NI-NI were a
regular big number before the pandemic and grew due to the pandemic. This
considerable number of adolescents and young men and women is seen by society
as a lost generation, as shown in the newspaper article “Los ni-ni-ni. Young people
who today do not dream of a future” written by Adriana Balaguer for the Argentine
newspaper La Nacion (Balaguer 2022). The females NI- NI usually become preg-
nant at early ages and mothers and they replicate the poverty of their families or
worse because they enter to work early in low productivity jobs to maintain their
children (Balaguer 2022).
1372 M. Bianco
Adolescents and young females face in general a big burden due to domestic
chores and the care of children as well as elderly and mentally ill people at their
parent homes and later in their own home, due to the lack of governmental services
to cover those care needs. Young men face now more difficulties in finding an
employment, a first-time job searching among young men are very difficult and the
unemployment rates among young people are higher than adults but highest in men
because women are not often looking for work because they remain at home to do
domestic work and take care of their children due to a lack of children care services
(ECLAC 2022a). Consequently, an analysis of the current situations after the
pandemic crisis requires considering also the changes and reversals in the achieve-
ment of the SDG produced by the covid crisis and the actions taken to reduce the
effects of the pandemic and to advance the implementation of the Agenda 2030. This
is also affected by the economic deterioration that the pandemic caused in most of
the countries of the region, even in the ones with the higher chance to achieve
sustainable development.
Primary Actors
The 2030 Agenda and its 17 SDGs are revised each year globally at the High-Level
Political Forum – HLPF – organized by ECOSOC, based on the General Assembly
resolution 67/290 in 2013. The General Assembly decided that the HLPF, consistent
with its universal intergovernmental nature, should provide political leadership,
guidance, and recommendations for sustainable development, as well as the follow
up and review of progress in the implementation of sustainable development com-
mitments. The Forum should also enhance the integration of the three dimensions of
sustainable development in a holistic and cross-sectorial manner at all levels and
have a focused, dynamic, and action-oriented agenda, ensuring the appropriate
consideration of new and emerging sustainable development challenges.
Regional Forums are based on the same resolution of the United Nations when
the 2030 Agenda was approved. These Forums are set to happen every year and the
responsibility for the outcomes is the Economic Commission of each region alto-
gether with the president of the committee of countries elected. Also, other stake-
holders participate such as the academy, the private sector, and the civil society. In
Latin America and the Caribbean, the ECLAC office in Chile is responsible for the
Forum of the Countries of Latin America and the Caribbean on Sustainable Devel-
opment and, as in the HLPF, the Civil Society and other stakeholders have to be
included and actively participate in the Forum. In other regions, the Civil Society is
not organized in the way the Mayor Groups and Other Stakeholders is organized on
the global level. In each region, there are different modalities of associations of civil
societies groups to participate. In Latin America and the Caribbean, a self-organized
association was created called Participation Mechanism of Civil Society from Latin
America and the Caribbean, which has been developed in order to ensure civil
society’s participation.
The Participation Mechanism of the Civil Society in Latin America and the
Caribbean for Sustainable Development was developed by a process starting at the
first Regional Forum of Latin American and Caribbean Countries on Sustainable
Development in Mexico City in April 2017. The representatives of civil society
organizations attending the Forum decided to initiate a deliberation process, with the
aim of agreeing on an institutional mechanism for dialogue with governments and
other relevant actors in the region as well as ECLAC and the UN.
Thus, during the period prior to the Second Meeting of the Regional Forum that
took place in Santiago de Chile in April 2018, and later during the Civil Society
meeting previous to the Forum, all participants discussed different modalities for the
participation of civil society evaluating pros and contras. Based on that, some criteria
were agreed and formulated and a transitional commission was created, in charge of
coordinating the process to define which and how the final model would be. At the
civil society previous meeting of the Third Regional Forum, the structure of the
mechanism and its operating dynamics were agreed upon, which were finally
approved by the participants of the civil society meeting in Santiago de Chile-
April 2019.
The Mechanism is integrated by 20 subgroups divided in: subregional groups
(Central America; Spanish Caribbean countries and Mexico; Anglophone and Fran-
cophone Caribbean countries; Andean Zone; Southern Cone), thematic & populations
(Children, Adolescents and Young; Women; Elderly; Afro-descendants; Small-scale,
rural and coastal agricultural and livestock farmers; People with disabilities; People
living and affected by HIV; Defenders of human rights and territories; LGBTQI+;
Migrants and displaced by disasters or conflicts; Indigenous People; Regional, Sub-
regional, and National Networks & NGO platforms; Workers including domestic and
sex workers), and thematic groups (Social solidarity economies; Education, science,
academia, and technology; Environment and ecological justice) (ECLAC 2018).
It is proposed that the coordination of each group be made up of a Focal Point –
FP – and one alternate, and these representatives will constitute the linking group to
coordinate and manage the Mechanism. A facilitator group of three members among
FP or alternates take care of the managerial issues.
The agreed objectives of the Participation Mechanism of Civil Society in Latin
America and the Caribbean are: (1) to facilitate participation in Regional Forum, as
well as in all regional processes related to 2030 Agenda and its 17 SDGs; (2) promote
the inputs to the Agenda 2030 implementation process in the region; (3) facilitate
information about the Agenda and its implementation worldwide; (4) make visible
the Mechanism role and its activities as political actors; (5) negotiate with ECLAC
and member States the participation of the Mechanism in regional meetings related
to Sustainable Development; (6) help to ensure the participation of the Mechanism in
the accountability process of the 2030 Agenda; (7) bring information about the
activities developed by the mechanism and its groups (ECLAC 2018).
1374 M. Bianco
SDG5 in the Latam and the Caribbean
This section will highlight aspects and dynamics related especially to SDG 5. This is
very important and it was an achievement of the feminist movement and UN Women
to include gender equality as a specific Goal.
The Agenda 2030 considers all of the 17 SDGs as a whole, so every goal is
interrelated with others (United Nations Development Programme 2022). Even
though in the HLPF each year they consider only some of them, the Civil Society
always remains suggesting and asking to consider them in a holistic manner. The
Regional Forum also considers each year the same SDGs as the HLPF.
As mentioned above, Latin America and the Caribbean is the most unequal region
in the world, not the poorest but as inequalities are more difficult to eliminate than
poverty, this is a problem to achieve Agenda 2030 that the region has faced since
2015 when the SDGs were approved. The pandemic of COVID 19 had a devastating
impact in the region. According to the ECLAC report for the Regional Forum in
Costa Rica in March 2022 (ECLAC 2022a), the decrease of the GDP gross domestic
product and the loss of employment in the region were higher than in the rest of the
world and in other regions, even compared to Africa Sub-Saharan. In the LAC
region the decrease of GDP was 6.8, while in the world was 3.2 and in Sub-Saharan
Africa 1.8.
Regarding the loss of employment in the LAC region, the loss was 9.0, while in
the world it was 3.5 and in subSaharan Africa 0.9 (ECLAC 2022a). The estimation
of the gross domestic product in 2022 in LAC according to the subregions is a
growth of 2.6% in South America, 2.3% in Central America and Mexico, and 4.7%
in the Caribbean (ECLAC 2022a). The question of why there was such big impact in
the decrease of employment could be associated to the poor technological capacity
existing in the region altogether with the low investment on research and develop-
ment, those factors are considered to be the most responsible of this great negative
impact in the region, higher than the world and even Sub-Saharan Africa. Some
characteristics of the employment in the region like the high proportion of the
informal work in the LAC region, since 48% of all workers are in the informal
sector (ECLAC 2022a), and the low productivity, are the responsibility for a greater
sensitivity to the impact produced by COVID 19 crises. The improvement in
employment in the region is very low and will take many years to recover to the
2019 level.
The pandemic increased and amplified the pattern of inequalities in LAC and
health is one of the clearest examples of this. The health care public services in most
of the countries of the region suffered a long period of abandonment, less investment
in technology, and loss of quality; meanwhile, they are in many countries the only
services available for poor people. The privatization of health care services in many
countries in the region produces a big gap between public and private services,
meanwhile preventive services remain mainly in the public sector. With COVID 19,
the needs of health care increased and the public health care services responded as
they could with their poor technological capacity, and with great efforts of their
personnel.
When the vaccine became available, most countries in the region couldn’t provide
the vaccines needed to protect the people. So, the differences in the coverage among
countries is very big with countries such as Haiti where only 0.6% of the population
was vaccinated in November 2021 till those with 75% or more as Uruguay, Chile,
and Cuba. Guatemala and Jamaica only have 25% of their inhabitants vaccinated
(ECLAC 2022a). The differences in coverage expressed the difficulties and restric-
tions governments had to face in order to buy the vaccines due to the high cost,
depending principally on COVAX provision through WHO. Also, some developed
countries and few Latin American ones donated vaccines to those with low cover-
age, in general because they were near to expiration so they could not insure the
application before expiration dates. Of course, this is not the best way to cover the
need, but was the only available for those poorest countries in the region.
Also, the region has the highest number of deaths for COVID 19. Until October
2021, Latin America and the Caribbean had the highest number of deaths in the
world, corresponding to 28.9% of the total deaths, while the region has 8.4% of the
population of the world (ECLAC 2022a). So, the number of deaths were three times
higher than the proportion of the population. There are multiple causes of that but the
most frequent are the lack of access to health care services and the low technological
capacity of the health services to be able to assist the ill people. The lack of
mechanical respirators and the small number of beds in the intensive care units are
among the more frequent causes that determine the death rates. 1.5 million deaths or
more in the LAC region is the number informed by the World Health Organization
by 2021 (ECLAC 2022a).
As it was mentioned, the employment was affected very seriously and if it is
considered by sex, women lost much more and the deterioration was very big;
ECLAC classifies it as historical deterioration of women’s employment. While the
decrease in men was less, it recovered soon, and in 2021, the level of employment in
men was the same as it was in 2019 (ECLAC 2022a). Women will require more time
to recover and this is a big gap among them. But the increase among men was
insufficient to reach or allow the new groups of young people that reached the age to
enter the labor force and to be able to have employment. So, the levels of unem-
ployment in young men and also in young women are high and the efforts of young
people to have a first job are very hard. As the loss of jobs among women was higher
than in men, the recovery was slow and most remain unemployed until today,
increasing the poverty status of women and a high concentration among them in
extreme poverty which increased from 11.9% in 2019 to 13.8% in 2021 (ECLAC
2022a). The deterioration in 2020 is estimated in 18 years, so the loss and setback
until the beginning of the century is very important and difficult to overcome. The
countries more affected by the growth of poverty and extreme poverty were Argen-
tina, Colombia, and Peru.
In Latin America and the Caribbean region in general, the distribution of care
work between men and women is very unequal; women are the most or uniquely
responsible for unpaid care work. The impact of COVID-19 aggravated this issue.
Most of the countries do not recognize domestic care work as a job, so women face
problems when it comes to retiring due to the lack of contribution to formal work
1376 M. Bianco
even though they have worked their whole lives. As in the healthcare system, the
roles of nursery and care of the elderly falls on women, facing more chances of
precarious work and infections due to the closeness and the informality of the field.
According to the document about “Latin America and the Caribbean status of
implementation the Agenda 2030 and its 17 SDGs” prepared by the Participation
Mechanism of CS in Latin America and the Caribbean in March 2022 and presented
to the Regional Forum in Costa Rica, “It is clear that Latin America and the
Caribbean is already in a situation of economic stagnation of all social, environmen-
tal, labor and access to fundamental rights indicators before the COVID 19 pandemic
presented itself as an even greater obstacle to achieving the Sustainable Develop-
ment Goals of the 2030 Agenda. This indicates that the current development model
needs to be changed: a new social contract is needed. One that recognizes the
protection of life, promotes human rights, centralizes recovery and integrates the
sustainability of the planet and decent work as State policies.” (Participation Mech-
anism of the Civil Society 2022)
The document recognizes the preexisting conditions of poverty as indigence or
extreme poverty in most countries that result of a high level of exclusion, the
excessive weight of foreign debt in many countries, human rights violations, unem-
ployment and labor informality, environmental degradation and the extractives
models predominant in the region, the bad living conditions of people in vulnerable
situations, and the pandemic of COVID 19 in the economics creating recession, as
well as the crisis of the health system with the impact on the increase of deaths and
the increase of morbidity rates. Also, the deterioration of the education of elementary
and secondary schools as well as the professional training system were pointed out.
Other consequences were the low and poor living conditions of women and children;
migrants, displaced populations and refugees, and vulnerable groups as indigenous
peoples, afro-descendants, people living with HIV, sex workers, domestic workers,
and workers in the informal economy.
If it considered each SDG, it would be possible to describe and understand better
how all those aspects mentioned by the Civil Society document are in accordance
with the analysis and document prepare by ECLAC to the V Regional Forum
meeting that was presented by the Executive Secretary Dra Alicia Barcena at the
beginning of the Forum (ECLAC 2022a). Some of the SDGs considered past year at
the Regional Forum and later in the HLPF will be considered.
SDG 4 Quality Education
This SDG4 “Ensure inclusive and equitable quality education and promote lifelong
learning opportunities for all” is very closely related with the SDG 8 “Promote
sustained, inclusive and sustainable economic growth, full and productive employ-
ment and decent work for all,” because the high level of education is an important
factor to improve the possibilities of better opportunities in the labor market and to
progress in it. Nowadays, adolescents and young people require technological
capacity to have better opportunities to participate in the labor market, so it is
necessary to adapt the traditional teaching methods to a more complex one and
training in ITCs is fundamental. In this sense, the gap among sexes is very big,
women and girls are less trained and educated on ITCs, so they have low possibilities
in the future to work in jobs of high productivity and reach a better-paid position.
The need to increase the STEM education especially to girls is now a must, but still
not a reality in most of the countries in the region. This is an important deficit that is
needed to overcome because, as it is recognized in a region with so big inequalities,
education is the more adequate way to reduce inequalities and for societies to
become more just and equal, eliminating discrimination.
It is evident that the educational system in the countries of the region require a
change in the model and the methodology, the new school requires it to be more
inclusive, resilient, and oriented to give the students the methods to incorporate new
knowledge more than to accumulate the actual. But, to reach that goal, it is necessary
to have teachers and professors with the capacity to teach in such a way, and this is a
problem in most countries of the region. Teachers and professors are not well
prepared to transform the educational system.
Considering the quality of education, the panorama after the pandemic is very
bad, and it is very difficult to recover to the status before the pandemic. Some
information shows how the status of education is. For example, the percentage of
children in the region that started attending the primary school in 2010 was 88%, a
year after, 97% of the children in age to attend the primary school were registered, in
2020 the percentage decreased to 93% and in secondary schools it decreased to 79%
(ECLAC 2022a). The period during which schools were closed due to the pandemic
was very long. In most of the counties, nearly for more than 1 year, the learning was
only virtual, which had a negative impact. In September 2021, ECLAC estimated
there were still many schools closed, doing only virtual education. In many coun-
tries, the children have many difficulties to participate online in the school due to
lack of or poor and unstable connectivity and/or the lack of a computer or smart
telephone to be used exclusively by the children. These decreased the possibilities to
participate in the virtual classes and also to do the exercises requested, so most of the
children lost the school year and a considerable number dropped out. The number of
those who dropped out of school in the region is estimated at 3 million or up
(ECLAC 2022a). It is very difficult to recover them, allowing them to enter the
schools again and continue their education. The principal dropout is observed in
the secondary school, but due to the pandemic, also grew up in primary school. The
amount of children excluded or out of school clearly expresses the seriousness of the
problem in individual and collective terms in our region.
The problems of the long period without education in presence also created
problems in the social and mental health of children and adolescents (Alianza
Argentina de Organizaciones de la Sociedad Civil en seguimiento de compromisos
internacionales 2022). The schools are important in the lives of children and
adolescents, not only for the teaching process but for the social interaction and
communication among students and the rest of the educational community. The
sudden loss of attendance in person to schools for such a long period of time – more
than 1 year – affected the children and adolescents. They experienced isolation,
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sadness, and often depression. The number of received calls in the hot lines from
children and adolescents asking for help increased during the pandemic, as well as
the number of persons speaking on behalf of children requesting support and care for
children and adolescents.
Technical education in the region is poor and very concentrated in males: boys
and male adolescents, including those from poor families, are more included in the
technical teaching than girls and female adolescents. The traditional cultural values
of the role of men as providers in the families still remain in most of the countries and
are the basis for these trends, meanwhile nowadays women are often the principal or
unique providers at homes and or at least they contribute to the income of the family
and not only the men. In the region, it is necessary a change in technical and STEM
education to improve it and make it more accessible for girls and females adoles-
cents. This will contribute to improving the productivity and the development
pattern in most of the countries in the region.
SDG 5: Gender Equality and Women and Girl’s Empowerment
Gender equality is a goal not easy to reach. When the Agenda 2030 and its goals
were discussed, it was a trend to maintain, as in the Millennial Goals, that gender
equality was a mainstream and cross-cutting issue. Based on the experience of
mainstreaming, the feminist movement and UN Women requested to have a
standalone goal, because the mainstreaming resulted in the invisibility of the objec-
tive. While through a standalone SDG, it will have targets and it will be evaluated
and followed up as other SDGs. Meanwhile, in SDG5 it is difficult to reach all the
targets and goals, it is very important to have a permanent monitoring of advances
and obstacles. Before the pandemic, some advances were produced, as for example
the increase in political participation of women, the increase in the labor force, the
increase in the college tuition and the graduation (meanwhile still less in STEM and
technical training) among the most important. The pandemic impacted negatively in
all the advances because women were more affected by the pandemic. As it was
mentioned before in this document, the loss of employment was higher among
women than men, and the recovery is less quick, so many women remain unem-
ployed. As in the region women are more represented in the informal sector with low
salaries and incorporated in the low productivity activities, the pandemic left them
from 1 day to the next without the possibility to work and without social protection
measures. The result was an increase of poverty among women and many of them
reaching extreme poverty. Also, many have difficulties or are unable to receive the
special support. Some governments help those in extreme poverty or with more
need, as for example in Argentina, but due some of them had a house and/or a car,
even if they had important unmet needs, they couldn’t apply for the special support
and had hard time surviving themselves and their children during the pandemic when
they could not work.
In gender-based violence, few advances were produced before the pandemic but
the pandemic increased the violence experimented by women and girls. The
coexistence 24 h the 7 days of the week in the house of women and men increased
the risk of women and girls to experiment violence. The permanent presence of the
aggressor with the victim limited the possibilities to request help, so in most
countries the hotlines were adapted to receive calls through cell phones and by
WhatsApp and emails in order allow women to communicate and request help
without being listened to by the aggressor. Also, many different strategies were
developed to communicate and be able to receive help but the increase of gender-
based violence was important and the services existing were overcome and insuffi-
cient. In some countries, during the pandemic the government increased the services
available but not in the level to respond to the growing needs.
In March 2015, in Argentina a movement of civil society groups and journalists
appeared and was called NiUnaMenos demanding the government “the implemen-
tation of the National Plan established in 2009 in Law 26.485 for the Comprehensive
Protection of Women, the compilation of official statistics for violence against
women and a femicide index, the inclusion of this issue in all educational curricu-
lums, and guarantees protection for victims of violence against women and for their
access to the justice system, including free legal aid during the entire process”
(Rodriguez 2015). The movement grew very quickly, and in June 2015, a big
mobilization occurred in all the cities in Argentina and massive demonstrations
took place. The massive demonstrations had an impact on the government but
were not sufficient to fully implement the law. Meanwhile, it was a motif for all
the population to express the need for governmental interventions to eliminate/
decrease gender-based violence. The movement expanded very quickly to many
countries in Latin America and in the rest of the region and the world. NiUnaMenos
was a precedent of the claim under the motto MeToo in the northern mobilization
against the sexual violence in the media and the artistic community.
Sexual violence also increased with the pandemic, especially among girls and
female adolescents. Infant Sexual Abuse and harassment is a very frequent form of
violence in most countries in the region. Central America countries have the highest
rates of Infant Sexual Abuse; Brazil also has a high number. As a violence that
occurs in general inside the house of the children and by a family member because
generally the abuser is a relative or friend of the family, the tendency is to deny and
be silent among the family members in which the girl or boy was not able to go away.
Girls are more frequently affected than boys are; the relation is 9 girls and 1 boy
among each 10 Infant sexual abuse. Sexual Violence also occurred in married or
partners couples, but it is more difficult for the women to demonstrate and there is a
refusal to recognize this violence in legal marriages or unions.
Femicides are the extreme manifestation of Gender Based Violence, it took many
years to be recognized and specifically called. Before, it was considered a passionate
crime and the penalties were lower. Nowadays, in some countries the law recognizes
it and the penalties are according to the crime, the most important penalty include life
imprisonment. The data shows that femicides or feminicides in the region are high.
ECLAC’s reports regarding SDG 5 goal 5.2 “End all violence against and exploita-
tion of women and girls” (ECLAC 2022b) show how the frequency in Latin America
countries is and its evolution, pointing out those with the highest rates of women
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killed by their intimate partners, those where there was a decrease related to 2019
and those where remain the same. About what happens in the Caribbean, they
present the data and explain that in some cases there are problems obtaining the
data due to the small number of their population. In those where data are available,
the status is similar to Latin America.
Feminicides are not recognized in the legislations of all the countries in the
region, so in many countries there are still problems identifying them. Latin America
has a bigger number of them in Central America, Mexico, Brazil, and in some other
countries such as Argentina and Ecuador. The Caribbean countries refer to less
numbers of femicides according to the information from ECLAC. Feminicides are
denounced by feminists and through studies and information produced by these
groups, forcing governments to recognize and consider it. Still, as in gender-based
violence, the impunity is a characteristic in all countries in the region.
As a result of this increase and recognition of feminicides, in 2020 the project
Spotlight for Violence Against Women developed by the UN General Secretary and
the European Union investing to eliminate Gender Based Violence in Latin America
was dedicated to eliminate femicides or feminicides in the region, five countries were
selected due to the high frequency: Argentina, Ecuador, Honduras, Guatemala, and
Mexico. Initially, El Salvador was selected because it has a very high incidence, but
problems with the government obliged to interrupt and Ecuador was included. Also,
there were regional activities in other countries. The importance of the project is that
it implies the participation of governments, NGOs or Civil society mainly feminist,
as well as other UN agencies such as UNFPA and UNDP coordinated by UN
Woman.
A harmful practice for girls according to the Program of Action of the IV
International Conference on Women that took place in Beijing in 1995 is Early
Marriage, considered altogether with genital mutilation as forms of violence against
girls and especially the early infant marriage that is of girls younger than 15 years
old. In this case, it is considered a forced early marriage or union because at that early
age the girls cannot adopt a decision as important as to get married. In the region,
now most of the countries have laws that recognize the right of marriage for men and
women that are 18 years old or older, but still there are countries in which they allow
earlier unions/marriages or have religious marriage with girls of 12. This occurs, for
example, in some countries in the Caribbean where Hindu and other religions accept
from the age of 12 years old the capacity to get married. Meanwhile, the laws
establishes the 18 years old to be able to get married; there are many exceptions
that through the legal permission of the parents or by a judge or the legal represen-
tative, the girls and boys could marry before the 18 years old. In general, in countries
of the region, unions are more frequent than marriages, and they are not under the
law. There are many ways the law can be passed and the unions or marriage exists
and are not diminishing. The main consequences of early marriage or union is the
abandonment of schools and the early and forced pregnancies. Also, these girls more
frequently experience violence from their partners.
About the frequency, an indicator is the percentage of women at a group age
20–24 years who are married or in a permanent union before they were 19 years old,
the indicator is high in most of the countries in the region, especially in Central
America and some Caribbean countries. Meanwhile, attention and interventions are
observed related to eliminating or preventing early marriages.
In relation to Sexual and Reproductive Health and Rights, SDG 5 has a close
relation. Regarding the access to family planning (FP) or sexual and reproductive
health, still before the pandemic the proportion of women with unmet demands for
family planning was high, in 2013 was of 10.6%, registering a decrease if it is
considered the proportion of unmet demand, based on UNFPA, was 17.2% in 1990.
Only one country – Haiti – has a very high unmet demand for family planning, the
relation is that of each 10 women nearly 4 have no access to family planning
methods. Some other poor countries such as Bolivia, Guyana, and Guatemala also
have 20% or plus of their women with unmet demands for family planning. Other
countries in the region have lower proportions.
With the pandemic, the access to family planning services decreased due to the
concentration of healthcare services in COVID 19 care, the fact that many sexual and
reproductive health services closed and the problems the women had to face in order
to reach the services available due to restrictions to move outside their houses and
the use of public transportation as well as the decrease of their income that enabled
them to buy the contraceptives. In most of the countries, women interrupted the use
of contraception and many became pregnant, increasing the request of abortions.
According to UNFPA, during the pandemic 20.4 million women interrupted the use
of contraceptives (UNFPA LAC Region 2020). They actualized the estimation of
unmet need of family planning, where there was an increase from 11.4% in 2020 to
16.3% in 2022, reaching the proportion in 1990 (UNFPA LAC Region 2020). This
means that the region decreased more than 30 years in the unmet needs of family
planning, a big problem affecting gender equality. UNFPA in the LAC region
estimates that the budget to recover the use of contraceptives requires an increase
in a period where countries are facing economic difficulties to fulfill due to the
economic crises they have. UNFPA regional LAC office studied the prices of
contraceptives in different countries of the region, finding a big difference among
countries but in all an increase of the price. This increase of the price makes it more
difficult for women to access and to purchase contraceptives with their funds.
A study in Colombia of the UNFPA office said between 2019 and 2020 the visits
to family planning services for contraceptives decreased in the country 28% with a
high reduction among adolescents 15–19 years old (34%). In 2020 and 2021, an
increase in the use of contraceptives was observed, especially of those reversible and
of long duration in adolescents, something considered positive because that
decreased the rates of early adolescents’ pregnancies, which are very high in the
country (UNFPA Colombia 2022).
Adolescent pregnancy rates persist in the region high, despite the fertility of
women in general tends to decline, but no for adolescents. The fertility rate in
adolescents in Latin America and the Caribbean is one of the highest in the world,
only superseded by subSaharan African countries. In 2020, the Executive Director of
the Regional office of UNFPA in Latin America and the Caribbean, Harold Robin-
son, warned about the problem that the high frequency of adolescent pregnancy
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implies for women in the region. The negative consequences are irreversible and
change the life of millions of girls for their future. The region is second in adolescent
pregnancy with 62 newborns among 1000 adolescents 15–19 years old; this
increased with the pandemic and implies high cost due to the cost of the girl’s
mother plus the loss of productivity due to the pregnancy and the care of the child
(EFE News 2020).
Another big public health problem in the region is abortion. For many decades,
the region has had high rates of maternal morbidity and mortality due to unsafe
abortion in most countries. This is the consequence of having restrictive laws based
on religious concepts that deny the right to interrupt the pregnancies, including in
cases of risk to health and life. Traditionally, the Catholic Church was the opposition
to depenalize and decriminalize abortion in the countries of the region. The region
has the biggest number of countries with denied therapeutic abortion. Women in the
region are forced to interrupt pregnancies through unsafe techniques practiced by
themselves such as the introduction of a parsley in the uterus or a knitting needle or a
urinary catheter. All these methods are unsafe because they introduce septic material
producing severe infectious as well as hemorrhage, leading to severe illness. As
abortion is forbidden and penalized, women refuse to attend to health care services
when symptoms start and they go to hospitals very late. The treatment of complica-
tions due to unsafe abortion is very expensive, requires a long time, and not in all
cases the result is the recovery of health and life of women with these complications.
So, many of them die and this is a tragedy for the family and the society because in
general they leave children and the partner was absent or has many difficulties taking
care of them.
In 1986, a group of women’s organizations from the region met in Colombia and
created the Network of Latin America and the Caribbean Women’s Health oriented
to denounce the high maternal mortality rates in the region due to unsafe abortion
and claim to eliminate penalization of women and doctors. Opposition of political
leaders based on the pressure of the Catholic Church remains as the principal
obstacle that limits the possibility to advance and change laws in LAC region. In
the International Conference on Population and Development – ICPD – in Cairo in
1994, the issue of liberalization of abortion laws to improve maternal health and
decrease the high rates of maternal mortality was at the center of the discussions and
the formula that allowed to reach the consensus was to add to the need to eliminate
unsafe abortion adding “according to the law”. This formula meant that those
claiming the law for safe abortion couldn’t advance and were stopped until today.
Nowadays, there is not only opposition to abortion from the Catholic Church but
also from the neo-Pentecostals and political conservatives’ groups who also reject
family planning and comprehensive sexual education. The extension of the feminist
movement “NiUnaMenos,” including reproductive violence, allowed in the region
that feminists and social movements could support and fight to depenalize abortion
in the law in most of Latin American countries. The example of the fight in
Argentina, symbolized by the use of the green scarf, is the one also implemented
in other countries. Only a few countries have depenalized abortion and some others
became more restrictive in law terms. El Salvador, where the imprisonment of
17 women due to spontaneous interruptions of pregnancies or early delivery was

denounced as a violation of the human rights of women but the government remains
reluctant to liberate those women, is one example. Only few of those women were
freed after years of fighting.
The fight to reach legal abortion is a characteristic in Latin American Countries
and the green scarf became the signal used by those defending and promoting the
adoption of legal abortion. In Argentina, this was a fight carried out by feminist
activists for more than 30 years. In the last 8 years, the mobilization increased and
demonstrations were often very massive. These demonstrations were called
“pañuelazos” because participants wore the green scarves, and the 8 of March,
when the international women’s day is celebrated worldwide, became a day for
these demonstrations in the main parks in all cities of Argentina. In the photo is the
author of this chapter in one of these demonstrations.
Mabel Bianco at the “Pañuelazo” On international Women’s day 8 of March in Buenos Aires,
Argentina
This way, SDG 5 is closely related to SDG 3 “Ensure healthy lives and promote
well-being for all at all ages”. All the countries of Latin America and the Caribbean
substantially reduced infant mortality between 2000 and 2015, by a proportion that
reached a regional average of 36.3% in 2015 (ECLAC 2019). However, the national
averages hide large gaps. For example, infant mortality among the indigenous
population of 11 countries in the region is 1.8 times higher than that of
non-indigenous populations (ECLAC 2019). In the last 15 years, various health
system reforms – supported by an increase in health spending, which rose from 1.4%
of GDP in 2000 to 2.2% in 2015 in Latin America and reached an average of 3.0% in
five Caribbean countries – have made it possible to expand coverage and equity in
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access, especially in the first numbers (ECLAC 2019). Despite the reduction of the
gaps in access to health systems between numbers, a difference of 37% points
persists between the first and tenth numbers in the region (ECLAC 2019). It is
estimated that 38 million people in the region suffered from severe food insecurity in
2016 and more than 7 million children suffer from chronic malnutrition in the region
(ECLAC 2019).
In the case of human immunodeficiency virus – HIV – infections, progress was
made between 2010 and 2015, with an average of 0.17 new cases per 1000
uninfected persons recorded, with a marked difference between women and men
(0.10 and 0.29, respectively) and between age groups (0.02 among those under
15 years of age and 0.25 among those over 15 years of age) (ECLAC 2019). In 2016,
young people between 15 and 24 years of age still accounted for one-third of the total
number of people with new HIV infections, and 120,000 new HIV infections would
have occurred in the region that year (ECLAC 2019). HIV infection is particularly
acute in prisons in Latin America and the Caribbean.
SDG 16: Promote Peaceful, Just and Inclusive Societies
Latin America and the Caribbean is a region with considerable expressions of

violence and these are reflected in the homicide rate. Especially in some countries
where arms are accessible to everybody and are used based on the insecurity existing
in the society. Having a weapon, especially a firearm, increases the risk of having
high rates of homicides in the society in general and the femicides rate particularly
for women. In the region, the homicide rate is 22.1 persons per 100,000 inhabitants,
the assault rate is 229.5 per 100,000 inhabitants. If considering sexual violence rate
is 60.6 per 100,000 inhabitants in the region but as it was mentioned before these are
femicides or feminicides meanwhile in some countries, they don’t have that recog-
nition in the laws (ECLAC 2022b). A total of 2559 women were victims of femicide
in 2017 in 19 countries of the region according to info from ECLAC (ECLAC
2022b).
A problem in the region is the impunity observed in cases of Gender-Based
Violence and of femicides or feminicides. The traditional lack of gender perspective
in the justice system started to be changed through the sensitization and training of
the justice personnel but still there are many without this perspective. In the last
years, a great effort was devoted, especially through the Spotlight Project, to
eliminate femicides or feminicides in Latin America by UN Women and other UN
agencies and the European Union, but still it is not sufficient.
The female participation in the justice system is still low at the level of judges,
while it is very big in the low categories as administrative and auxiliary personnel
such as medical doctors, psychologists, social workers, and others. On average,
29.8% of representatives in legislative bodies in Latin America and the Caribbean
were women, the highest figure worldwide, in May 2018, and the average rate of
female participation in the highest courts of justice in Latin America was 29.2% in
2017 (ECLAC 2019). Meanwhile, there have been some advances in women’s
participation in the high level of the justice system as judges in the Supreme Court
still is low and is growing slowly. To have women is not sufficient if they have no
gender perspective. The training in gender perspectives is a key issue to improve the
quality of the justice in gender-based violence. In Argentina, a law was passed
forcing all employees in public services to receive training in gender perspective.
The region has a very important human rights agreement, called Escazu Agree-
ment on Access to Information, Public Participation and Justice in Environmental
Matters in Latin American and the Caribbean. Still now, only a few countries have
ratified this agreement, but a number sufficient to allow it to be implemented. It is
very important to increase the number of countries that ratified the Escazu agreement
because it means the involvement of Civil Society as well as governments and UN
agencies, ensuring Human Rights and environmental process of conservation and
care. As mentioned before, many countries in the region have implemented extrac-
tive models through agreements between Public and Private, most of them with
international enterprises with low control by the government of the methods to
increase the expansion of those enterprises. This allows the international enterprises
to destroy the environment and push the original populations outside so if they resist,
they are persecuted and criminalized. The leaders, in general, are indigenous women
defending the right to their territories. Crimes such as the Berta Caceres some years
ago continue to happen and make our region “champion” of human right defenders
killed. Berta Caceres was an indigenous leader from Honduras who fought to create
a Civic Council of Indigenous and Popular Organizations of Honduras – COPINH –
to defend the rights and improve the lives of “Tencas,” a group of indigenous living
in Honduras and El Salvador defenders of the environment. She was a leader in most
actions defending their rights, so she was denounced and suffered many death
threats, finally she was killed in March 2016. This needs to be stopped urgently
but no advances have been made, Escazu agreement will help.
As the world is only 7 years away from the year 2030, it can be said that
multilateralism, international development cooperation, regional organizations and
nation states have had problems complying with the agreements signed or provided
adequate responses to the global crisis caused by the COVID 19 pandemic, nor have
they been able to implement appropriate public policies to achieve the goals of the
Sustainable Development Goals (SDGs).
The continuity of neoliberal and adjustment policies adopted by most countries in
the region is concerning; as it hinders the achievement of the SDGs. A radical change
in the actions of governments including the civil society participation and the
implementation of new models of production and development that guarantee
human rights are essential to accelerate compliance with the 2030 Agenda. There
is also a deficit of indicators and an absence of disaggregated data, which are
indispensable to plan concrete and inclusive measures under a holistic perspective
of inter-culturally and intersectionality. The States need to generate the necessary
1386 M. Bianco
mechanisms to have statistics systems or data to measure the different forms of

Gender-Based Violence including violence against girls, young women, and women,
especially those who live in a situation of greater vulnerability, such as the indige-
nous population, Afro-descendants, those with disabilities, migrants, living with
HIV, as well as LGBTQI+ community, among others.
It is also noticeable, and with great concern, that the advance of corporate
interests could threaten to influence the multilateral system of the United Nations
and the modalities of implementation of the 2030 Agenda without democratic
legitimacy, especially based in the absence of civil society participation. This way,
the Participation Mechanism of Civil Society for Sustainable Development from
Latin America and the Caribbean claims the promotion and effective implementation
of inclusive measures that do not leave women behind and in particular sex workers,
home-based workers, especially independent and informal workers, women with
disabilities, migrant and displaced women, indigenous and transgender women have
been the main excluded groups, and that in the period of recovery from the
pandemic, the creation of decent work is a priority for governments.
In order to increase the implementation of Agenda 2030 and its 17 SDGs, the
increase of political and decision-making involvement of women is a requisite. Latin
American and the Caribbean women still face many obstacles to reach political and
decision-making positions. The growth in the participation of women in politics at
the mayor level has been lower than in other instances and advances have been made
at a slower pace. There are laws in most countries adopting quota and recently parity
in the legislative sector, but they are still not fully implemented. In the Executive
sector, there are no laws, but in many countries the equal participation of women and
men in the ministerial positions are included as happens with the new governments
of Chile and Colombia. But this is not the norm.
Considering the municipal or local level, women still are underrepresented in the
position of counselors and mayors. Recently there have been some advances but still
not significant, especially when considering the big cities in the countries in the
region. Also, there is a need to increase women participation in politics and espe-
cially in decision-making in local level and executive positions. According to the
Economic World Forum, to reach equality the society needs more than 100 years.
This is something the feminist movement and women’s groups request to reduce it.
Two Case Studies
In order to express how the SDGs in the region have different characteristics in the
SDGs implementation and also diverse impact of the COVID19 pandemic according
to the previous level of implementation, the governmental responses are among the
most important. The author presents two case studies, one from Argentina and the
other from Brazil that demonstrate very well this different status of the implemen-
tation of the Agenda 2030 and the consequences of the pandemic.
Argentina
In Argentina, the Agenda and its SDGs are implemented by the national government,
but since it is a federal country, the states or provinces are independent so the SDGs
status is affected by the different policies and approaches with which the 24 prov-
inces or states implement them. As a country with a strong civil society, there are
various groups following the implementation of the Agenda and its SDG. One of
these groups is the “Argentine Alliance of Civil Society Organizations” that moni-
tors the international commitments signed by the country. This Alliance published a
document in 2022 with a follow-up of the SDGs at national level to fulfill the follow-
up because Argentina presented a Voluntary National Report at the HLPF. In said
document, the Alliance members expressed their concerns suggesting some recom-
mendations to contribute to accelerate the Agenda 2030 implementation considering
specifically the setbacks determined by the COVID 19 pandemic and the negative
impact of the isolation and prevention measures adopted.
The document pointed out the high increase in poverty and extreme poverty
registered especially among women and children as a consequence of the pandemic.
Close to 50% of the children (less than 19 years old) in Argentina are poor. In
relation to the labor force, the informal sector increased dramatically with the
pandemic and especially among women because they are overrepresented in the
informal sector. The pandemic meant the sudden loss of income to those women and
the subsequent deterioration of quality of life for them and their children, who
usually live in vulnerable situations. This has a major impact on SDG 5 and
particularly in some groups as indigenous and afro descendants, also in those
women working in the informal sector, as for example, sex workers, migrants, and
displaced laborers working as caregivers or in domestic jobs. To help them, the
national government adopted a program of money transfer called Emergency Family
Income, reaching approximately 9 million people. Some groups as women with
disability denounced that they did not receive this support because they have a
non-contributory pension, which is actually very insufficient, or migrants that are not
documented or some independent workers as sex workers.
In the country, there is still a lack of knowledge of the population by ethnicity and
race. This creates problems to estimate the amount of people affected and limits the
possibility to adopt correct prevention plans to protect those groups of population. In
the case of afro descendants’ people, due to their advocacy they were included in the
last census in 2022, so maybe in the future for them the problem will be solved, but
not for others as indigenous people.
For the last two centuries, indigenous peoples have been forced to abandon their
territories; this is an historical debt that affects all the different indigenous groups
living in the country. The life and debt impact more in the life and survival of
children. In some areas, the lack of access to water to indigenous populations and the
level of malnutrition produce the death of many infants. It is urgent to address the
problem of child survival in the provinces of the north of Argentina. The solutions
must be archived allowing the indigenous populations as well as other rural and
isolated communities to participate in the solution and give them, especially for
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women, the right to express and contribute to solve their needs. Also, they request to
have access to control on the budget allocation because the resources are often not
well employed.
The Alliance considers that the State needs to urgently adopt measures to
guarantee legal security to indigenous peoples in all contexts and they need to
avoid the suffering of women in these territories. Due to the presence of extractive
companies without adequate regulations and control by the government, they
produce high levels of different forms of pollution, such as the use of agro-toxins.
Data about the different pollution forms must be collected and analyzed in relation
to the extractive activities and other productivity methods generating high levels of
pollution. Food security is another problem that the members of the Alliance
consider the State needs to guarantee, respecting and implementing the food
sovereignty. This is an inalienable and intercultural right not respected until now.
All those inequalities and many others must be eliminated to ensure sustainable life
and to guarantee their rights like it was established in Free Prior and Informed
Consent.
The creation in 2019 of the Ministry of Women, Gender and Diversity meant a
great advance to eliminate/control violence against women and girls, as referred to
in SDG 5.2. As the pandemic increased the risk of violence against women and
girls, the first measure adopted by the new ministry was to improve the line 144 to
receive calls and open the possibility to communicate through WhatsApp. This
allowed women and girls to request help without their partner knowing about it, as
happened during 2020 when due to the prevention of COVID people had to remain
at homes 7 days 24 h. A comprehensive approach to gender-based violence
developed to assist women and girls experiencing violence was strengthened by
programs specially created to give economical support during 6 months in order to
allow women to survive. A problem that needs to be solved is to allow women to
receive a pension as economic support due to gender-based violence. Since
pensions are small, they have critical needs when they are forced to leave the
house. Indigenous women and afro descendants often experienced violence and
they need support and assistance, but few plans include their needs, such as
language, because many indigenous women cannot understand Spanish. Also, a
review and improvement of the registration of violence episodes is still a need to
fulfill. This limits the development of specific adequate plans to assist the victims.
ILO convention 190 about violence in the working place was ratified by the
Parliament but still not implemented.
The Alliance claims the government must adopt adequate public programs to
eliminate online gender violence and protect women and girls. This must be done
allowing the women and girls including LGBTQI groups and organizations to
participate in all the process: design, implementation, and monitoring the policies
Since its creation, the ministry has promoted the adoption of a care policy system.
Started with the setup of an inter-ministerial commission to know all activities and
later convened a group of experts to prepare a bill of a comprehensive national care
system. The law was sent to the Parliament in 2021. Also, they promote changing the
unequal distribution of care activities among men and women.
In terms of the social and political participation of women in decision-making,

Argentina advanced in 2017 when a law of parity at the national parliament was
approved and entered to be in place in 2019 for the election of that year. Since 2019,
in both chambers of the national Parliament, the country has had a percentage of
women’s parliamentarians close to 50% (ECLAC 2022b), but still not the 50%
because the renewal was by half of each chamber so it will take another election
round to reach the 50% or more. The participation in the Executive Branch is not so
close to parity and changes permanently when ministerial changes occur. But none
of our presidents have proposed to have parity in their cabinet, not even when the
president being a woman, as happened between 2007 and 2015. The State Secretariat
used to have more women but not in parity. Also considering governors of states or
provinces and mayors, women are not so many. As local authorities, they are usually
in small or medium cities, but very few in big cities. Women’s participation in justice
is much lower. At the National Supreme Court, Argentina has had two women
among five members, but only during a short time, now only a woman remains
and she is going to retire soon so there will be no woman left. Feminist groups and
NGOs have a coalition with parliamentarians and politician women requesting the
increase of woman presence in all the justice systems, especially the Supreme Court
and the national judges, but there is great resistance.
One of the most welcomed and celebrated achievements by the feminist’s civil
society organizations in the implementation of the Agenda 2030 in the last 3 years
was the approval in December 2020 of the law on the Voluntary Interruption of
Pregnancy. This law made progress on Goal 5.6 with the measures adopted for its
implementation, despite persisting barriers in some provinces and health care ser-
vices. In the document, the Alliance members strongly recommended that the
government at national and provincial level must guarantee the effective implemen-
tation of the law. This requires public policies to ensure the availability of sexual and
reproductive health services, professional training, availability of free access to
misoprostol in all health care services to ensure medical abortion as proposed in
the law. In the country, the commercialization of mifepristone still does not, so more
advocacy is needed.
The balance after the COVID 19 pandemic according to the Alliance is that
some advances occurred, but most of those gains reached before the pandemic
suffered a setback and put the country at the level of 2018 or worse. The impor-
tance and the consistency of the SDGs implemented varied but in a holistic
approach the negative impact predominates. The Alliance made recommendations,
most were oriented to increase the coverage in the access to basic services for all,
especially women and girls in all their diversity, who are the ones who are left
behind the most. Some structural changes are needed, such as a change of the tax
policies decreasing/eliminating those applied to general and basic consumption
and increasing the ones applicable to luxury and high-level consumption. There is
also the need to increase the governmental regulation of extractive activities and
controlling the methods that increase pollution and deterioration of the environ-
ment and displaced populations requesting economic compensation when some of
those activities occur.
1390 M. Bianco
Brazil
As the biggest country of the region in territory, national resources, and people,
Brazil is a key country to follow the implementation of the Agenda 2030. The civil
society is well organized through ABONG: Brazilian Association of NGOs. This
association is a big and diverse umbrella under which most NGOs, national net-
works, groups, academic institutions, and others are together. Since 2016, ABONG
members have developed an annual report measuring and evaluating the implemen-
tation of the Agenda 2030 and its SDGs. This year they prepared and disseminated a
report that they called: “Informe Luz 2022” (Brazil Working Group on the 2030
2022). The main observation they made was that the analysis of the official data
reveals that, considering the 17 Sustainable Development Goal targets, 80.35% of
them are in regression, threatened or stagnant in the country and 14.28% had
insufficient progress. This is a demonstration of how the COVID 19 pandemic has
affected the Agenda 2030 but also how the national and state governments didn’t
have responses to mitigate and preserve some of the gains and advances produced
before the pandemic.
The multiple rights violations demonstrated in the paper show a high level of
cruelty and gender-based violence, setting back SDG 5. The increase of gender-
based violence during the COVID 19 pandemic limited the capacity of governmental
services to attend and take care of the number of women and girls suffering violence.
But these data are not available in the official statistics. The last info about SDG5
was for 2019 expressing the low importance of gender issues for the government.
An increase of transgender women feminicides as well as sexual, political, and
psychological violence exists and has been in expansion since 2021. Simultaneously,
a decrease in cis women feminicides was observed. The setback of The Maria da
Penha law to prevent, attend, and eradicate gender-based violence reduced domestic
violence back to a private issue due to romantic expressions of love. Some changes
in the law are concerning because they change the meaning and interest of the laws.
But there is good news: after 10 years of advocacy, a law establishing fines to
companies not complying with gender equality is in the Senate for voting.
Physical assaults of women increased in 2020. Every minute eight women
suffered a physical assault and for indigenous and black women increased more.
Also, an increase of sexual violence exists and particularly for children, 60% of them
were under age of 14 years old (Brazil Working Group on the 2030 2022). An
average of seven girls and women with disabilities are victims of sexual violence
each day. Since 2020, a plan to combat violence against children and adolescents
with collaboration with Canada has been implemented and includes comprehensive
sexuality education that was previously denied by the government.
About target 5.3, meanwhile early marriage, under 18 years old fell in 2020 in
relation to 2019 (Brazil Working Group on the 2030 2022). An estimation of
12 million girls illegally married and, with the increase of family’s poverty and the
lack of effective public policy against it, an estimation of increase of illegal “early
marriage” exists.
Regarding Brazil in the index of promoting and adoption of Agenda 2030, in

2015 in the ranking done by the Inter-Parliamentary Union the country was in the
115th position among the 188 nations considering the political participation of
women in parliaments and by May 2020 Brazil decreased to the 143rd position
(Brazil Working Group on the 2030 2022). The proportion of women in both
Chambers in the Parliament decreased, but more in the chamber of representatives.
Also, women’s participation as local authorities decreased, and black women are
represented in a smaller number. A setback of women and especially black women
was clear in the 2019 election accompanied by an increase of political violence
(Brazil Working Group on the 2030 2022).
Education on sexuality and gender was removed from the national Common Base
Curriculum, applied in most of the schools. The lack of information about contra-
ceptive access of women over 18 years old limits the knowledge of contraceptive
use, while an increase of maternal death in 2020 was registered due to Covid and
more than a half were black women. Also, it was a setback in the access to land
ownership in equal terms for women and men.
The access to mobile phones in Brazil used to be relatively high, in 2016, 75.9%
of men and boys have one while the percentage for women and girls is 78.2% (Brazil
Working Group on the 2030 2022). A small increase was registered and also internet
access didn’t improve (Trucco, Cabello and Claro 2022).
ABONG members summarized the loss in the decrease in the budget for gender-
based violence and asked Brazil to recover the level of implementation of Agenda
2030 and its SDGs and renew the commitment through the national government and
the state governments to not leave anyone behind.
Final Remarks
As demonstrated by these two case studies, the consideration of the implementation

of Agenda 2030 and SDG5 at national level have many aspects to consider in order
to adopt interventions and policies to improve it. Regionally, only very general
proposals can be made but it is necessary to adapt those general principles inside
each country. The participation of feminist activists is key to help to do that and it is
important to promote the interaction between the feminist activist organizations and
the national and local governments to ensure that changes happen and to accelerate
them. But to ensure a quick and good implementation of the Agenda, it is necessary
not only political will but also power and decision-making capacity. These requires
that not only the political party or the coalition in the government has those
commitments, they must be shared with the opposition, and parliaments have an
important role because there the budgets are approved and also norms and laws are
made in order to ensure the SDGs and take positive actions to accelerate in the right
direction the implementation of the Agenda. The participation of Parliaments is also
a way to ensure no setbacks due to change of governments as happened in Brazil will
be possible, because in order to do that, the government must discuss the setbacks in
the parliament with all political parties’ participation and monitoring the process.
1392 M. Bianco
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Structural Change and Goal 9 in Latin
America: Challenges and Bottlenecks
Javier Lucena Giraldo and Ernesto Rodríguez-Crespo
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1394
Goal 9 in Latin America . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1397
Infrastructure, Industrial Development, and Innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1398
Main Features and Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1399
Goal 9 in the SDGs System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1401
Lights and Shadows of Structural Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1402
The Tradition of Structural Change in Economic Development . . . . . . . . . . . . . . . . . . . . . . . . . . . 1403
The Proposals of Latin American Structuralism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1405
Challenges and Bottlenecks in Latin America . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1407
Overcome the Backwardness in Infrastructures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1407
Industrial Competitiveness with Abundant Natural Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1407
Innovations in the Age of Environmental Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1408
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1409
Abstract
This chapter assesses the main challenges of Goal 9 in Latin America in light of
the dynamics entailing structural change. The authors depart from the increasing
environmental awareness, which has been raising important global and institu-
tional arrangements, such as the 2030 Agenda or the Paris Agreement, among
others. As a consequence, cleaner industrial production has become a must to
comply with such increasing environmental stringency. At the same time, the
authors recognize the importance of structural change to explain the patterns of
development in the Latin American region. For this purpose, the existing links
between structural change and Goal 9 are carefully analyzed. These results are
J. Lucena Giraldo (*) · E. Rodríguez-Crespo

Departamento de Estructura Económica y Economía del Desarrollo, Universidad Autónoma de
Madrid, Madrid, Spain
e-mail: javier.lucena@uam.es; ernesto.rodriguez@uam.es

https://doi.org/10.1007/978-3-031-16017-2_29
1394 J. Lucena Giraldo and E. Rodríguez-Crespo
used to identify the main critical points and bottlenecks when implementing the
Sustainable Development 2030 Agenda in Latin America and the Caribbean.
Therefore, the Latin American economic and social reality emerging after the
COVID-19 pandemic has been set out, as well as the main features of structural
change in both the region and Goal 9.
The remainder of this contribution is described as follows: the post-pandemic
situation of the region has been discussed, as well as the role played by Sustain-
able Development Goal (SDG) 9 and structural change. Then, SDG 9 has been
analyzed in the region. To do so, the systemic methodology that defines the SDGs
has been followed. First, the links between infrastructure, industrial development,
and innovation were examined in the context of Goal 9. Second, the most
important targets in the region and the indicators associated with them have
been presented. To complete the analysis, the authors build on the main relation-
ships between SDG 9 and the rest of the goals. Afterward, the importance of
structural change in the development of Latin America has been presented. Its
main features and drivers, such as structural transformation, industrialization,
technical progress, or international competitiveness, were also explained. From
these results, the critical points and bottlenecks in the implementation of the
United Nations Sustainable Development Agenda have been discussed. Thus, the
authors aim to identify the main areas in which policy actions need to be
implemented to accelerate the adoption of the SDGs.
Keywords
Structural change · SDG 9 · Infrastructure · Industrial development ·
Industrialization · R&D · Innovation
Introduction
This work analyzes some challenges and bottlenecks related to specific studies
covering world regions, which allow to set the 2030 Agenda. In particular, those
issues of structural change can be considered crucial to localize Sustainable Devel-
opment Goal (SDG) 9 in Latin America. Since the implementation of the SDGs is
expected to take place in a different context compared to the one proposed initially,
the authors find it useful to summarize the key aspects of the economic growth of the
Latin American region after the pandemic. This has made it possible to establish the
importance of idiosyncratic features, which can be identified based upon regional
studies. These are critical issues to the study because they are expected to determine
growth in the medium and long term, while enabling the localization of the 2030
Agenda. Some of them are related to weaknesses of economic development in Latin
America, like capital accumulation, growth, or technical progress. In contrast, others
are related to inequality or climate change. In this context, the knowledge about
structural change, in a broad sense, has been used to identify the main critical points
in the implementation of SDG 9.
Structural Change and Goal 9 in Latin America: Challenges and Bottlenecks 1395
Latin America’s economy grew by more than 6% in 2021 and will grow by 3% in
2022 (IMF 2021). These data could be setting a recovery path after the pandemic, but
these magnitudes are not expected to converge with pre-crisis levels in the medium
term. In fact, pre-COVID growth and its fundamentals and endowments did not
allow the convergence of the income with advanced countries. The authors acknowl-
edge the importance of income convergence to reduce the main gaps associated to
inequality. In addition, it has been observed that COVID-19 had a substantial impact
on the labor market, especially on informal employment, which has wiped out the
improvements in inequality and poverty achieved since the 1990s. In this context,
22 million people have fallen into poverty, reaching 33.7% of the population, and an
8% of them are in extreme poverty. For this reason, setting economic policies dealing
with poverty can be considered a must.
However, looking at the average data complicates evaluation of cross-country
differences in the variability of the COVID-19 impact by countries. This is partic-
ularly relevant because the region is mainly characterized by a high structural
heterogeneity, which can be understood as a large variability when looking at
Latin American data. An analysis of the economy by industries shows that touristic
Caribbean countries are experiencing a slower recovery than others specialized in
manufacturing commodities and energy, like Central American and South American
countries, respectively. As a consequence, specialization seems to play a key role not
only to explain cross-country differences, but also to redesign effective policies after
COVID-19.
In 2021, numerous institutions and international organizations were revising their
growth forecasts upward, given the recovery of the larger economic areas, such as
the United States, China, and Europe. To this end, the diffusion of vaccination
between populations can be seen as a powerful driver setting recovery. Also,
commodities and energy performances have experienced a substantial improvement
in their prices, allowing terms of trade to rise, among other factors. However, there is
growing concern about the evolution of COVID-19 inflation targets, tightening of
monetary policy, and worse access to the financial markets than nowadays.
In the short term, priorities are twofold related to achieving sustainable growth
path and macroeconomic stability, which has enabled countries to a special moni-
toring of stimulus programs, inflation, or capital flows, among other issues. In
addition, the authors find a particular concern about equitable sharing of pandemic
effects due to their asymmetric impact on different activities and institutional groups,
such as households, corporations, governments, and also nonprofit organizations.
However, economic perspectives are expected to suffer a deep change. In the
medium term, world average growth is expected to slow down, and the idiosyncratic
features of each country will be gaining importance. The main concerns will arise
from the adoption of sustainability by firms and its application to economic activ-
ities, as well as the financial soundness, due to the existence of liquidity problems
that could stress the financial system. Moreover, lack of investments and the
volatility of capital flows could be showing certain signals of distress. Since rigid-
ities and bottlenecks will arise by this time, fiscal, monetary, and labor reforms shall
have been done in order to improve strategic elements, such as the labor market, the
tax system, and also strengthen the financial system. However, as has been already
seen in different countries, a careful implementation of reform programs should
integrate adequately the problems related to inequality, protect the most vulnerable
groups, and also operate in a politically unstable environment.
As time makes progress, idiosyncratic or characteristic aspects will gain impor-
tance. In this regard, regional studies have identified a set of recurrent issues that may
affect the region’s development since the publication of the first ECLAC (1951)
report of Latin America. The first issue studied was related to weaknesses in
economic growth, which could be observed in both capital accumulation and
external constraints. From the 1950s onward, studies were conducted in-depth on
aspects linked to inequality. These issues were taken up by Fajnzylber (1990) as
central elements in the characterization of Latin America. This author introduced
strategic variables, such as innovation and technical progress, to illustrate the
analysis. Thus, regional studies on development weaknesses have been characterized
by an interaction of growth, accumulation, and technical progress, leading to a triple
dynamic (Rodríguez 2006).
In the 1990s, under the context of Washington Consensus, it was fundamental to
propose new economic policies to set a new financial era. To this end, macroeco-
nomic stability was incorporated, followed by climate change. These elements can
be considered strategic to redesign future economic policies. On the one hand,
macroeconomic stability was crucial in a context where global institutional financial
arrangements were left aside from the discussion. In particular, the end of Bretton
Woods system did not imply a new broad institutional arrangement that
encompassed a large number of countries. Therefore, countries opted by liberalizing
capital movements and gain independence to set their own targets of monetary
policy. This fact contributed to raise cross-country inequalities as the concentration
of money and capital tends to take place in specific hubs. On the other hand, climate
change is the most important aspect. After the First Industrial Revolution, both
economic growth and productivity reached unprecedented levels by raising capital
accumulation. Leaders and early adopters of machinery increased more their gross
domestic products than other laggards. However, this came at the cost of increasing
pollution and endangering present and future development. For this reason, pioneer
specific arrangements such as Rio Agenda in 1992 started to be developed, although
these first agreements did not entail a high number of countries, and commitment
was voluntary. As a result of the Rio Agenda, the United Nations decided to set an
ambitious agenda contingent on the adoption of sustainable development, followed
by Millennium Development Goals (MDGs) and, more recently, SDGs. However,
after 2015 there was general consensus on the multidimensionality of development
and SDGs proposed a wider number of objectives, reaching 17 interlinked goals that
need to be implemented to ensure a future sustainable development. SDGs have
resulted in more ambitious initiatives, composed of 169 targets, 3120 events, 1318
publications, and 5503 actions. Although the initiative is fundamental to ensure
global arrangements, the implementation of SDGs is voluntary and certain strategic
territories, such as China and the United States, have decided to omit them when
setting policies.
The implementation of SDGs depends strongly on the territory and its main
circumstances. These may be related to natural resources, which have been helpful
to redesign growth agenda by decoupling economic growth and environmental
damage. In this sense, Latin America and the Caribbean are characterized by a
relative abundance of natural resources and biodiversity, with their level of emis-
sions in line with their economic size. Data illustrates this statement as emissions are
relatively concentrated on primary activities (45% compared to 14% worldwide),
while energy accounts for 43% compared to 74% worldwide. Due to the large levels
of emissions in the primary sector, accumulating capital leading to eco-innovations
in this sector can be stated as a must. However, this is overall data and strong
differences between countries can be reported.
This chapter analyzes the relationship between two issues already mentioned,
regional weaknesses in development and climate problems. This approach has led
the authors to pay attention to SDG 9 and the SDGs in light of structural change. To
this end, the first section outlines the main aspects of SDG 9 within the systemic
framework of the SDGs. The second section sets out the proposals that arise in
relation to structural change in the region. This is followed by a discussion of the
challenges and bottlenecks identified.
Goal 9 in Latin America
In 2015, the United Nations (UN) adopted the 2030 Agenda, an action plan for the
next 15 years (UN General Assembly 2015). The agenda was designed to improve
on the results achieved by the MDGs and go further. As a result, 17 SDGs,
169 targets, and around 250 indicators were established. However, the SDG frame-
work was originally more a political agenda supported by a practical approach and
less a systemic framework for sustainable development. To this end, the authors find
various criticisms that have led to several modifications (Janoušková et al. 2018).
The first set of criticisms refers to the lack of consensus and definition of the
concepts used. The lack of consensus on sustainable development has led the United
Nations (UN) to look at it from three dimensions: economic, human, and environ-
mental. However, each of these fields is dominated by a paradigm that excludes the
other two by focusing on only one part of the reality. As a result, deficiencies have
arisen in the operationalization of the targets, while duplicities and inconsistencies
have arisen in systemic relationships. In order to solve these problems, several
reformulations have been carried out. For that reason, it is best to look at the SDG
framework as a work in progress that can be redefined. In particular, these issues
have led to the inclusion of Means of Implementation Targets and composite
indexes. They have also led to the classification of the indicators into three tiers
(UN Economic and Social Council 2019). Tier I includes well-defined indicators,
with internationally standardized methodologies and data collection for most coun-
tries. Tier II refers to indicators that have not been regularly collected at the national
level, while Tier III includes indicators with undeveloped methodologies. Increasing
data resources allows to evaluate development agendas clearer by solving any

inconsistencies associated with them.
Within the framework of SDGs, Goal 9 aims to promote sustainable development
by building resilient infrastructures, supporting sustainable industrialization, and
fostering innovation. In order to track the progress, SDG 9 has proposed five
outcome targets and three means of implementation targets, named by numbers
and letters, respectively. The first ones are expressed as a desirable result and are
related to infrastructures, industrialization, financing of small and medium-sized
enterprises (SMEs), environmental sustainability, and research and development
(R&D). The means of implementation targets are related to different types of
resources required to achieve the goal. They were added during the negotiations
phase and are criticized for their poor definition and nonquantitative indicators
(Bartram et al. 2018). For SDG9, they aim to improve the development of infra-
structures, support domestic technology and innovation, and access to information
and communication technologies (ICTs).
The progress of SDG 9 can be seen as insufficient, as illustrated by the United
Nations report (ECLAC 2021). Just three of the targets analyzed are expected to
achieve their goals under current conditions, and half of them are declining. The
indicators related to industrialization and sustainability (9.2.1, 9.2.2, and 9.4.1) are
showing decreasing magnitudes. In addition, R&D is not expected to meet the
objective (9.5.1), such as the support of domestic technology and innovation (9.
b.1). The most affected targets by measures taken in the pandemic were those related
to industrialization, financing of SMEs, and access to ICTs (9.1, 9.2, and 9.c). The
measures with the most positive effects were economic, while those with the most
negative effects were linked to restrictions, quarantines, and suspensions (UNIDO
2020).
Infrastructure, Industrial Development, and Innovation
The SDG 9 incorporation into 2030 Agenda implies acknowledging the importance
of economic development by focusing on the role played by structural change. In
contrast to previous agendas contingent on sustainability, such incorporation can be
considered a novelty. When analyzing the MDGs, which was the UN development
Agenda in force from 2000 to 2015, the relationship was not specified. Therefore, it
was required to identify the driving forces between infrastructures, industrial devel-
opment, and innovation, on the one hand, and goals and indicators on the other.
The role of the infrastructures has not changed significantly during this time since
they have contributed to facilitating growth by triggering productivity, but industrial
development was progressively replaced by innovation and technological change
when formulating development policies since the 1980s (Cimoli et al. 2009). At that
time, former industrial policies were criticized due to state interventionism, protec-
tionism, and picking winners. Their exclusion from MDGs was criticized by other
renewed perspectives, in which industrial development is a driver contingent on
structural transformation (Chang and Andreoni 2020). On the one hand, in line with
structuralist tradition, industrial development drives the reallocation of resources and

structural change (Lapova and Szirmai 2021). On the other hand, according to
neo-Schumpeterian approaches, industrial and innovation policies work together to
increase the absorption of technologies. For this reason, they are expected to be
elements shaping future agendas of economic development since they can contribute
to reducing cross-country differences.
Main Features and Performance
Infrastructures can be assumed to be part of the physical capital and constitute the
basis to provide mainly public goods and services. These types of services are
characterized by two principles, nonrivalry and nonexclusion. Nonrivalry means
that the usage by one person does not necessarily impede the usage by another one,
while nonexclusion indicates that one person cannot be excluded from using the
good. Its impact on economic growth is related to the goods and services produced,
the positive externalities, and the productivity gains that they generate (e.g., through
economies of scale). As a result, current products reduce their production costs and
new products can be offered as firms become more competitive and productive.
Together, they enable the integration of markets, the increase in their size, and
the connection with international markets. Given that the most productive firms
are the ones that can engage in foreign trade (Melitz 2003), it makes them crucial to
set the future development paths. Infrastructure also includes both economic infra-
structure (transport, energy, communications, and water) and social infrastructure
(education, health, and environment). For this reason, it can be considered multi-
dimensional, and it is required to pay attention to these elements separately by
looking at United Nations data (2022). The authors shed light on this evidence in
the following text.
First, the proportion of the rural population who live within 2 km of an all-season
road is looked (indicator 9.1.1.). This denotes that 37.2% and 42.4% of the popula-
tion from Peru and Paraguay in 2016 and 2019, respectively, lived far away from a
road (United Nations 2022). This situation makes more likely for them to suffer from
certain shortages of the most essential goods. In the second place, Chile, Brazil,
Panama, and Peru can be considered the Latin American countries that concentrate
most of the maritime traffic, mainly due to their economic size or their strategic
location. However, it would be important to pay attention to the reality emerging
after COVID-19, since logistics have been seriously threatened as only the most
essential goods were shipped. Once these data are published, it will be fundamental
to evaluate the recovery path. Finally, CO2 emissions data allows gaining a deeper
understanding of the dynamics of decoupling between growth and emissions. The
percentage of CO2 over GDP has been falling over time (United Nations 2022),
which denotes that firms may be complying with more safety procedures contingent
on cleaner production. Although the reduction has been substantial, there is more
room to reduce emissions by implementing more ambitious policy development
agendas in Latin America. These agendas may be focusing on specific countries and
places since the decreasing trend may be showing certain cross-country differences.
In global terms, infrastructure in Latin America has been falling down since the
1980s (ECLAC 2022). As a result, its position is only ahead of Africa and
South Asia.
As stated above, industrialization contributes to the shift of production and labor
from subsistence activities to manufacturing and other activities with higher pro-
ductivity, which results in the so-called structural change bonus (UNIDO 2020). This
fact can be explained by the particular characteristics of each industry. In this respect,
economies of scale offer relatively higher productivity gains as capital increases. In
addition, demand maintains a higher demand–income elasticity above the unit and
other activities, showing that it is highly dependent on changes in income. This
means that when income increases by one monetary unit, the demand for manufac-
tures increases in a greater proportion. Moreover, it presents strong linkages with
other economic sectors, which allows it to induce demand from other sectors. It also
allows many sectors to benefit directly from increases in their productivity. Last but
not least, it generates more technological change and has a greater capacity to
disseminate it to other sectors. As a result, it tends to grow larger compared to
other magnitudes. It also tends to induce higher growth in other sectors and the
economy as a whole.
These considerations are along Kaldor and are particularly significant for devel-
oping countries. The authors confirm these findings since manufacturing value
added has been progressively decreasing for the Latin American and Caribbean
region (United Nations 2022). The interpretation may be twofold. On the one hand, a
progressive shift from industry to services in terms of value added. On the other
hand, it could be the result of not having incorporated technologies in the production
process, so that firms within this region can be considered laggards. This lack of
technology could impede to implement eco-innovation and cleaner innovation
processes.
Industrial indicators are dominated by the Caribbean region, which in 2020
reached manufacturing outcomes equivalent to 20.7% of GDP (ECLAC 2022).
However, these data may be biased by Puerto Rico, with 46.8%. In fact, manufactur-
ing is bigger in Mexico and Central America (with around 15% of GDP) than in
South America, where it has fallen to around 10%. However, the estimates of
pollutant emissions per unit of GDP have been significantly reduced despite their
increase in absolute volume.
Innovation can be identified broadly as new activities and new ways of doing the
previous activities (Ocampo 2016). These innovations are the result of building
knowledge and capabilities and result in higher growth and productivity. This
knowledge is considered partially appropriable and accumulable through learning
over time, so that their construction in developing countries depends strongly on the
capacity for technological absorption (Dosi and Orsenigo 1988, Fagerberg et al.
2010). As a result, scientific and technical knowledge is produced, characterized by
its agglomeration in activities, sectors, and territories, from where it spills over to the
rest. This knowledge is disseminated from advanced countries to developing ones in
technological paradigms once they have been maturing.
Brazil is the exception in the region, making a real effort in R&D. Despite this,
their spending is barely above 1% of GDP, in contrast to spending above 2% in
Europe, North America, and East Asia (United Nations 2022). These results contrast
partially with the employment indicators (ECLAC 2022), which show the improve-
ment of Argentina in the first decade of the twenty-first century and Brazil until
2014, reaching 1211.4 researchers per million inhabitants in 2018 and 887.7 in 2014,
respectively.
Focused on the resources required to achieve Goal 9, the flows for infrastruc-
tures measured by total volume invested, they can be considered to be biased
toward the largest countries. Nevertheless, their variations are highly fluctuating
and are affected by the availability of budgetary resources. The results are more
worrying with respect to the support for innovative development in the region,
where progress in medium and high-tech manufacturing is stagnating in the whole
region. Better news comes from access to information and communication tech-
nologies, where significant improvements are registered in all indicators. This
effort of adopting new technologies is aligned with opportunities that may be
reaping in globalization.
In a nutshell, the worsening of long-term performance, together with the impact
of COVID-19, has resulted in lower infrastructure spending, dangers of deindustri-
alization, and poor innovation efforts and outputs. In contrast to statements made by
ECLAC (2021), the pandemic is not the element that has put at risk the fulfillment of
SDG 9 and the transition to environmental sustainability. In the absence of a deeper
structural change, by 2030 Latin America will face climate change with worse and
more polluting infrastructure and industry compared to the previous period. In
addition, the possibility of achieving the inclusion of the poorest and the sustain-
ability of businesses will be heavily compromised.
Goal 9 in the SDGs System
The performance of SDG 9 cannot be established only by looking at itself. The 2030
Agenda has a systemic and holistic characteristic, and therefore the eventual result of
Goal 9 may be heavily influenced by the relationships between the different SDGs.
Similarly, SDG 9 has a significant impact on the results achieved by other goals. For
this reason, the 2030 Agenda framework is not only interested in the results achieved
by one goal. It also requires that the results of the other goals are not compromised.
Thus, empirical studies have shown that relationships between the different SDGs
can lead to synergies, but also to trade-offs (Fonseca et al. 2020). In short, all of the
above implies that it is necessary to identify the main relationships arising from the
interactions between SDG 9 and the rest of the objectives.
In this context, we have assumed the existence of differences between indirect
and direct relationships (UNIDO 2020; Janouškováet al. 2018). On the one hand, all
SDG 9 targets are strongly linked to economic growth and development, so that
indirect relationships are considered to be established through SDG 8. In this regard,
Goal 9 is indirectly related, through growth and economic development (SDG 8), to
poverty reduction (SDG 1), health and well-being (SDG 3), quality education (SDG
4), water (SDG 6), employment (SDG 8), and inequality (SDG 10).
On the other hand, if there is a mechanism that connects SDG 9 with another
Goal, a direct relationship can be considered. Based on this issue, the relationships
that were empirically tested between Goal 9 and the rest of the SDGs by UNIDO
(2020) have been extended to other elements, such as infrastructure and innovation.
To do so, this work relies not only on the close relationship between the three aspects
separately and together (infrastructure, industry, and innovation), but also on their
relations with sustainable development.
Goal 9 presents direct and major effects on poverty reduction (SDG 1) due to the
satisfaction of basic needs thanks to infrastructure, the reduction of informal employ-
ment, and the increase in wages. However, the most important direct relationships
are established with economic growth, productive employment, and decent work
(SDG 8). As already discussed, all three components are not only embedded in
economic growth and development, but also in better employment through multiple
causal mechanisms.
Infrastructures, industrialization, and R&D (SDG 9) present direct but minor
effects on health and well-being (SDG 3). For example, through health infrastruc-
tures, medical advances, and health research, among other factors. However, the
relationship with quality education (SDG 4), by means of the demand for skilled
labor, has been shown to be less significant. Furthermore, the mechanisms that relate
economic and social infrastructures, as well as industrial development, with the
improvement of opportunities for larger segments of the population, directly connect
SDG 9 with the reduction of inequality (SDG 10).
Water improvement (SDG 6) is directly influenced by infrastructure development,
as well as by improvements achieved by R&D. The relationship with clean energies
(SDG 7) is direct and established through the development of cleaner energy
infrastructures and facilities. Together with eco-innovations, they adapt economic
activities to the climate transition to be faced in the near future. In addition,
investments in mitigating the impact of polluting energies and other activities must
be considered, which directly links Goals 9 and 13. Regarding responsible produc-
tion and consumption (SDG 12), industrial development is expected to reduce the
number of pollutants while increasing the quantity produced through economies of
scale and efficiency gains.
Lights and Shadows of Structural Change
To localize SDG 9 in Latin America, this study has followed the main contributions
made to structural change in the region for several reasons. On the one hand, the
central topics (infrastructure, industrialization, and innovation) are closely linked
to economic development, which can be observed through both structural changes
and absorption of technologies (Lapova and Szirmai 2021; UNIDO 2020). On the
other hand, as time and structural change evolve, idiosyncratic factors will have
increased their weight in Latin America’s development performance. Such
idiosyncratic factors need to be identified and addressed in the regional studies. As

a consequence, it is necessary to clarify which are the structural changes to be
tackled as the main challenges. In addition, it is important to discuss the peculiar-
ities and specificities of this type of study in Latin America and also to highlight the
main issues.
The Tradition of Structural Change in Economic Development
In the 1940s, studies on economic development emerged. This was the result of the
impacts of the Great Depression on developing countries, the Keynesian critics, and
the creation of new countries due to the decolonization processes that followed the
Second World War. However, it was difficult for these countries to initiate a
transition to democratic regimes and to benefit from globalization due to their latter
incorporation to the world economic system. In this context, the idea that economic
transformation is linked to relevant changes was well received by scholars and
international organizations. Such changes introduce substantial novelties in the
framework under which economic agents make their decisions. Moreover, these
changes are related to factors and relationships characterized by their permanence
within the economic reality. In other words, they are changes that affect components
and, above all, structural relationships between elements.
There have been several generations of studies on structural change over time.
The first one is related to the proposals of Lewis (1954), who was focused on the
process of capital accumulation that takes place in an episode of economic devel-
opment. Given the limitations of conventional economics in dealing with the
problems of lower-income countries, Lewis wondered how production would
grow in the face of unlimited labor supply. This assumption was more realistic
than those made by conventional economics and led him to focus on capital growth,
labor shifts, and productivity growth.
In order to stylize the behavior, he disaggregated the economy into two sectors:
subsistence and modern. The subsistence sector was characterized by very low
productivity, subsistence wages, and hidden unemployment (occupations in very
little or no productive activities). The novelty came from the introduction of a
modern sector, characterized by capital investment remunerated by its usage, pro-
ductivity, and employment of a portion of hidden unemployment.
Under this scheme, economic expansion is driven by the reinvestment of a share
of profits in the activity itself. Economic dynamics indicate that an increase in capital
leads to an expansion of the modern sector and to more employment. As a result of
this, the authors find a structural change of production and occupation from subsis-
tence to modern activities. Such intersectoral shifts lead to an increase in the overall
productivity of the economy.
This work pointed out, as a central issue of development economics, the change
in savings and investment of economies. The solution lies with changes in the
distribution of income in favor of the saving class. It also served as the basis for
the construction of the dual models, based on capital accumulation. These are
proposals in which economic development is verified by the shift in production and

labor from the least to the most sectors.
The second generation of studies on structural change was developed from the
seminal work of Kuznets (1966). He defined development as an increase in output
but accompanied by structural change. This author insisted, together with Kaldor
and others, on the particular characteristics exhibited by industry. As already noted
(UNIDO 2020), these characteristics refer to economies of scale, higher
demand–income elasticity, intersectoral linkages, gains of productivity in other
sectors, and the strong relationship with technical progress and its subsequent
dissemination. In addition, the field of observation was extended to other processes,
so that they began to mention facts contingent on structural transformation, features,
and patterns of development.
Later, the works of Chenery (1986) at the World Bank led the study of structural
change to its pinnacle. In these works, structural transformation is identified together
with the set of structural changes that take place in the context. Therefore, all other
socioeconomic processes are considered peripheral. From this perspective, structural
changes and their patterns are related to two areas: accumulation and sectoral
composition.
According to Syrquin (1988), accumulation refers to the usage of resources to
increase the productive capacity of the economy. Capital accumulation was the first
aspect that attracted the attention of experts, but at the same time was also criticized
for identifying all development problems with this issue. The second type of
structural change was related to variations in the rates of savings and investment
with respect to income, which was already pointed out by Lewis (1954) and
confirmed by Chenery’s group. The third type is composed of the accumulation of
human capital, through learning, qualification, and education. The second area refers
to changes in sectoral shares and imbalances associated with patterns of income
growth. Such changes bring shifts in the use of factors, demand, and balance of
payments components. Estimates confirmed the importance of manufacturing in
development, as well as the influence of trade specialization, among other factors.
Since the 1980s, approaches related to structural change have lost importance in
the face of new theories of growth and international trade.
Nevertheless, in the new century, claims to put structural change back at the
center of the development process began to be made. However, the need to identify
all changes pertaining to the processes of structural transformation has been replaced
by direct observation of productivity change. McMillan and Rodrik (2011) propose
different ways to address these challenges. The first one is to observe structural
change as the result of the change in labor productivity. Another way is to establish
which income differences between low-income and advanced countries would
correspond to the economic structure and productivity of the sectors. The third
formulation analyzes structural change based on the decomposition of labor produc-
tivity into two elements: intrasectoral and intersectoral productivity. The first term
corresponds to internal improvements within that sector, caused by capital accumu-
lation, technological change, or also by efficiency. The second one is the
intersectoral productivity and is driven by the shift of employment from lower to
higher productivity sectors. This is considered the true structural change because it
follows its original formulation.
Estimations carried out on these formulations confirm the existence of a strong
variability of productivity in low-income economies (Diao et al. 2019). Also, the loss
of importance of structural change (measured in this way) and the increased rele-
vance of intrasector productivity as incomes rise. Finally, they have identified
regressive changes because of deindustrialization. In other words, reduction in
overall productivity as a result of the shift in employment from manufacturing to
agricultural, service, and other informal activities.
A broader way of dealing with structural changes follows the tradition of Kuznets
(1966) and Chenery (1986). This approach looks at the movements in the develop-
ment path as a whole (Foster-McGregor et al. 2021). As a result, structural changes
appear in growth, structures of production, employment, sectors or international
trade, among other aspects. In this respect, Sirquin’s classification of structural
changes in terms of accumulation and sectoral composition remains valid.
The Proposals of Latin American Structuralism
The structuralist approaches led to the proposals of development economics between

the 1950s and the 1970s (Dutt 2019). While neoclassical approaches assume that
intertemporal resource allocation is Pareto efficient, structuralists do not assume this
finding. As a consequence of certain constraints, rigidities, and time lags, structur-
alist approaches assume changes in demand relative to income (Chenery et al. 1986),
constraints in external markets, and nonequilibrium economic growth.
In this context, Latin American structuralism was characterized in its first pro-
posals by focusing on the economic dynamics and the constraints to the economic
development, caused by the declining terms of trade (ECLAC 1951). This was
related to the lag between import prices and export prices, a consequence of
specialization in primary exports. However, to interpret the external constraints to
growth a center-periphery system was proposed, where the economies of the center
were exporters of manufactures, while those of the periphery were specialized in
primary products.
From the domestic point of view, the studies emphasized the weaknesses in the
dynamics of accumulation, linked to rigidities in investment, employment, and
income distribution. Over time, the interpretation was settled around the weaknesses
to reach dynamic sufficiency (Rodríguez 2006). This term refers to the requirement
for industry to grow enough to absorb the labor force that arrives in the cities from
the countryside. If the industry fails to achieve growth rate high enough growth rate,
the peasants who move to the cities are employed in service activities or in the
informal economy. Hence, the economic development of Latin America was char-
acterized by its weakness in reducing structural heterogeneity, understood as the
high variability in the productivity of the different sectors.
In the 1960s, a new line of studies was developed. They did not accept Paretian
efficiency either, so they turned to observe the influence of income distribution on
the pattern of demand. These studies assumed that inequality reduces long-run
growth and proposed active intervention in the distribution to improve efficiency.
Along these lines, there are studies on peripheral capitalism based on the historical
structural model (Dutt 2019; ECLAC 1998), and others that linked structural
heterogeneity and demand patterns.
Between the late 1970s and early 1980s, structuralism collapsed. The reasons
refer to changes in the world economy, criticisms of state interventionism, and the
failure to provide answers. As a consequence, its proposals were called into question
and displaced from the centers of the decision by market-friendly policies. The
aggiornamento process that followed involved changes in the characterization of
the region, the theories, and the economic policy. Thus, Fajnzylber (1990) presented
the situation of the region compared to the new industrial countries, in terms of
growth and inequality. The results indicated the impossibility of maintaining high
growth rates and inequality at the same time. The solutions were determined by the
new technological paradigm and globalization. Consequently, the black box of
technical progress and innovations was opened (Rodríguez 2006). Thus, the scheme
that characterizes the neostructural proposals was completed, with a triple dynamic
of growth, capital accumulation, and technical progress.
Following these approaches, it was defined the need to achieve international
competitiveness, based on the incorporation of technical progress through learning
and the dissemination of knowledge (ECLAC 1996). Thus, from 2000 onward, the
problems of economic development were reformulated from a dual perspective:
Schumpeterian and Keynesian (ECLAC 2000). On the one hand, it takes into
account the accumulation of knowledge and capabilities through the creation and
appropriation of structural change. On the other hand, it takes into account the
processes of capital accumulation, focusing on the mechanisms of savings and
investment. In this way, it determines the capacity to translate the forces related to
the accumulation of knowledge into economic development. Subsequent analyses
have come to understand the Schumpeterian theory as one of creation and learning,
verifiable in the structural changes that accompany it (ECLAC 2012). On this behalf,
the Keynesian perspective has focused on the transmission mechanisms between
macroeconomic policies and production structures.
These proposals have been used in very different ways in the literature. An
important body of research is articulated around the problems of external restric-
tions. Although the most current versions integrate the center-periphery hypothesis
on the technological gap with Thirlwall’s models of balance of payments restriction
(Cimoli and Porcile 2014; Porcile and Yajima 2019). They all force countries to
grow at a lower rate than advanced countries. The reason is that growth at a higher
rate than that of advanced countries can be considered unsustainable. This is because
the increase in income, due to the higher income elasticity of demand for imports
relative to exports, leads to a balance of payments imbalance, the need to finance it,
and collapse if sustained in the long term.
A second concern is inherited from dynamic sufficiency analysis and dual models
(Rodríguez 2006). It focuses on movements in the production structure and their results
in terms of economic development (Nassif et al. 2018; Ocampo 2016; Palma 2019).
These analyses have noted the increase in structural heterogeneity due to the processes
of deindustrialization that are taking place in South America and the Caribbean.
Challenges and Bottlenecks in Latin America
After analyzing the dimensions and approaches of structural change, as well as the
contributions of regional studies, it is worth asking how it contributes to the
localization of Goal 9 in Latin America (ECLAC 2021). To answer this question,
the authors have chosen to discuss each of the main themes of the goal in light of
structural change. In this way, the critical challenges and bottlenecks are identified.
For this reason, the contributions made to infrastructure, industrial development, and
innovation are presented in turn.
Overcome the Backwardness in Infrastructures
Infrastructures have occupied an important and little-discussed place in theories of

development and endogenous growth. This is due to the indivisibility, positive
externalities, and cost reduction that characterize them. Since they are fixed and
have a long life span, their effects are spread over very long periods of time. In
addition, they are necessary to create new activities and to increase the size of
markets. Elasticity of factor supply captures many of the characteristics listed
above (Ocampo 2016). Infrastructures increase this elasticity and eliminate bottle-
necks that impede development. They are critical in innovation and industrial
development processes since the creation of new activities is not stopped by the
lack of suppliers or high relative costs caused by supply rigidity.
Latin America invested 2.8% of GDP annually in infrastructure between 2008
and 2017, while Africa and Asia invested over 4% (Cavallo et al. 2020). This is not
newsworthy as the region is lagging behind in infrastructure since the 1980s. As a
consequence, the lack of integration of the productive structure and the fragmenta-
tion of both national and international markets are frequently mentioned by organi-
zations, such as the Initiative for the Integration of South American Regional
Infrastructure (IIRSA), and by assessments (Mazzucato and Penna 2016). In addi-
tion, there is a need to adapt infrastructures to the environmental transition. This will
lead to the obsolescence of a portion of the infrastructures and will increase the cost
by 5% over the planned. The problem is that the relative abundance of natural
resources in the region can mask the results of the indicators, which also do not
capture this problem.
Industrial Competitiveness with Abundant Natural Resources
The second issue refers to industrial development, which occupies a central place in
theories of economic development. The role in regional studies is closely linked to
structural change, in the shift from low-income to middle-income countries. This is

due to productivity gains from shifts in production and employment in industry.
However, this type of structural change becomes less important over time (Lapova
and Szirmai 2021; Szirmai et al. 2013). In Latin America, where most of the countries
are middle-income, productivity gains are due to the increases within the sector.
However, this profile has been compatible with a slowdown in productivity since
the 1980s. As a result, the region has lagged behind in relation to the most dynamic
regions of the world and has diverged from the advanced countries (Diao et al.
2019). This issue is related to the process of deindustrialization that the region
experienced after the trade liberalization in the 1990s. Since then, there have been
some episodes of reindustrialization, such as Argentina and Brazil. These are less
complex and integrated activities, which have adapted to a context of high com-
modity prices and Asian competition. In any case, the best results have come from
Central America and Mexico, where the Puebla Panama plan led to the development
of a competitive industry based on maquilas.
As a result, regressive structural changes have been verified (McMillan and
Rodrik 2011). They are related to shifts from manufacturing to agriculture and the
informal sector, as well as to the development of less sophisticated activities. The
papers focused on foreign trade show the dependence on commodity specialization
when the impact of Real Exchange Rate (RER) is included (Matesanz and Casquero
2015; Nassif et al. 2018). The papers focused on the domestic level (Ocampo 2016)
show that structural change components are weak and become neutralized in the face
of rising commodity price cycles.
The situation of the Latin American industry has some strengths. It is a competitive
industry that has been able to adapt to a highly aggressive environment. It has had to
compete with the disadvantage of regional specialization in commodities, but also with
the competitiveness of Southeast Asian products. On the other hand, competitiveness
has been achieved without protection instruments, unlike some Southeast Asian
countries. On the other hand, it is an industry that has not improved productivity
significantly. Furthermore, it has had to face technological change induced by envi-
ronmental sustainability issues with less support than other economies.
Based on the above, the challenges for industrial development in Latin America
are to overcome the Middle Income Trap (MIT), understood as a stagnation of both
income and industrial development (Lee 2019). To do so, they must face the
constraints they have in building capabilities and increasing technological absorp-
tion (Cimoli et al. 2009; Lapova and Szirmai 2021). Likewise, firms as a whole and
governments must face their size limitations in international markets, which are
characterized by imperfect competition. Last but not least, they must overcome the
barriers to industrial development caused by Intellectual Property Rights (IPR).
Innovations in the Age of Environmental Sustainability
The opening of the black box of technical progress and innovation introduced a new
way of thinking about the problems of economic development in Latin America.
This made it possible to address the systematic and deliberate incorporation of

innovations, as well as the absorption of technological capabilities. Despite the
scientific consensus in this regard, except Brazil —and to a lesser extent Argentina—
the regional innovative effort is very low (ECLAC 2022). The results have not been
successful either. Innovation systems in the region are fragmented and their compo-
nents are not integrated, so the results achieved in islands of excellence (related to
science and technology) are not diffused. Likewise, local innovation companies and
networks are not able to transform their efforts into patents effectively.
In this scenario, the studies focused on external constraints show the problems of
innovation through the different elasticities of exports and imports, consequence of
trade specialization (Porcile and Yajima 2019). Meanwhile, the domestic level shows
regional weakness of companies and institutions to promote innovation. In short, this
is certainly one of the most important development problems in the region. The good
news comes from environmental concerns (Szirmai et al. 2013) as this opens a new
window of opportunity in which Latin American countries can position themselves
without the inertia of path dependence.
The response to these problems does not differ from that which has been
presented in the case of industrialization. This is because today industry, technology,
and innovation are integrated into the same reality. It is not desirable to deal
separately with technological change, process and product innovations, combina-
tions of manufacturing, intangible goods and services, and international insertion in
value chains. Therefore, to overcome the bottlenecks of Middle Income Traps
(Andreoni and Tregenna 2020; Lee 2019), firms and governments must build
capabilities and knowledge, increase business size, and elude the barriers of IPRs.
Cross-References
▶ Business Contribution Analysis to the Sustainable Development Goals: Case

Study in Pará State, Brazil
▶ Protecting Our Oceans with Citizen Science: El Astillero, Nicaragua
▶ The Deployment of Artificial Intelligence for Social Policy to Fight Poverty in
Colombia
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Governance of Climate Justice: Taxation
Transfers and Green Bonds
Julia M. Puaschunder
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1414
Climate Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1415
Green Bonds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1416
Climate Change Gains and Losses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1417
Climate Justice Ethical and Economic Foundations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1418
Climate Taxation and Green Bonds Solution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1419
Climate Justice Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1420
Climate Justice Taxation-and-Bonds Redistribution Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1423
Empirical Validation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1426
Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1429
Climate Winners and Losers CO2 Emission Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1429
Climate Winners and Losers’ Climate Flexibility and CO2 Emission Index . . . . . . . . . . . . . . 1432
Climate Winners and Losers CO2 Emission Change Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1433
Climate Winners and Losers CO2 Emission Lending Rate Index . . . . . . . . . . . . . . . . . . . . . . . . . 1438
Climate Winners and Losers Consumption-Based, Trade-Adjusted CO2
Emission Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1441
Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1442
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1448
Abstract
Climate change demands financialization of mitigation and adaptation efforts around
the world. In the aftermath of the COP27 meeting, innovative green investment
strategies are now set out to redistribute unequal economic climate change gains and
losses. This chapter proposes a taxation-and-bonds strategy to redistribute some of
J. M. Puaschunder (*)
Graduate School of Arts and Sciences, Columbia University, New York, NY, USA
Department of Economics, The New School for Social Research, New York, NY, USA
e-mail: Julia.Puaschunder@columbia.edu; Julia.Puaschunder@newschool.edu

https://doi.org/10.1007/978-3-031-16017-2_62
1414 J. M. Puaschunder
the short-term climate change economic gains in some countries to alleviate climate
change losses in other parts of the world. A tax-debt mechanism could feature some
countries’ financing green bonds via carbon taxation that subsidize those territories
that lose from climate change the most as climate bonds payment recipients. The
bonds are proposed to be issued by global governance institutions, for instance,
the World Bank and the International Monetary Fund (IMF), and administered by the
United Nations (UN) or the World Trade Organization (WTO). Five indices are
empirically created as a basis to determine which countries should be using a taxation
strategy and what countries should be granted climate bonds premiums. Index
1 ranks countries based on the country’s initial position on a climate change gains
and losses index and the country’s CO2 emissions. Index 2 ranks countries based on
the country’s initial position on a climate change gains and losses index and climate
flexibility in temperature ranges and its CO2 emissions. Index 3 ranks countries based
on the country’s initial position on a climate change gains and losses index and the
country’s CO2 emissions as well as the country’s CO2 emission changes. Index
4 ranks countries based on the country’s initial position on a climate change gains and
losses index and the country’s CO2 emissions as well as the estimated lending rate of
bonds in that country. Index 5 ranks countries based on the country’s initial position
on a climate change gains and losses index and the country’s consumption-based
trade-adjusted CO2 emissions. The countries economically gaining from climate
change and being climate flexible as well as countries with high CO2 emissions
and not changing CO2 emission levels as well as consuming goods and services from
other countries as well as having favorable bank lending rates could be taxed to
transfer funds via climate bonds for regions of the world that are losing from global
warming and are not climate flexible as well as countries with low CO2 emissions
and lowering CO2 emission levels that are producing goods and services that are
consumed in other parts of the world as well as having unfavorable bank lending
rates and hence higher industry financing costs. The proposed taxation and bonds
strategy could aid in broad-based and long-term market incentivization of a transition
to a clean energy economy.
Keywords
Climate bonds · Climate change · Climate change adaptation and mitigation ·
Climate justice · Climate stability · Green bonds · Intergenerational burden
sharing · Intertemporal discounting · Social discounting alternatives · Taxation ·
Taxation transfers · Public policy
Introduction
Climate change has become a reality in irreversible tipping points and lock-ins that
degrade the common welfare (Kellett et al. 2019). Global CO2 emissions are human-
made causes of the climate change problem. Historically, the advanced countries are
attributed an economic rise based on CO2 emissions, while the developing countries
are believed to bear a disproportionately larger burden of the climate crisis. The UN
Governance of Climate Justice: Taxation Transfers and Green Bonds 1415
COP26 meeting fortified claims that the advanced countries have a higher obligation
and responsibility to find the funds to transition to a zero-carbon emission global
economy but also fund low-income countries via credits (Sachs 2021). In the
aftermath of the COP27 meeting, the establishment of a common world fund to
alleviate climate change losses has been agreed upon. The allocation parameters who
should pay for climate change mitigation and adaptation and who should receive
funds for offsetting the losses and risks from a warming globe are yet to be
determined. Already now it is demanded to find creative and innovative sources of
climate related revenues to fund the rescue efforts.
This chapter proposes a set of factors to determine a redistribution scheme of the
economic beneficiaries to the largest victims of climate change. Based on the
inequalities in the distribution of future climate-induced economic gain or loss
prospects and ethical imperatives for redistribution, five indices will be proposed
to alleviate climate inequality and enact climate justice via a novel taxation-and-
bonds strategy. The proposed scheme targets at finding a fair solution in regard to
economic climate change gains and losses prospects and who causes the climate
change problem and who bears the costs within the world community.
Climate Change
Future economic growth depends on climate change (Hansen 2014). Macro-

economically, costs arise as a result of damages that are exacerbated by extreme
temperature and severe weather events (Banerjee 2014). The measurement of the
widespread effects of temperature changes includes catastrophes but also response
lags and slow feedback in the wake of environmentally changing conditions (Bonen
et al. 2014; Hansen and Sato 2016). Climate change risks are manifold and comprise
physical risks in weather extremes, wildfires, landslides, flooding, heat waves,
hurricanes, storms and typhoons, smog, and many other forms of environmental
damage. Climate-related finance costs are also imbued in transition risks in stranded
assets, causing volatility in financial systems (Semmler 2021). Costs also emerge for
central banks and commercial banks in the mobilization of financial resources for a
green transition (Semmler 2021).
In the treatment of risk, economic and non-economic climate risks have to be
considered, such as tipping points and irreversible lock-ins that could cause Green-
land ice shields and the Arctic Sea ice to disappear or collapse as well as ocean
circulations that cause hurricanes and typhoons (Brock et al. 2014; Keller and
Nicholas 2014; Semmler 2021). Tipping point effects could increase weather
extremes and intensify tropical storms, hurricanes, and typhoons and cause weather
extremes to occur more frequently (Semmler 2021). Results could be drastic if
considering sea level rises, heat waves, and desert formations as well as drought
impacts on the ecosystem but also human development (Semmler 2021). Future
vulnerability depends not only on climate change but also on the development path,
mitigation, adaptation policies, and precautionary measures (Hansen and Sato 2016;
Semmler 2021).
Tipping points and irreversible lock-ins with long run changes will require
improved climate projections to better inform climate risk management (Keller
and Nicholas 2014). Mitigation targets to avert the global effects of climate change,
while adaptation implies coping with its local effects, such as regional disasters.
Overall, climate change is expected to lead to drastic changes in productivity, food
supply, and labor working conditions (Semmler 2021).
Heterodox economics models outline the interaction between climate change
mitigation and adaptation for economic growth and fossil energy extraction in
light of natural disaster vulnerabilities and damage effects on households and the
general production (Bonen et al. 2016; Maurer et al. 2014; Semmler et al. 2016).
Mitigation policies include the generation of renewable energy for averting the cause
of climate change in CO2 emissions. Adaptation policies are working via carbon
taxation and climate investments but also building a climate infrastructure to adapt to
disaster risks (Flaherty et al. 2017; Semmler et al. 2021).
In the effort to curb harmful CO2 emissions, problems have arisen historically.
For instance, the cap and trade policies in carbon pricing schemes crashed as too
many permits were given out in windfall profits instead of auctions (Nell et al. 2009;
Semmler 2021). Climate costs were passed on to too many industries, and there was
an overall high volatility of carbon prices (Nell et al. 2009; Semmler 2021). Climate
change-causing activities were measured inappropriately or left out (Nell et al. 2009;
Semmler 2021).
Novel policy efforts now focus on taxation and bonds strategies, which can also
be intertemporal between generations (Sachs 2021; Semmler et al. 2021). This
chapter will introduce novel indices that determine which country should become
a climate bonds grantor and which one a recipient based on economic climate gains
and losses prospects, a country’s climate flexibility as the range of temperatures and
a country’s CO2 emission contributions in production and consumption as well as a
country’s CO2 emission level changes, and the bank lending rate. All these input
variables will determine whether a country should fund mutual climate bonds or be a
recipient of transfer payments in a taxation-and-bonds scheme. Pegging the country
situation to the initial starting levels on rational grounds and relations to each other
allows for turning the competitive race to a race-to-the-top for the mutual climate
fund allocations. Integrating the CO2 emission level changes over time imbues
incentives to change harmful behavior to this common climate fund solution. The
New York Times also recently made the case for climate policies’ disparate impact
(Flavelle 2021a, b).
Green Bonds
Green bonds are the most innovative climate stabilization effort (Puaschunder
2020b; Sachs 2014; Semmler et al. 2021). Green bonds allow taking a loan or
getting credit to be repaid in the future. Issuance of a bond is usually a governmental
or governance task. Bond holders invest with the prospect to make profit as the bond
matures.
The bond pricing and yields of bonds are dependent on the risk of the underlying
cause and/or asset. An issuer of bonds that show high yields indicates that the fund
carries high risks of being repaid. Borrowing money can only be issued by paying a
risk premium, which entails the yield containing a risk premium. Risk can also mean
negative externalities that others have to pay sometime in the future, which is already
internalized in the bond yield today.
In green bonds, borrowers issue securities in order to secure financing for projects
with positive environmental impact, such as climate stabilization and a transfer to
renewable energy solutions. Green bonds are mainly issued by major banks, which
identify qualifying assets or loans, which meet sustainability criteria. Tax benefits are
often granted for investing in green bonds. In climate bonds, funds with a high risk
are often those with unsure outcome of climate protection, new green energy
innovations, disaster risk, etc.
Financing climate change mitigation and adaptation will have different targets –
while mitigation has global effects, adaptation is more focused on overcoming the
negative local effects of global warming, such as disasters that tend to be more
regional. Climate bonds can reduce the overall global climate risk but can also
contribute positive aspects to the overall economy in, for example, environmental
protection and de-risking the economy (Bolton et al. 2020; Braga et al. 2020b).
Green bonds can also be used for transitioning to a clean energy economy or funding
innovation. For example, green bonds can kick-start ideas that represent green
energy and/or avoid disasters, and thus carry a high yield, and get rewarded in the
long run.
The effectiveness of the financial market for this transition to a low-carbon
economy depends on attracting investors and removing financial market roadblocks
(Braga et al. 2021). While many recent studies find yield differentials between green
bonds and conventional funds, Braga et al. (2021) highlight that green bond returns
might be mixed as compared to conventional bonds. Braga et al. (2021) emphasize
that green bonds protect investors from oil price and business cycle fluctuations as
well as stabilize portfolio returns and volatility (Braga et al. 2021). In the long run,
green bonds benefit the economy and generate positive social returns even if these
assets currently may only have lower yields (Braga et al. 2021). Green bonds can
thus be justified not only from the point of view of climate protection and climate
disasters avoidance but also by endogenous growth theory (Aghion and Howitt
1992, 1998; Arrow 1962; Braga et al. 2021; Kaldor 1961; Lucas 1988; Romer
1986, 1990; Uzawa 1965; Vitek 2017).
Climate Change Gains and Losses
Climate change impacts vary around the world, and these discrepancies increase
with the progression of global warming (Lomborg 2021). Climate-induced eco-
nomic gains and losses are distributed highly unequally throughout the world and
over time (Burke et al. 2015; Lomborg 2021; Puaschunder 2018, 2020b).
The International Monetary Fund estimated long-term macroeconomic effects of

climate change (Kahn et al. 2019). Nordhaus’ Regional Integrated model of Climate
and the Economy (RICE) model captures CO2 emissions and economic productivity
levels as main causes of human-made climate change (Orlov et al. 2018). Burke et al.
(2015) captured economic productivity differences in light of global warming.
Puaschunder (2020b) measured the gross domestic product (GDP) prospect
differences under climate change in a climate change winners and losers index.
Economic gain and loss prospects were calculated based on the medium temperature
per country in relation to the optimum temperature for economic productivity per
GDP agriculture, industry, and service sector and the GDP sector composition per
country. The combination of mean temperature for production in the specific world
territories determined how long countries have until they reach their optimum
productivity levels (Puaschunder 2020b).
Climate Justice Ethical and Economic Foundations
Climate justice is grounded in ethical imperatives but also economic calculus (Kant
1783/1993; Rawls 1971). Immanuel Kant’s (1783/1993) categorical imperative and
John Rawls’ (1971) veil of ignorance inspired the so-called climatorial imperative
(Kant 1783/1993; Puaschunder 2020b). Kant’s imperative as an obligation to only
engage in actions that one would like to bear on the recipient end leads to the
conclusion that climate change should be averted by everyone, even the short-term
climate change winners. Neglecting actions to combat global warming are also seen
as an active injustice to others (Puaschunder 2020b).
The economic Kaldor-Hicks compensation criteria allow for improving society
and moving closer towards Pareto efficiency (Law and Smullen 2008). The Kaldor-
Hicks compensation criteria assume that any change makes some better off while
making others worse off at the same time. These changes are alright, if the winners
are compensating losers for the change in conditions and everyone agrees to this
scheme. In environmental ethics, also irreversible lock-ins and tipping points of
environmental degradation but also nonlinear trajectories play a substantial role.
Applying the Kaldor-Hicks compensation criteria to the collective action problem
of global warming leads to claims to redistribute climate change gains to losing
territories. Climate justice can be enacted by a tax-and-bonds climate change gains
and losses redistribution strategy, in which climate change winners are using taxation
revenues to offset the losers from global warming. The bonds could also be paid
back by future generations.
In the countries that gain from global warming, the gaining GDP sectors should
be taxed but also the industries that have higher CO2 emission levels. For instance, a
corporate inheritance tax could help reap past wealth accumulation that potentially
caused the climate change problem to begin with. On a societal level, the disparate
impact of the climate change financialization burden should also be considered. A
progressive taxation and carbon consumption tax solution could ensure that low- and
high-income households share the same burden proportional to their dispensable

income.
In order for the Kaldor compensation to work effectively, climate change eco-
nomic winners and losers must also agree to the compensation plan as being the most
efficient strategy in light of the global externalities of climate change (Nordhaus
1994). A novel climate taxation-and-bonds strategy may help overcome free-rider
problems and penalties for non-compliance but build a widespread momentum based
on the notion that a fair and efficient solution was found.
Climate Taxation and Green Bonds Solution
This chapter integrates climate gain and loss theories and empirical validations of the
unequal climate change impact on countries into contemporary climate taxation and
bonds strategies. As a foundation for the redistribution of climate gains and losses,
the disparate impact of global warming on countries is considered. A model will be
laid out which assumes that if a country has a rising GDP prospect in a warming
climate, then this country should be redistributing some of the expected wealth
increase to places that have a declining GDP prospect. Further, if a country has a
natural climate flexibility in terms of a range of different temperatures that vary
within its territory, then the country is assumed to have more economic degrees of
freedom and future trade assets in a changing climate and thus should also redis-
tribute some of the expected wealth increase to places that have a declining GDP
prospect. In order to set positive market incentives to not cause climate change, the
model will also integrate human-made contributions to climate change as well as the
ability and willingness of a country to change its CO2 emissions in relation to others.
Those countries that contribute to CO2 emissions and are not changing their CO2
emission levels to less pollution are therefore required to redistribute some of the
expected economic GDP gains to places that have a declining GDP prospect, are not
causing CO2 emissions, and have been curbing harmful CO2 emissions in relation to
other countries and over time. The prevailing bank lending rate regimes will play a
role in the model insofar as those countries with low bank lending rates will be
redistributing to countries with high bank lending rates to even out historically
grown hierarchies and economic power dynamics. The consumption-based, trade-
adjusted CO2 emissions will be taken into consideration. Those countries that
consume goods and services with high CO2 emissions should be redistributing the
expected gains from a warming globe into territories that are losing out from climate
change the fastest and the most.
A novel policy recommendation for enacting climate justice entails a taxation
funding strategy coupled with a climate bonds repayment based on the following
influence factors: (F1) the country’s initial position on the climate change gains and
losses index spectrum as well as (F2) a country’s climate flexibility as a broad
economic degrees of freedom spectrum and future trade benefit and (F3) the
country’s human-made contribution to climate change as measured by CO2 emis-
sions but also the (F4) ability and willingness of a country to change its CO2
emissions in relation to others and (F5) the estimated lending rate of bonds in that
country as well as (F6) the consumption-based, trade-adjusted CO2 emissions of a

country. These six drivers determine a higher or lower burden on carbon taxes
(abatement costs) to finance climate bonds to be repaid later in five proposed indices.
Climate Justice Implementation
Since 2007 there has been a steady rise in carbon taxation and green bonds issuance
(Flaherty et al. 2017; Heine et al. 2019; Semmler et al. 2021). Throughout the world,
some countries engage primarily in carbon pricing, some in green bonds, and
foremost the USA, Europe, China, Australia, South Africa, and the southern parts
of Latin America feature a mixture strategy comprised of carbon pricing and green
bonds (Semmler et al. 2021). Portfolio and hedge fund managers strive for reducing
risks to the overall portfolio with green bonds, in the short term and in the long run
(Braga et al. 2020a). Capital markets can expedite green investments by de-risking
innovative green finance (Braga et al. 2020b). Financial benefits of green bonds
include a de-risking of investor portfolios and a diversification strategy against
market volatility (Semmler 2021).
Braga et al. (2020b) find that empirical beta pricing and yield estimates reveal
some public involvement in the green bonds market, especially for long maturity
bonds. Investment options based on renewable energy can reduce the risks and
political dependencies on commodities associated with nonrenewables (Gevorkyan
and Semmler 2016). Renewable energy therefore appears as crisis-stable market
option, also as for being chosen in a quasi-religious act based on values and not on
profit motives (Puaschunder 2019b). Climate bonds also incentivize a transition to
renewable energy solutions (Semmler 2021). Subsidies and carbon taxation can
complement the role of the de-risked interest rates and expedite the energy transition
(Braga et al. 2021).
Green bonds have substantial revenue-raising opportunities to fund climate
policies (Semmler 2021). Bonds can serve as a hedging instrument against oil
price fluctuations in portfolios, in particular low fat-tail correlations (Semmler
2021). Green bonds are fixed-income securities that are usually certified by a third
party to have the funds for climate stabilization. Green bonds are thus predestined for
low-capital-cost green projects and good instruments for funding green counter-
cyclical investment (Semmler 2021). Green bonds unlock the necessary funding for
the investment in sustainability projects, such as clean energy, low-carbon transports,
and green buildings (Flaherty et al. 2017; Semmler 2021).
Green bonds are safe and crisis-robust long-term assets (Semmler 2021). Gov-
ernmental bonds are often financed via quantitative easing and backed by the state
(Semmler 2021). Green bonds thereby enable intertemporal burden sharing of
climate change mitigation and adaptation (Orlov et al. 2018; Sachs 2014). The
investment grade for green bonds appears to be equal or greater and the duration
greater than 10 years according to Standards and Poor’s ratings, which predeter-
mines green bonds for long-term intergenerational burden sharing strategies
(Puaschunder 2019a, b; Semmler 2021).
Climate bond issuing agencies comprise public and private sector entities. Public
sector green bonds providers include international institutions, central banks, and
governments as well as municipalities (Semmler 2021). The World Bank but also the
International Monetary Fund as well as central banks and municipalities have played a
leading role in the development and utilization of green bonds over the last several years
(Semmler 2021). Based on information derived from the Bloomberg Terminal, Semmler
et al. (2021) outline that bonds are heterogeneous in terms of issuer, duration, country,
and currency as well as sectors. Most green bonds are issued by banks, real estates,
power generation, utilities, governments, supranational entities, and the energy sector.
An international intermediary financial institution could manage and guarantee
the loans in bonds. International banks – such as the World Bank and the Interna-
tional Monetary Fund – but also central banks are main climate bond issuing
authorities (Braga et al. 2020; Heine et al. 2019; Semmler et al. 2021). In fact, the
first green bond was issued by the World Bank in 2007 (Braga et al. 2020; Semmler
2021). International organizations such as the World Bank, the International Mon-
etary Fund, or the United Nations have the global governance strength to support an
international green fund climate change mitigation and adaptation efforts and incen-
tivize countries for a transition to renewable energy. Global governance institutions
are already serving as intermediaries for redistribution efforts. Similar models exist,
for instance, in the European Union European Investment Bank that serves as an
intermediary to fund low-income countries. Credit supply is thereby backed by taxes
of advanced countries. For instance, the European Investment Fund under the
European Guarantee Fund channels financing to developing economies and to help
economies with the fallout of the COVID pandemic.
The first ideas in green global governance exist in the Global Green New Deal
(GGND), which features a concerted plan of a policy package to instigate global
change (Boyle et al. 2021; O’Callaghan and Murdock 2021). The GGND was first
proposed by the United Nations Environment Program (UNEP) in 2009 (UNEP
2009). The UNEP describes the GGND as a policy package with the objectives of
reviving the world economy, reducing carbon dependency, and furthering sustain-
able growth (UNEP 2009). The UNEP GGND focuses on economic stimulus,
domestic regulatory reform, and international cooperation. State-led economic stim-
ulus fosters decarbonizing carbon-intensive sectors of the economy such as energy,
transport, buildings, and agriculture (UNEP 2009). Domestic policy reform includes
eliminating environmentally harmful subsidies and strengthening environmental
legislation (UNEP 2009). International cooperation advocates for changes to the
policy architecture governing international trade, aid, global carbon markets, and
technology transfers (UNEP 2009).
Via a GGND international agreement, global governance institutions could gen-
erate global social norms that foster a domestic implementation of a green stimulus.
Policy measures may thereby be pegged to COVID-19 recovery efforts, such as in
the US Green New Deal and the European Green Deal plans (European Commis-
sion; The White House of the United States 2021a, b, c; United Nations 2020; United
Nations General Assembly 2020, Art. 47; United States Congress 2019; Vivid
Economics 2021; World Trade Organization 2020, 2021). A global governance
approach as pursued in the GGND could shape the conduct of an array of
international actors and identify emerging trends in global governance of the system
dynamics of climate change efforts.
The implementation of the financing of climate change mitigation and adaptation
efforts could become a concerted action of multiple entities: First, mitigation is likely
to be tackled on an international level by global governance institutions. Adaptation
is likely to be more prevalent on a country level. Financing climate mitigation and
redistribution of climate change gains to economically losing territories in the wake
of climate change could become the central focus of international entities, such as the
United Nations, the World Bank, and the IMF. Redistribution of climate gains to
territories that have a decreasing GDP prospect in light of global warming could be
accomplished via taxation and bonds if global entities support such a plan concert-
edly. For instance, the United Nations could target at a binding climate agreement
between countries during their Conferences of Parties (COP) meetings. All UN
joining nations would then sign up for an implementation of climate gains redistri-
bution via taxes and bonds. Alternatively, or complementary, the World Bank and/or
the International Monetary Fund (IMF) could work out a redistribution scheme via
their existing contribution key and loan programs. While the United Nations features
a democratic “one-country-one-vote” voting system, the World Bank and the IMF
have a voting scheme that is also weighted by the national financial contributions of
all participating entities. As a universal dispute resolution for noncompliance with
the outlined plans, prospectively the World Trade Organization (WTO) or the
International Law Commission of the United Nations in New York could serve as
panels for oversight, monitoring, and evaluation control. Governments and multi-
lateral organizations are also essential to support the issuance of green bonds as
private funds show higher yields, volatility, and beta prices (Braga et al. 2020).
As for climate change adaptation funding, on the national level, central banks
could become intermediaries for issuing country-specific and industry-specific
bonds. Country-wide bonds could feature an interest rate bandwidth around the
universal bank lending rate for climate bonds that is determined by international
entities. Within the bandwidth, central banks could offer green bonds with specific
premium bonds payments for industries based on the industry carbon emission
levels. Industry-specific interest rates could turn the traditional price-cutting behav-
ior that drives corporations to seek for cheap and often nonrenewable energy sources
to opt in for a competitive race-to-the-top for beneficial interest rates that gratify
choices for renewables. A beneficial industry shift could also be fortified by COVID
rescue and recovery packages that are in line with the Green New Deal program in
the United States and the European Green Deal in Europe (European Commission;
The White House of the United States 2021a, b, c; United Nations 2020; United
Nations General Assembly 2020, Art. 47; United States Congress 2019; Vivid
Economics 2021; World Trade Organization 2020, 2021). The Green New Deal
and the European Green Deal in combination with the European Sustainable Finance
Taxonomy are the most widescale efforts to marry the idea of economic growth in
line with the natural resource pool and the environment.
Problematic may be the largess of funds needed that may exceed the capacity of
funding agencies within smaller nations. The lending capacity remains a political
problem, on the international and national levels. On the international level, ques-
tions arise of power dynamics of interest groups that may influence the agenda of the
World Bank, the IMF, and central bank grantors. Political pressure of different
constituency groups may be driven by collective action problems.
Climate Justice Taxation-and-Bonds Redistribution Strategy
Climate change mitigation and adaptation are currently financed by a climate

taxation and green bonds strategy. Green bonds have become fundamental pillars
to raise funds for a transition to renewable energy. Solar power and wind turbines, an
eco-friendly infrastructure, and more research and development in clean energy and
green technology are all investments for averting climate change, which have been
funded by bonds.
Public entities, such as the World Bank or the International Monetary Fund, or
governmentally backed bonds, such as municipal government investing in renew-
able energy projects, are primary green bond issuers. Asset-backed securities are
similar to traditional bonds, but their debt repayment is financed by a particular
revenue stream, such as tolls or surcharges on energy use (Semmler 2021). Covered
bonds are a type of asset-backed security that is also guaranteed by the issuing
agency (Semmler 2021). The repayment mechanism of green bonds depends on
which of these categories the bond falls into. The strategic bundling of bonds but
also tax-and-bonds strategies are currently debated in science and policy contexts.
The financing of climate justice is estimated to comprise of 5–7% of the contempo-
rary world GDP, accounting for 5–6 billion USD (Braga et al. 2020; Flaherty et al.
2017).
Green bonds could fund all these endeavors and are currently pegged to govern-
mental aid in the post-COVID-19 crisis recovery aid. Governments can also bring
back the financial world in the service of improving and stabilizing the real economy
in a stricter separation between investment and consumer banks, which already
began in the course of the regulations following the 2008/2009 recession. Central
banks on behalf of the World Bank or the International Monetary Fund could take a
lead to offer differing bonds regimes.
The European Taxonomy for sustainable activities creates a European Union
standard to classify assets and investments according to their climate benefits,
following the new technological trends and indicators of the Technical Expert
Group on Sustainable Finance (2020). Organized by sector and technology, the
European Sustainable Finance Taxonomy provides references to classify climate
change mitigation and adaptation activities, including environmental objectives
(European Union Technical Expert Group on Sustainable Finance 2020). Broad-
based climate stabilization financing through bonds and credits could thereby
finance mitigation efforts, while adaptation funding would address the impact of
climate change on its local effects, such as regional disasters. The European classi-
fication of industries’ contribution to climate change could become the basis of
setting positive market incentives to change via differing bonds regimes.
In between countries global governance could determine climate change transfer

grantors and beneficiaries of climate bonds in a climate tax-and-bonds strategy. The
transfers could be based on the climate change winners and losers index but also the
climate flexibility of a country and the willingness and ability of a country to change
its CO2 emissions and the CO2 emission production and consumption levels as well
as the bank lending rates. All these factors could serve as parameters whether a
country should be using more of a climate taxation strategy to grant the common
climate bonds endeavors or be a recipient of a favorable climate bonds regime with
high bond premium and maturity rates. Being a climate change winner or loser could
be integrated into an index based on the CO2 emissions per country in relation to
other countries. On a yearly basis, countries already determine their greenhouse gas
emission levels, hence their causing of the climate change problem. The factors of
being a climate change winner or loser and having climate flexibility as a country but
also the current CO2 emissions and the CO2 emission production and consumption
levels and the bank lending rates for credits should determine a key to estimate the
transfer need and country responsibility to contribute to a common plan.
Climate bonds could thereby feature a combination of climate justice between
countries and over time. Based on this index, the redistribution scheme could be
enacted via a diversified bonds premium payment regime, in which the climate change
winners and climate-flexible countries should be financing climate bond by climate
taxation. In countries that already face declining economic prospects due to climate
change and that are naturally climate-constraint, the interest rate regime for climate
bonds should be more favorable compared to climate change winners. High-CO2-
emitting countries that are contributing more to the problem should be issuing climate
bonds that pay for climate stability and hence face a climate tax regime that pays for
the establishment and maintenance of the climate bond. Lower-CO2-emitting countries
should be beneficiaries of issuing bonds with a higher interest rate premium for
common green bonds. This will spark capital mobility in territories that gain econom-
ically from climate change to curb harmful emissions and move towards renewable
energy. Climate fund transfers should also pay attention to CO2 emission production
and consumption differences. Accounting for international trade disparity could
address how CO2 emissions compare by country when adjusting for trade of CO2-
producing goods. All these redistribution measures could enact climate justice in
between countries at a given year.
The diversified climate bonds should also depend on the CO2 emission changes
of countries over time. In order to ensure that countries are incentivized to keep their
CO2 emissions at a low level and compete over a transition to renewable energy,
countries should have the prospect of shifting from being a climate bond grantor
(those countries that pay for the fund with climate taxation) to become climate bond
beneficiaries (those countries that receive climate bonds for favorable market con-
ditions subsidized by payments of the climate bonds grantors). The prospect to gain
from global warming for lowering CO2 emissions could enact climate justice action
over time, if the index that determines where a country falls onto the climate bonds-
grantor or climate bonds-beneficiary spectrum also includes CO2 emission changes
from year to year.
In addition, the bank lending rates of a country could determine whether a country
should be granting the climate bonds via taxation or be a beneficiary of favorable
climate bonds. Countries with bank lending rates, in which industries have ample
access to market capital, should work towards a transitioning to renewable energy
and thus operate with taxation of industries that have high CO2 emission levels.
Countries that face high bank lending rates should be climate bond beneficiaries that
partially fund climate bonds via the transfer payments of low-bank-lending-rate
countries. In high-bank-lending-rate countries, the climate taxation-and-bonds solu-
tion could also be funded via debt that will be paid back by future generations, who
receive a favorable climate in lieu. This will enable to implement climate justice over
time in between generations.
The following model integrates these ideas of climate justice between countries
and over time in presenting five indices to implement a climate-taxation-and-bonds
strategy:
1. Climate winners and losers CO2 emission index: Climate justice between coun-
tries could be based on the idea that climate change winning countries that
contribute to human-made global warming in CO2 emissions should pay for the
establishment and maintenance of climate bonds via carbon taxation, while
climate change losing territories with low CO2 emissions should be climate
bond issuers with a higher interest rate premium.
2. Climate winners and losers’ climate flexibility and CO2 emission index: Climate
change winning countries that benefit from climate flexibility in terms of temper-
ature ranges on their territory and that contribute to human-made global warming
in CO2 emissions should pay for the establishment and maintenance of climate
bonds via carbon taxation, while climate change losing territories with low CO2
emissions and a narrow range of temperatures and thus low climate flexibility
should be recipients of climate bonds with relative high interest rate premium and
thus be relative beneficiaries in the common climate taxation-and-bonds transfer
scheme.
3. Climate winners and losers CO2 emission change index: Climate justice over time
could be fortified by climate change winning countries that contribute to human-
made global warming in CO2 emissions and have a rising trend of CO2 emissions
compared to other countries. Climate change winning countries should pay for
the establishment and maintenance of climate bonds via carbon taxation, while
climate change losing territories with low CO2 emissions that have declining CO2
emissions compared to other countries should be recipients of climate bonds with
higher interest rates and thus be climate bond premium beneficiaries. This would
create market incentives for countries to compete over CO2 emission reductions
and naturally lead towards a transition to renewable energy. As Puaschunder
(2020b) found a correlation between being a climate change winner and CO2
emissions; the combination of having been a climate winner and having caused
the climate problem is likely. This index could incentivize positive changes over
time and is only one proposed index measure that may be combined or exchanged
by any of the other proposed indices.
4. Climate winners and losers CO2 emission bond lending rate index: Climate
justice between countries could be based on the idea that climate change winning
countries that contribute to human-made global warming in CO2 emissions and
have a low bank lending rate should pay for the establishment and maintenance of
climate bonds via carbon taxation, while climate change losing territories with
low CO2 emissions that also have a high bank lending rate should be climate bond
recipient beneficiaries being granted a relatively higher bond interest rate pre-
mium funded by taxation of CO2-emitting industries in climate winning countries
with low bank lending rates.
5. Climate winners and losers consumption-based, trade-adjusted CO2 emission
index: Climate justice between countries could be based on the idea that climate
change winning countries that contribute to human-made global warming in CO2
emission goods and services consumption should pay for the establishment and
maintenance of climate bonds via carbon taxation, while climate change losing
territories with low CO2 emission goods and services consumption should be
climate bond issuers with a higher interest rate premium.
Empirical Validation
In the following, five models will be introduced to measure world countries’

comparative position on a spectrum of being a global climate bonds’ recipient via
high bond yields or a global climate bonds’ grantor via taxation. The proposed
taxation and climate bonds redistribution payment is based on the following influ-
ence factors: (1) the country’s initial position on the climate change gains and losses
index spectrum (F1); (2) a country’s climate flexibility as a future trade benefit (F2);
(3) the country’s human-made contribution to climate change as measured by CO2
emissions (F3); (4) the country’s change of CO2 emissions in relation to other
country’s CO2 emission changes (F4); (5) the estimated bank lending rate of bonds
in that country in comparison with other world countries (F5); and (6) the country’s
human-made contribution to climate change as measured by consumption-based,
trade-adjusted CO2 emissions (F6). These six drivers determine a higher or lower
burden on carbon taxes (abatement costs) to finance a lower or higher benefit of
climate bonds interest rate premiums.
In the following, five indices will be presented that integrate these outlined six
components equally. First normalized index scales will be created for the measured
parameter (F1) to (F6). Then, bundles of these parameters (F1) to (F6) will be
factored into five different indices. The factoring of normalized indicators is meant
to create equity over several measurement factors, e.g., being a climate change
winner or loser and having a certain estimated lending rate of bonds.
Table 1 holds a summary of five different indices, whose value can rank the
different countries of the world on a spectrum from climate financing taxation to
subsidized climate bonds. Table 1 outlines the components of the indices and the
underlying data that led to the factor variables for the composition of the indices.
Table 1 Influence variables on climate taxation and bonds strategy

Climate Taxation Bonds Strategy
Index description Input factor Input factor Input factor
(1) Climate winners Factor 1 (F1) called Factor 3 (F3) human-
and losers CO2 WLTTCCC for made self-reported
emission index 185 countries of the country’s climate
WLTTCCC world, standing for change-causing
(integrating being a climate (CCC) CO2 emission
normalized values of change winner or data for
F1 and F3 by loser as measured by 185 countries of the
multiplication) for a newly created world as retrieved
185 countries of the normalized PRWLTT from Our World in
world index based on the Data and presented
original WLTT index by the Global Carbon
as retrieved from Project
Puaschunder (2020b)
including GDP
growth prospects in
light of climate
change, GDP sector
composition per
country, and mean
temperature per
country as well as
optimal temperature
for productivity by
GDP sector
(2) Climate winners Factor 1 (F1) called Factor 2 (F2) climate Factor 3 (F3) human-
and losers’ climate WLTTCCC for flexibility index (Wx) made self-reported
flexibility and CO2 84 countries of the paying attention to country’s climate
emission index world, standing for the GDP prospects of change-causing
CFCCC (integrating being a climate countries around the (CCC) CO2 emission
normalized values of change winner or globe in a changing data for 84 countries
F1, F2, and F3 by loser as measured by temperature based on of the world as
multiplication) for the original WLTT climate flexibility as retrieved from Our
84 countries of the index as retrieved measured by the World in Data and
world from Puaschunder individual country’s presented by the
(2020b) including latitude and altitude Global Carbon
GDP growth naturally Project
prospects in light of determining extreme
climate change, GDP temperatures as
sector composition retrieved from the
per country and List of Countries by
mean as well as Extreme
optimal temperature Temperatures
for productivity by
GDP sector
(3) Climate winners Factor 1 (F1) called Factor 3 (F3) human- Factor 4 (F4) as the
and losers CO2 WLTTCCC for made self-reported percentage of CO2
emission change 185 countries of the country’s climate emission CCC as
index WLTTCCCG world, standing for change-causing indicated for the year
(integrating of F1, F3, being a climate (CCC) CO2 emission 2019 data retrieved
(continued)
Table 1 (continued)
and F4 by change winner or data for from Our World in
multiplication) for loser as measured by 185 countries of the Data and presented
185 countries of the a newly created world as retrieved by the Global Carbon
world normalized PRWLTT from Our World in Project
index based on the Data and presented
original WLTT index by the Global Carbon
Puaschunder (2020b)
including GDP
growth prospects in
light of climate
change, GDP sector
composition per
country and mean
temperature per
country as well as
optimal temperature
for productivity by
GDP sector
(4) Climate winners Factor 1 (F1) called Factor 3 (F3) human- Factor 5 (F5) called
and losers CO2 WLTTCCC for made self-reported NL, the inverse
emission bond 101 countries of the country’s climate normalized lending
lending rate index world, standing for change-causing rate Ln in percent
WLTTCCCL being a climate (CCC) CO2 emission retrieved from the
(integrating change winner or data for World Bank recorded
normalized values of loser as measured by 101 countries of the International
F1, F3, and F5 by a newly created world as retrieved Monetary Fund
multiplication) for normalized PRWLTT from Our World in Lending interest rate
101 countries of the index based on the Data and presented in percent for the
world original WLTT index by the Global Carbon year 2019
Puaschunder (2020b)
including GDP
growth prospects in
light of climate
change, GDP sector
composition per
country and mean
temperature per
country as well as
optimal temperature
for productivity by
GDP sector
(5) Climate winners Factor 1 (F1) called Factor 6 (F6) country
and losers WLTTCCC for consumption-based,
consumption-based, 116 countries of the trade-adjusted CO2
trade-adjusted CO2 world, standing for emission data for
emission index being a climate 116 countries of the
WLTTCBTAE change winner or world as retrieved
(continued)
Table 1 (continued)
(integrating loser as measured by from Our World in
normalized values of a newly created Data
F1 and F6 by normalized PRWLTT
multiplication) for index based on the
116 countries of the original WLTT index
world as retrieved from
Puaschunder (2020b)
including GDP
growth prospects in
light of climate
change, GDP sector
composition per
country and mean
temperature per
country as well as
optimal temperature
for productivity by
GDP sector
These six drivers determine the relative weight on a scale from most taxation for
climate stabilization to most climate bonds financing. In the following indices, the
six drivers are first translated into a scale featuring an actual numerical position on
the scale for every country of the world included in the data. The six drivers are then
integrated in the five different indices by multiplying the respective country position
on the scale.
Results
Climate Winners and Losers CO2 Emission Index
Climate justice between countries could be based on the idea that climate change
winning countries that contribute to human-made global warming in CO2 emissions
should pay for the establishment and maintenance of climate bonds via carbon
taxation, while climate change losing territories with low CO2 emissions should be
climate bond issuers with a higher interest rate premium. The WLTTCCC index
therefore integrated whether a country is a climate change winner or loser and the
relative CO2 emissions per country in relation to other countries.
The results for the WLTTCCC index for 185 countries are exhibited in Table 2,
which holds a graphical display of the WLTTCCC index numbers per country.
Figure 1 shows the WLTTCCC index numbers per country. The higher the index,
the more likely the country is a climate change winner with high CO2 emissions.
These countries are advised to follow a taxation strategy to fund the bonds solution.
1430
Table 2 WLTTCCC index per country for 185 countries

Afghanistan 0.015191 Comoros 0.000126 India 1.563574 Mongolia 0.179933 Slovakia 0.070084
Albania 0.008496 Congo 0.000497 Indonesia 0.056321 Montenegro 0.003854 Slovenia 0.02665
Algeria 0.094902 Democratic 0.001313 Iran 0.870884 Morocco 0.082545 Solomon 0.000179
Republic of Islands
Congo
Angola 0.024925 Costa Rica 0.003718 Iraq 0.155744 Mozambique 0.005403 Somalia 0.000317
Antigua and 0.0000808 Croatia 0.026087 Ireland 0.063168 Namibia 0.003999 South Africa 0.520328
Barbuda
Argentina 0.222636 Cuba 0.008329 Israel 0.064241 Nepal 0.031224 South Korea 0.805039
Armenia 0.012799 Cyprus 0.007847 Italy 0.42536 The Netherlands 0.267106 Spain 0.323365
Australia 0.366717 Czechia 0.201664 Jamaica 0.002344 New Zealand 0.056428 Sri Lanka 0.001355
Austria 0.151753 Denmark 0.066603 Japan 1.545733 Nicaragua 0.002204 Sudan 0.002242
Azerbaijan 0.051674 Djibouti 0.00000766 Jordan 0.027586 Niger 0.000496 Suriname 0.00067
The 0.001072 Dominica 0.000138 Kazakhstan 0.677486 Nigeria 0.018247 Eswatini 0.000757
Bahamas
Bahrain 0.0000343 Dominican 0.012515 Kenya 0.009003 North Korea 0.092788 Sweden 0.10667
Republic
Bangladesh 0.035638 Ecuador 0.03253 Kiribati 0.000000587 Norway 0.107524 Switzerland 0.08905
Barbados 0.000315 Egypt 0.182543 Kuwait 0.016925 Oman 0.006084 Syria 0.030527
Belarus 0.136663 El Salvador 0.002651 Kyrgyzstan 0.030983 Pakistan 0.245633 Tajikistan 0.023849
Belgium 0.167397 Equatorial 0.000276 Laos 0.021902 Panama 0.004125 Tanzania 0.009772
Guinea
Belize 0.000215 Eritrea 0.000175 Latvia 0.020286 Papua New 0.001944 Thailand 0.033732
Guinea
Benin 0.001987 Estonia 0.032399 Lebanon 0.032802 Paraguay 0.00562 Togo 0.000631
Bhutan 0.003453 Ethiopia 0.015152 Lesotho 0.002971 Peru 0.053071 Tonga 0.0000782
Bolivia 0.018399 Fiji 0.001198 Liberia 0.001094 The Philippines 0.029021 Trinidad and 0.001454
Tobago
J. M. Puaschunder
Bosnia and 0.043477 Finland 0.10719 Libya 0.032103 Poland 0.63593 Tunisia 0.031484
Herzegovina
Botswana 0.004831 France 0.486052 Liechtenstein 0.000336 Portugal 0.058857 Turkey 0.582528
Brazil 0.144885 Gabon 0.000806 Lithuania 0.030647 Qatar 0 Turkmenistan 0.105137
Brunei 0.000023 The Gambia 0.0000647 Luxembourg 0.018795 Romania 0.133123 Tuvalu 0.000000182
Bulgaria 0.062169 Georgia 0.024941 North 0.013316 Russia 4.713191 Uganda 0.004162
Macedonia
Burkina 0.000122 Germany 1.278587 Madagascar 0.003478 Rwanda 0.001309 Ukraine 0.423223
Faso
Burma 0.036108 Ghana 0.002252 Malawi 0.001347 Saint Kitts and 0.000116 United Arab 0.000945
Nevis Emirates
Burundi 0.000605 Greece 0.080275 Malaysia 0.054159 Saint Lucia 0.0001 United 0.682884
Kingdom
Cambodia 0.002196 Grenada 0.0000536 Maldives 0.0000556 Saint Vincent 0.0000171 United States 9.887821
and the
Grenadines
Cameroon 0.003091 Guatemala 0.013208 Mali 0.000148 Samoa 0.0000207 Uruguay 0.00703
Canada 1.656119 Guinea 0.000248 Malta 0.0016 Sao Tome and 0.0000756 Uzbekistan 0.149526
Principe
Cape Verde 0.000461 Guinea-Bissau 0.000124 Marshall 0.0000291 Saudi Arabia 0.071972 Vanuatu 0.000111
Islands
Central 0.000195 Guyana 0.000499 Mauritania 0.0000469 Senegal 0.000232 Venezuela 0.026191
Governance of Climate Justice: Taxation Transfers and Green Bonds
African
Republic
Chad 0.000502 Haiti 0.001671 Mauritius 0.003702 Serbia 0.086827 Vietnam 0.088764
Chile 0.147383 Honduras 0.006656 Mexico 0.396982 Seychelles 0.0000376 Yemen 0.004277
China 20.8524 Hungary 0.079078 Micronesia 0.00006 Sierra Leone 0.000378 Zambia 0.005908
Colombia 0.030845 Iceland 0.008683 Moldova 0.010708 Singapore 0.004049 Zimbabwe 0.009811
1431
Fig. 1 World map of WLTTCCC index per country for 185 countries
The lower the index gets, the more the country should shift to a bonds strategy
funded by the climate winners with high CO2 emissions. Overall, this taxation-and-
bonds strategy is targeted at redistributing climate change gains to climate change
loser countries with low CO2 emission levels.
Figure 1 displays a world map that colors those countries in red that are advised to
fund climate bonds with a taxation strategy. Countries colored in green are climate
change losers and have less CO2 emissions per country. The greener the country is
colored, the higher bonds premium are advised to be paid out in this country as for
being a higher climate loser and having less CO2 emissions, hence contributing less
to the climate problem. Countries that range in the middle of the index are displayed
in yellow in the display spectrum from countries ranked on taxation strategy in red to
the highest bonds premium recipient country colored in green.
Climate Winners and Losers’ Climate Flexibility and CO2

Emission Index
Climate change winning countries that benefit from climate flexibility in terms of
temperature ranges on their territory and that contribute to human-made global
warming in CO2 emissions should pay for the establishment and maintenance of
climate bonds via carbon taxation, while climate change losing territories with low
CO2 emissions and a narrow range of temperatures and thus low climate flexibility
should be recipients of climate bonds with relative high interest rate premium and
thus be relative beneficiaries in the common climate taxation-and-bonds transfer
scheme. The CFCCC index therefore integrated whether a country is a climate

change winner or loser and if the country has relatively high or low climate
flexibility as well as the relative CO2 emissions per country in relation to other
countries.
The results for the CFCCC index for 84 countries are exhibited in Table 3.
Table 3 holds a graphical display of the CFCCC index numbers per country. The
higher the index, the more likely the country is a climate change winner with high
climate flexibility and high CO2 emissions. These countries are advised to follow a
taxation strategy. The lower the index gets, the more the country should be a
recipient of bonds with a high premium in order to redistribute climate change
gains of climate change-causing nations to climate change loser countries with low
CO2 emission levels.
Figure 2 outlines the indices of all countries in a world map that colors those
countries with high index values that are more likely climate change winners with
high climate flexibility and high CO2 emissions in red. Climate change loser
countries with low climate flexibility and low CO2 emissions are colored in green.
Countries in the middle that tend to have moderate economic changes due to climate
change, medium climate flexibility, and middle levels of CO2 emissions are colored
in yellow. Countries that are advised to have a high climate taxation strategy are
colored in red, high bonds premium recipients in green, and countries that are in the
middle of the index range in yellow.
Figure 2 displays a world map that colors those countries with advised high
taxation strategy in red, high bonds premium recipients in green, and countries that
are in the middle of the index range in yellow. In Fig. 2 countries are greener if being
climate change losers and having less climate flexibility as well as having less CO2
emissions per country. The redder a country is, the more likely the country is a
climate change winner and benefits from more climate flexibility as well as is more
likely to feature more CO2 emissions. Medium levels of climate change economic
changes with medium climate flexibility and moderate levels of CO2 emissions are
colored in yellow. Red countries are advised to having a climate taxation strategy,
yellow countries a mixed climate taxation and bonds strategy, and green countries a
climate bonds recipient standing among all countries of the world.
Climate Winners and Losers CO2 Emission Change Index
Climate justice over time could be fortified by climate change winning countries that
contribute to human-made global warming in CO2 emissions and have a rising trend
of CO2 emissions compared to other countries paying for the establishment and
maintenance of climate bonds via carbon taxation, while climate change losing
territories with low CO2 emissions that have declining CO2 emissions compared
to other countries should be recipients of climate bonds with higher interest rate
and thus be climate bond premium beneficiaries. This would create market incen-
tives for countries to compete over CO2 emission reductions and naturally lead
towards a transition to renewable energy. The WLTTCCCG index therefore
1434
Table 3 CFCCC index per country for 84 countries

Afghanistan 0.00046738 Cuba 0.00019532 Latvia 0.00043257 Serbia 0.00214448
Algeria 0.00258036 Czechia 0.00443819 Lithuania 0.00065787 Singapore 0.00009417
Antigua and Barbuda 0.00000134 Denmark 0.00122935 North Macedonia 0.00029662 Slovakia 0.00154345
Argentina 0.00509898 Dominica 0.00000170 Malaysia 0.00130737 Slovenia 0.00054085
Armenia 0.00029571 Egypt 0.00419361 Maldives 0.00000312 South Africa 0.01029034
Australia 0.00828623 Estonia 0.00069080 Malta 0.00001954 South Korea 0.01827173
Austria 0.00356766 Finland 0.00309140 Moldova 0.00023586 Spain 0.00730210
Azerbaijan 0.00118494 France 0.01232259 Mongolia 0.00659033 Sudan 0.00015515
Bangladesh 0.00086335 Germany 0.03075435 Nepal 0.00059971 Eswatini 0.00001387
Belarus 0.00299433 Greece 0.00172938 The Netherlands 0.00500799 Sweden 0.00317080
Belgium 0.00329611 Guatemala 0.00028315 New Zealand 0.00111788 Switzerland 0.00199685
Bosnia and Herzegovina 0.00112243 Hungary 0.00175967 Norway 0.00304209 Syria 0.00061604
Brazil 0.00532930 Iceland 0.00019303 Pakistan 0.00765046 Thailand 0.00182797
Bulgaria 0.00155675 India 0.05283758 Panama 0.00009364 Turkey 0.01680032
Burkina Faso 0.00001778 Iran 0.02453939 The Philippines 0.00109222 Turkmenistan 0.00254521
Burma 0.00059137 Ireland 0.00093612 Poland 0.01388410 Ukraine 0.00977103
Cambodia 0.00007356 Israel 0.00128319 Portugal 0.00104930 United Arab Emirates 0.00051636
Canada 0.08324848 Italy 0.01207178 Romania 0.00313439 United Kingdom 0.01262311
Chile 0.00344483 Japan 0.03857131 Russia 0.24583090 United States 0.32655247
China 0.58184291 Jordan 0.00052087 Samoa 0.00000088 Uruguay 0.00011041
Croatia 0.00061468 Kyrgyzstan 0.00099474 Saudi Arabia 0.00517248 Vietnam 0.00240708
J. M. Puaschunder
Fig. 2 World map of CFCCCx index per country for 84 countries
integrated whether a country is a climate change winner or loser as well as the

relative CO2 emissions per country in relation to other countries and the relative
CO2 emission changes per country compared to the rest of the world. This index
incentivizes positive changes over time.
The results for the WLTTCCCG index for 185 countries are exhibited in Table 4.
Figure 3 also holds a graphical display of the WLTTCCCG index numbers per
country. The higher the WLTTCCCG index, the more likely the country is a climate
change winner with high CO2 emissions that increase over time. These countries are
advised to follow a taxation strategy. The lower the index gets, the more the country
should shift to a bonds strategy in order to redistribute climate change gains to
climate change loser countries with low and reducing CO2 emission levels.
Figure 3 displays a world map that colors those countries with recommended high
taxation strategy in red, high bonds interest premium recipients in green, and
countries that are in the middle of the index range in yellow. In Fig. 3 the greener
a country is colored, the more likely the country is a climate change loser that has
less CO2 emissions per country and decreasing CO2 emissions in relation to other
countries. The redder a country is, the more likely the country is a climate change
winner as well as is more likely to feature more CO2 emissions and rising CO2
emission levels. Medium levels of climate change economic changes and moderate
levels of CO2 emissions that are not changing are colored in yellow. Red countries
are advised to having a climate taxation strategy, yellow countries a mixed climate
taxation and bonds strategy, and green countries a climate bonds recipient standing
among all countries of the world.
Table 4 WLTTCCCG index per country for 185 countries
1436
Afghanistan 0.03890542 Comoros 0.00036845 India 1.51666708 Mongolia 0.28051567 Slovakia 0.5385218
Albania 0.02767867 Congo 0.00086638 Indonesia 0.39976907 Montenegro 0.06141303 Slovenia 0.1455893
Algeria 0.42724745 Democratic 0.0030215 Iran 2.78160227 Morocco 0.82858259 Solomon 0.0011722
Republic of Islands
Congo
Angola 0.02260724 Costa Rica 0.01164552 Iraq 0.7455444 Mozambique 0.02077443 Somalia 0.00092546
Antigua and 0.00021153 Croatia 0.02407814 Ireland 0.27440159 Namibia 0.00131959 South Africa 0.72845961
Barbuda
Argentina 0.73291621 Cuba 0.00306498 Israel 0.20235988 Nepal 0.11712199 South Korea 3.001186
Armenia 0.05908099 Cyprus 0.00182044 Italy 1.34413625 The 0.8910654 Spain 2.0352593
Netherlands
Australia 0.43529334 Czechia 0.65702206 Jamaica 0.00013362 New Zealand 0.23496644 Sri Lanka 0.01101973
Austria 0.40381453 Denmark 0.49512808 Japan 3.95089444 Nicaragua 0.00702623 Sudan 0.00609584
Azerbaijan 0.3214127 Djibouti 0.00001846 Jordan 0.12703491 Niger 0.00098189 Suriname 0.00142297
The 0.00268536 Dominica 0.00036175 Kazakhstan 1.23980019 Nigeria 0.05293505 Eswatini 0.0010804
Bahamas
Bahrain 0.00029985 Dominican 0.10254525 Kenya 0.00938094 North Korea 0.14567645 Sweden 0.255474
Republic
Bangladesh 0.68361563 Ecuador 0.09937774 Kiribati 0.00000384 Norway 0.3378418 Switzerland 0.18967658
Barbados 0.00053617 Egypt 0.34975252 Kuwait 0.0538215 Oman 0.00560986 Syria 0.12775342
Belarus 0.13516 El Salvador 0.00832563 Kyrgyzstan 0.40026944 Pakistan 0.14074758 Tajikistan 0.48080254
Belgium 0.08336386 Equatorial 0.00126954 Laos 0.03749707 Panama 0.01387078 Tanzania 0.01057276
Guinea
Belize 0.00072264 Eritrea 0.00045527 Latvia 0.10402693 Papua New 0.00861285 Thailand 0.0481358
Guinea
Benin 0.00610541 Estonia 0.69926107 Lebanon 0.07577249 Paraguay 0.01174106 Togo 0.00187553
Bhutan 0.0092748 Ethiopia 0.00657618 Lesotho 0.0247807 Peru 0.03163053 Tonga 0.00051157
Bolivia 0.01887746 Fiji 0.00752241 Liberia 0.0040542 The Philippines 0.11152836 Trinidad and 5.82E-06
Tobago
J. M. Puaschunder
Bosnia and 0.89271331 Finland 0.98111394 Libya 0.08677372 Poland 2.8394283 Tunisia 0.06800468
Herzegovina
Botswana 0.03536965 France 1.16895527 Liechtenstein 0.00047978 Portugal 0.3297746 Turkey 1.9549637
Brazil 0.02897697 Gabon 0.00164744 Lithuania 0.04171095 Qatar 0 Turkmenistan 1.02550155
Brunei 0.00011327 The Gambia 0.00025822 Luxembourg 0.04249589 Romania 0.322956 Tuvalu 0.00000119
Bulgaria 0.22057527 Georgia 0.10734601 North 0.2022787 Russia 3.6197309 Uganda 0.01132354
Macedonia
Burkina 0.00047351 Germany 9.03960956 Madagascar 0.01436315 Rwanda 0.00373597 Ukraine 1.5460322
Faso
Burma 0.01881248 Ghana 0.00746433 Malawi 0.00035826 Saint Kitts and 0.0003025 United Arab 0.00107357
Nevis Emirates
Burundi 0.001253 Greece 0.51584682 Malaysia 0.02063459 Saint Lucia 0.0002618 United 1.843104
Kingdom
Cambodia 0.00777425 Grenada 0.00017984 Maldives 0.00036367 Saint Vincent 0.0000447 United States 25.550128
and the
Grenadines
Cameroon 0.00106021 Guatemala 0.07499368 Mali 0.00054638 Samoa 0.00013519 Uruguay 0.01420002
Canada 2.78227969 Guinea 0.00099247 Malta 0.00231777 Sao Tome and 0.0001806 Uzbekistan 0.4846129
Principe
Cape Verde 0.00184576 Guinea-Bissau 0.00049736 Marshall 0.00019028 Saudi Arabia 0.06729403 Vanuatu 0.0007253
Islands
Central 0.000465 Guyana 0.0010177 Mauritania 0.00018755 Senegal 0.00031716 Venezuela 0.2608878
African
Republic
Chad 0.00110848 Haiti 0.00427339 Mauritius 0.01622233 Serbia 1.62400793 Vietnam 1.50614009
Chile 0.26823654 Honduras 0.02909193 Mexico 1.10757839 Seychelles 0.00010988 Yemen 0.01332243
China 45.68760881 Hungary 0.08405967 Micronesia 0.00039265 Sierra Leone 0.00151164 Zambia 0.0178719
Colombia 0.33358908 Iceland 0.08338756 Moldova 0.01457339 Singapore 0.00694366 Zimbabwe 0.0835974
1437
Fig. 3 World map of WLTTCCCG index per country
Climate Winners and Losers CO2 Emission Lending Rate Index
winning countries that contribute to human-made global warming in CO2 emissions
and have a low bank lending rate based on historic financial sector performance
should pay for the establishment and maintenance of climate bonds via carbon
taxation, while climate change losing territories with low CO2 emissions that also
have a high bank lending rate based on past financial records should be climate bond
recipient beneficiaries being granted a relatively higher bond interest rate premium
funded by taxation of CO2-emitting industries in climate winning countries with low
bank lending rates. The WLTTCCCL index therefore integrated whether a country is a
climate change winner or loser as well as the relative CO2 emissions per country in
relation to other countries and the bank lending rate of the country.
The results for the WLTTCCCL index for 101 countries are exhibited in Table 5,
which also holds a graphical display of the WLTTCCCL index numbers per country.
Figure 4 also holds a graphical display of the WLTTCCCL index numbers per
country. The higher the index, the more likely the country is a climate change winner
with high CO2 emissions and low bank lending for bonds. These countries are
advised to follow a taxation strategy to fund climate bonds. The lower the index
gets, the more the country should shift to a bonds strategy and be a climate bonds
premium recipient country. This climate taxation-and-bonds strategy is meant to
redistribute climate change gains from countries with high CO2 emission levels and
low bank lending rates to climate change loser countries with low CO2 emission
levels and high bank lending rates.
Table 5 WLTTCCCL index per country for 101 world countries
Albania 0.007712 Burundi 0.000284 India 1.130159 Montenegro 0.003519 Sao Tome 0.000022
and Principe
Algeria 0.080975 Cabo Verde 0.000341 Indonesia 0.038364 Mozambique 0.001715 Seychelles 0.000020
Angola 0.006722 China 20.142248 Israel 0.062828 Namibia 0.002826 Sierra Leone 0.000088
Antigua and 0.000064 Colombia 0.018179 Italy 0.422378 Nicaragua 0.001209 Singapore 0.003811
Barbuda
Argentina 0.000000 Comoros 0.000084 Jamaica 0.001211 Nigeria 0.008097 Solomon 0.000116
Islands
Armenia 0.007414 Democratic 0.000198 Jordan 0.021601 Norway 0.106246 South Africa 0.363299
Republic of
Congo
Australia 0.346790 Costa Rica 0.002884 Kenya 0.005030 Oman 0.005673 Sri Lanka 0.000851
Azerbaijan 0.017962 Czech Republic 0.196925 Kuwait 0.016217 Pakistan 0.139784 South Sudan 0.000966
The 0.001039 Dominica 0.010921 Kyrgyz 0.009344 Panama 0.003674 Suriname 0.000306
Bahamas Republic
Bangladesh 0.025476 Egypt 0.073747 Lebanon 0.021484 Papua New 0.001536 Eswatini 0.000522
Guinea
Belarus 0.102980 Fiji 0.001100 Lesotho 0.001837 Peru 0.025532 Switzerland 0.088231
Belize 0.000160 The Gambia 0.000008 North 0.012292 The Philippines 0.025680 Tajikistan 0.005115
Macedonia
Bhutan 0.001743 Georgia 0.015891 Madagascar 0.000185 Qatar 0.000000 Tanzania 0.003675
Bolivia 0.015193 Grenada 0.000046 Malawi 0.000234 Romania 0.117002 Thailand 0.032825
Bosnia and 0.042841 Guatemala 0.006964 Malaysia 0.051673 Russian 3.621926 Tonga 0.000066
Herzegovina Federation
(continued)
1439
1440
Table 5 (continued)
Botswana 0.004359 Guyana 0.000336 Maldives 0.000034 Rwanda 0.000511 Trinidad 0.001063
and Tobago
Brazil 0.014015 Haiti 0.000824 Mauritius 0.003005 St. Kills and 0.000093 Ukraine 0.107154
Nevis
Brunei 0.000021 Honduras 0.002218 Mexico 0.325018 St. Lucia 0.000086 United 9.263864
Darussalam States
Bulgaria 0.059816 Hungary 0.078860 Moldova 0.008991 St. Vincent and 0.000014 Uruguay 0.004212
the Grenadines
Burma 0.015072 Iceland 0.007786 Mongolia 0.065133 Samoa 0.000016 Uzbekistan 0.029131
Vanuatu 0.000111
J. M. Puaschunder
Fig. 4 World map of WLTTCCCL index per country
Figure 4 exhibits a world map that colors those countries with recommended high
taxation strategy in red, high bonds premium recipients in green, and countries that
are in the middle of the index range in yellow. Figure 4 displays a world map that
colors those countries in red that are advised to fund climate bonds with a taxation
strategy. Red countries tend to be more likely climate winners with high CO2
emissions and low bank lending rates. Figure 4 displays countries greener if being
climate change losers as well as having less CO2 emissions per country and high
bank lending rates. The greener the country is colored, the higher bonds premium are
advised to be paid out in this country as for being a higher climate loser and having
less CO2 emissions, hence contributing less to the climate problem as well as high
bank lending rates. Countries that range in the middle of the index are displayed in
yellow in the display spectrum from countries ranked on taxation strategy in red to
the highest bonds premium recipient country colored in green.
Climate Winners and Losers Consumption-Based, Trade-Adjusted

CO2 Emission Index
winning countries that contribute to human-made global warming in consuming CO2
emissions should pay for the establishment and maintenance of climate bonds via
carbon taxation, while climate change losing territories with low CO2 emission
consumption should be climate bond issuers with a higher interest rate premium.
The WLTTCBTAE index therefore integrated whether a country is a climate change
winner or loser and the relative consumption-based, trade-adjusted CO2 emissions

per country in relation to other countries.
The results for the WLTTCBTAE index for 116 countries are exhibited in Table 6,
which holds a graphical display of the WLTTCBTAE index numbers per country.
Figure 5 shows the WLTTCBTAE index numbers per country. The higher the
index, the more likely the country is a climate change winner with a high CO2
emission consumption. These countries are advised to follow a taxation strategy to
fund the bonds solution. The lower the index gets, the more the country should shift
to a bonds strategy funded by the climate winners with a high CO2 emission
consumption. Overall, this taxation-and-bonds strategy is targeted at redistributing
climate change gains to climate change loser countries with low CO2 emission
consumption levels.
Figure 5 displays a world map that colors those countries in red that are advised to
fund climate bonds with a taxation strategy. Countries colored in green are climate
change losers and have less CO2 emission consumption per country. The greener the
country is colored, the higher bonds premium are advised to be paid out in this
country as for being a higher climate loser and having less CO2 emission consump-
tion, hence contributing less to the climate problem. Countries that range in the
middle of the index are displayed in yellow in the display spectrum from countries
ranked on taxation strategy in red to the highest bonds premium recipient country
colored in green.
Discussion
Climate justice accounts for the most challenging global governance goal. In the
current climate change mitigation and adaptation efforts, the financing of the ambi-
tious goals has leveraged into a blatant demand. Action on environmental protection
of a stable climate is considered as an economic game with multiple actors and
various predicaments (Di Bartolomeo, Fard & Semmler 2021). The transitioning to a
zero economy with renewable energy is an economic game theoretical problem on
the international level but also over time. Problems such as free riders occur,
meaning that if one party removes pollution and environmental damages, other
parties can enjoy a stable climate without costs (Di Bartolomeo et al. 2021). If one
country pursues climate change mitigation, other countries can benefit from the
stable climate and avoidance of natural disasters without any own efforts, which
therefore leads to myopic first-mover hesitancy, inter-temporally sub-optimal
choices, and international political and diplomatic tensions (Nordhaus 2008, 2013;
Semmler 2021).
In the international arena, the contemporary state of the art of climate negotiations
is sometimes hindered by compliance hesitancy and lack of commitment on part of
emission-producing competitive nations that experience the benefits of economic
productivity under climate change (Chappe 2014; Puaschunder 2020b). Environ-
mental treaties addressing the issue of climate change face problems in enforceabil-
ity of international environmental law, in particular in soft laws, such as policy
Table 6 WLTTCBTAE index per country for 116 countries
Albania 0.08419 Ecuador 0.04958 Latvia 0.20353 Russia 0.11234
Argentina 0.04439 Egypt 0.03355 Lithuania 0.17454 Rwanda 0.04204
Armenia 0.07239 El Salvador 0.04246 Luxembourg 0.26208 Saudi Arabia 0.01937
Australia 0.02788 Estonia 0.11814 Madagascar 0.10416 Senegal 0.01188
Austria 0.13604 Ethiopia 0.06212 Malawi 0.12498 Singapore 0.07228
Azerbaijan 0.05316 Finland 0.22025 Malaysia 0.01877 Slovakia 0.13267
Bahrain 0.00000 France 0.10083 Malta 0.22122 Slovenia 0.11638
Bangladesh 0.03862 Georgia 0.08533 Mauritius 0.05597 South Africa 0.01382
Belarus 0.08311 Germany 0.08877 Mexico 0.03900 South Korea 0.06108
Belgium 0.16092 Ghana 0.02708 Mongolia 0.08043 Spain 0.05723
Benin 0.03521 Greece 0.02603 Morocco 0.04198 Sri Lanka 0.02939
Bolivia 0.03257 Guatemala 0.04489 Mozambique 0.12277 Sweden 0.25893
Botswana 0.15763 Guinea 0.01663 Namibia 0.13778 Switzerland 0.47589
Brazil 0.02723 Honduras 0.04378 Nepal 0.12958 Tanzania 0.08967
Brunei 0.00414 Hungary 0.10470 The Netherlands 0.05803 Thailand 0.01915
Bulgaria 0.04570 India 0.02507 New Zealand 0.06694 Togo 0.11670

Burkina Faso 0.01980 Indonesia 0.01785 Nicaragua 0.03521 Trinidad and Tobago 0.00602
Cambodia 0.03009 Iran 0.03955 Nigeria 0.01815 Tunisia 0.03321
(continued)
1443
1444
Table 6 (continued)
Cameroon 0.05120 Ireland 0.07673 Norway 0.13520 Turkey 0.05597
Canada 0.16778 Israel 0.06105 Oman 0.01614 Uganda 0.06320
Chile 0.07687 Italy 0.08234 Pakistan 0.03947 Ukraine 0.06185
China 005592 Jamaica 0.02709 Panama 0.08111 United Arab Emirates 0.01108
Colombia 0.03138 Japan 0.07480 Paraguay 0.06136 United Kingdom 0.12823
Costa Rica 0.05682 Jordan 0.06724 Peru 0.04962 United States 0.07751
Croatia 0.08222 Kazakhstan 0.03733 The Philippines 0.02621 Uruguay 0.10941
Cyprus 0.04430 Kenya 0.06334 Poland 0.05109 Venezuela 0.03159
Czechia 0.07269 Kuwait 0.01552 Portugal 0.05512 Vietnam 0.01974
Denmark 0.16179 Kyrgyzstan 0.24651 Qatar 0.00000 Zambia 0.06801
Dominican Republic 0.02879 Laos 0.02375 Romania 0.06842 Zimbabwe 0.04753
J. M. Puaschunder
Fig. 5 World map of WLTTCBTAE index per country for 116 countries
declarations, which are not legally binding (Chappe 2014). Ambitious goals that are
dependent on a wide range of multiple actors are often vague, which hinders their
actual implementation and therefore leads to widespread non-compliance with no
real possibility of enforceability (Chappe 2021). Procedural obstacles in the length of
negotiation processes and coordination of multiple actors for ratifications as well as
missing treaty violations sanctions mechanisms delay necessary climate action
(Chappe 2021). Fairness in climate negotiations often becomes an economic predic-
ament of multiple community forces working concurrently that add to the complex-
ity in finding common consent (Haurie et al. 2014). The political economy of climate
control is constraint by policymakers facing election cycles incentivizing them to
have short-time decision horizons and obligations to serve their voter communities,
which can obstruct international accord and a true motivation to change the status
quo of consumption patterns and energy generation (Di Bartolomeo et al. 2021).
Political leaders often tend to be constrained by short-term objectives that influences
their overall ability to make decisions under uncertainty and complexity (Chappe
2021; Puaschunder 2020a; Semmler 2021). Short-termism may lead to the under-
valuation of the costs of carbon emissions over time (Di Bartolomeo et al. 2021; Heal
2000). Myopic focus on only close communities at a given time can be changed in an
internationally organized competitive race for climate benefit distribution for the
reduction of CO2 emissions (Di Bartolomeo et al. 2021).
In the weighting of the burden of global warming, the regional impacts, losses,
but also benefits of a warming earth have been neglected since recently. Understand-
ing the economic gain prospect distribution around the world and over time,
however, is essential for sharing the gains and losses of climate change equally
between countries and over time. Following the introduction of the gains from
climate change, a macroeconomic model was proposed to distribute the benefits of
a warming earth in a fair way based on which countries are losing and which
countries are winning from a warming earth until the year 2100 (Puaschunder
2020b).
Overall, GDP-related climate change gains and losses will be distributed
unequally throughout the world. An index determined how far countries are deviat-
ing from their optimum productivity levels based on the optimum temperature for
GDP productivity and over time. When unidimensionally focusing on estimated
GDP growth given a warmer temperature, over all calculated models assuming
linear, prospect, or hyperbolic gains and losses around the peak condition, the
world will be gaining more than losing from a warming earth until the year 2100
(Puaschunder 2020b). Based on the climate change winners and losers WL index of
188 countries of the world, less countries (n ¼ 78) are expected to gain more from
global warming until 2100 than more countries (n ¼ 111) will be losing from a
warming earth (Puaschunder 2020b). Other researchers have also elucidated the
economic impact of climate change on the world and found stark international
differences (Burke et al. 2015). Burke et al. (2015) estimate how climate change
will affect GDP per capita. In addition, the International Monetary Fund found in a
cross-country analysis of the long-term macroeconomic effects of climate change
vast country inequalities in global warming effects (Kahn et al. 2019).
Based on this macroeconomic cost-benefit analysis, ethical notions arise to redis-
tribute economic climate change gains to global warming losing territories. The wish
to overcome climate injustice is grounded on responsibility for the environment in the
hope for harmony with future generations (Jonas 1979; Nikulin 2021).
Climate change winning countries are meant to redistribute taxation gains to fund
climate bonds premium payments in those countries that have a declining GDP
prospect. The taxation could target climate change gaining GDP sectors and carbon-
emitting industries. A corporate inheritance tax during mergers and acquisitions
could provide the funds for the climate bonds and thereby redistribute past wealth-
accumulation gains into the future. Climate change loser countries should become
transfer recipients but could also rely on debt that will be paid back by future
generations (Puaschunder 2020b).
In the implementation of such a climate gains redistribution scheme, global
governance institutions play a crucial role with plurilateral summit capabilities.
Comprised of all nations of the world, global governance entities have the capacity
to instigate the idea of a “Global Green New Deal,” which could globalize ideas of
the Green New Deal and the European Green Deal to enact a binding taxation-and-
bonds solution for climate change. Empirically driven redistribution schemes could
thereby build support of all international actors involved and imbue a notion of
economically driven rationality in fairness that could win countries to act and
comply. Global governance institutions, such as the World Bank, the IMF, or the
United Nations, could thereby act as norm entrepreneurs and action catalysts of a
Global Green New Deal that redistributes the gains of a warming earth to places that
face economically declining economic prospects.
The preliminary insights brought forward in this chapter were meant to advance
novel understandings of the important role that global governance institutions can
play in supporting and implementing a Global Green New Deal that targets at
redistribution to overcome global inequalities in regard to climate change. Global
governance institutions can shape the conduct and array of international actors to
contribute to a commonly agreed global scheme. Economically driven indices could
aid in taking the political nature out of redistribution politics and historically laden
international relations. The chapter was targeted at drawing attention to the need for
future research of this nexus and meant as a first step in finding economically driven
redistribution schemes.
In the future, global governance institutions are believed to play an increasing
role as “global society” leaders to tackle large-scale complex problems – such as
climate change but also COVID-19 alleviation – and play a fundamental role in
global social norms creation and global public policy implementation by identifying
change agents on the national level (Barnett and Sikkink 2011). Future research
should pay attention to emerging trends in global redistribution models to alleviate
climate inequalities and enact climate justice around the world and over time. Global
governance institutions could thereby further build on research-driven inequality
parameters in order to derive concrete policy implementations of global norms of
equity via global taxation-and-bonds-schemes (Boyle et al. 2021; O’Callaghan and
Murdock 2021). Future writings could also investigate the underexplored role of
global governance institutions in changing country-level dynamics according to
global world power resolutions. The global governance research literature could be
fortified by insights on the dynamics of modern relations of global societies as dense
networks of states with common values and agreed-upon principles (Barnett and
Sikkink 2011). How powerful global governance institutions could help the legiti-
macy and lead in a cascading of social norms that are internalized in a network of
change agents on the local levels should be explored (Finnemore and Sikkink 1998).
As for concrete redistribution plans, different means of transfer should be explored in
future studies, ranging from taxation models, direct or indirect transfers, credit
guarantees, and bonds issuance as well as conventional repayment schemes.
Cross-References
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▶ Sustainability and Development at Northwestern Municipalities in Mexico: Chi-
huahua Region
▶ Sustainable Consumption and Production in an Era of Uncertainty
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Spatial Analysis of Fortín, Veracruz, Mexico:
Agritourism Entrepreneurship Public Policy
Karina Nicole Pérez-Olmos, Noé Aguilar-Rivera, and

Ricardo Serna-Lagunes
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1454
Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1456
Results and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1458
Public Policies Diagnosis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1458
Spatial Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1463
Basic Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1463
Tourist Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1464
Tourist Attractions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1465
Agricultural Sites of Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1466
Accessibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1468
Agritourism Potential Zones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1468
Vester Matrix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1470
Proposal of Public Policy Guidelines for Agritourism in Fortín . . . . . . . . . . . . . . . . . . . . . . . . . . . 1470
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1473
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1475
Abstract
Agritourism represents an alternative for rural territories with landscape resources
where agriculture has left a great legacy. One of these territories is Fortín in
Veracruz, Mexico. Agritourism can help to achieve some Sustainable Develop-
ment Goals (SDGs) as no poverty (Goal No. 1), zero hunger (Goal No. 2), gender
equality (Goal No. 5), and decent work and economic growth (Goal No. 8).
Despite this, there is not a public policy in Fortin that promotes agritourism
entrepreneurships. Therefore, a spatial analysis was made to have an integral
vision of the agritourism in the territory. Also, a diagnosis of public policies and
K. N. Pérez-Olmos · N. Aguilar-Rivera (*) · R. Serna-Lagunes

Facultad de Ciencias Biológicas y Agropecuarias, Universidad Veracruzana, Córdoba Veracruz,
Mexico
e-mail: naguilar@uv.mx; rserna@uv.mx

https://doi.org/10.1007/978-3-031-16017-2_89
1454 K. N. Pérez-Olmos et al.
focus groups were realized to develop a proposal of public policy guidelines for
agritourism entrepreneurship. The results of the spatial analysis show that the
areas with the greatest potential are the localities of Fortín de las Flores, Camino a
Tlacotengo, and San Marcial. In addition, rural areas need more infrastructures to
receive visitors. Boosting agritourism in Fortín would help small producers to be
able to have complementary income in dealing with the current global crisis of
COVID-19 and take advantage of the new tourism trends.
Keywords
Agritourism · Sustainability · Rural tourism · Entrepreneurship · Public policy
Introduction
According to the World Tourism Organization in its International Tourism Panorama

Report, 2020 Edition, in Mexico the tourism sector represents 9 percent of the gross
domestic product, with an annual reception of 45 million tourists. Therefore, it has
been one of the trending areas in recent years for the creation of public policies
(OECD 2017). Despite this, since the mid-1960s of the last century, tourism policies
were focused on creating basic infrastructure for new destinations to start their
tourism strategy (Sandoval et al. 2017).
A public policy is a set of planned and implemented collective actions that
influence the well-being of a group of people (Sánchez et al. 2019). Therefore, a
public policy encompasses decisions and actions aimed at solving a public problem.
In this sense, how this problem is solved will not depend only on the suitability of the
design of the public policy but also on the effectiveness at the time of its application
(Cejudo and Michel 2016). Various problems in rural areas have not allowed
sustainable development, such as the promotion of socioeconomic strengthening
strategies such as agritourism. The difficulties faced by many farmers in Latin
America’s rural areas are highlighted, such as the lack of technical assistance to
undertake tourism activities and the insufficiency of public policies for the necessary
promotion to boost the sector (Ramos et al. 2017).
Rural tourism is a tourist modality that contributes to local development through
the equitable distribution of benefits through the participation of community mem-
bers in different tourist activities. Rural tourism is viewed as an alternative for
heritage conservation (natural and cultural), to curb emigration from rural areas, as
well as a tool for teamwork and strengthening social cohesion (Sánchez and Vargas
2015). An activity that forms part of the rural tourism offer is agritourism, which
consists in developing farming-related activities carried out on a working farm or
other agricultural settings for entertainment or education purposes (Gil Arroyo et al.
2013). However, the tourism in the Mexican rural space is not part of the priority
actions of the rural development policies; additionally, it is not adequately included
in public tourism policy (Pérez-Olmos and Aguilar-Rivera 2021), giving priority to
sun and beach tourism (Apodaca-González et al. 2014; Alcalá and López 2017).
However, many local actors have taken the initiative in developing rural tourism
Spatial Analysis of Fortín, Veracruz, Mexico: Agritourism Entrepreneurship Public Policy 1455
projects through communal power in the administration of their resources. Thus, due
to the lack of regulatory frameworks and policies, many communities cannot achieve
this comprehensive development hand in hand with tourism; in addition, rivalries
can arise between communities due to the different benefits that this economic
activity can provide (Sandoval-Quintero et al. 2017).
Tourism constitutes an incentive for the revitalization of rural areas, above all by
boosting traditional economic activities by being able to offer quality tourism
associated with natural, cultural, and gastronomic resources. In addition, it repre-
sents an alternative to the sustainability of local agri-food systems, to the extent that
the interaction between tourists and producers can produce a direct marketing
channel, and tourism constitutes an exhibition platform for quality food (Toselli
2019; De Jesus-Contreras et al. 2017).
Through agritourism, various environmental benefits are generated through the
conservation and maintenance of particular rural landscapes of great beauty, in
addition to promoting environmentally friendly agricultural practices and offering
environmental education to visitors (Barbieri 2013; Adamov et al. 2020; Medina
et al. 2020; Roman et al. 2020). It is considered that agritourism can add value to the
products of small farmers and diversify their economic activities through the use and
conservation of historical-cultural landscapes for the benefit of society (Brandano
et al. 2018; Galán-Cuevas et al. 2019); in addition, it can provide progress in
entrepreneurship in rural areas, generating employment opportunities (Bhusal et al.
2018).
It is important to point out that tourism is nourished by the landscape because its
visual quality can mean the motivation of tourist flows and therefore facilitates the
development of new tourism products (Hernández et al. 2014). The landscape refers
to any part of the territory, from the perception of the populations, whose character
results from the combination of natural and/or human factors and their interrelation-
ships (Council of Europe 2000). Therefore, the landscape represents an important
resource that provides different functionalities to the socioeconomic, cultural, and
ecological fields (Plieninger et al. 2015). In this sense, the landscape constitutes an
important raw material for tourism, being an integrating resource for the formation of
the image of tourist destinations (Mercado and Fernández 2018). Therefore, identi-
fying the spatial characteristics of territory allows knowing its spatial dynamics,
facilitating the design and implementation of policies that enhance its development;
on the contrary, the lack of them generates restrictions and limitations to the progress
of the analyzed area, hindering possible actions, projects, and policies aimed at
enhancing the opportunities of the local economy (Soza-Amigo et al. 2016).
The municipality of Fortín has various resources for carrying out the practice of
agritourism that are currently not fully exploited (Pérez and Aguilar 2019), espe-
cially to favor rural communities. In addition to this, there are no studies on the
performance of spatial analysis around agritourism in the municipality of Fortín,
Veracruz. It is important to be able to use this tool to obtain useful and truthful
information for decision-making in agritourism entrepreneurships.
The objective of this chapter is to develop a proposal of public policy guidelines
for agritourism entrepreneurships based on the identification of the spatial
characteristics of the territory of Fortín, a diagnosis of the context of public policies

and the opinions of local actors from the agricultural areas of Fortín. This analysis
constitutes the first approximation to form a participatory strategy of different
sectors, which has allowed the structuring of a proposal that seeks to ensure that
the benefits of agritourism are not being monopolized by a sector of the population
and, in turn, contribute effectively to local endogenous development.
Methodology
This research was developed in different localities defined as the study area, belong-
ing to the municipality of Fortín, located in the central zone of the state of Veracruz
which is part of the socioeconomic region of the High Mountains. It limits to the
north with the municipalities of Chocamán and Tomatlán, to the northeast with
Ixhuatlán del Café, to the east with Córdoba, and to the west with Naranjal,
Ixtaczoquitlán, Atzacan, and La Perla (Fig. 1) (Gobierno del Estado de Veracruz
2020).
To obtain the data, a methodological process was carried out (Fig. 2), starting with
a diagnosis of different current public policy instruments in the areas of tourism and
agriculture at the municipal, state, and national levels. Then, a spatial analysis was
realized to have a comprehensive vision of the territory related to the resources that
Fortín can enhance to undertake the agritourism practice and what aspects should be
improved to provide quality products and services which satisfy the needs of the
Fig. 1 Localization of Fortín. Source: own elaboration with data from Veracruz Topographic
Information (INEGI 2019)
Fig. 2 Methodological process. Source: MINCETUR (2018); Alcalá and López (2017); Pulgarín-
Franco (2019)
agritourism visitors. The spatial analysis is utilized to examine distributions through

the identification of their global and local structure, reasoning these structures by
their spatial relationship with other distributions, using quantitative data and math-
ematical language to reach spatial laws and theories (Alijani 2015).
In tourism, spatial analysis is a tool to discover various important characteristics
for planning, decision-making, and tourism development. Some studies have used
this tool for different purposes, such as the creation of clusters to organize tourism
activity (Hajilo et al. 2017; Roman et al. 2020), ex ante evaluation using a multiscale
approach (Kieffer and Burgos 2015), valorization of certain aspects of the landscape
through the analysis of satellite images (Kaswanto 2015), evaluation of the potential
of tourism (González-Ramiro et al. 2016; Alcalá and López 2017; Romão and Saito
2017), and knowing the effects of tourism development in a neighborhood structure
at the spatial level (Naranpanawa et al. 2019), among others.
Therefore, the study developed by Alcalá and López (2017) in the citrus region of
Nuevo León was used as a methodological guide to making the spatial analysis.
Based on field trips, tourist inventory was organized according to the MINCETUR
methodology (2018) and georeferencing; the points that made up the different layers
that constitute the final map of areas with agritourism potential of Fortín were
obtained. Moreover, the main results by localities (ITER) of the National Institute
of Statistics, Geography and Informatics (INEGI) (2010) and the vector data set of
the INEGI Land Use and Vegetation Chart (2013) were used. The attributes analyzed
in this study for spatial analysis are (1) basic services, (2) tourist services, (3) tourist
attractions, (4) agricultural points of interest, and (5) accessibility.
In the maps realization, the free access software QGIS 2.18.16 was used through
the heat map tools to generate maps with different attributes (basic services, tourist
services, tourist attractions, points of agricultural interest, and potential areas for
agritourism) and Qneat 3 (accessibility) taking as maximum access duration of
20 minutes of transfer. For the heat maps, the following color categorization was
used by point concentration: red (very high), orange (high), yellow (medium), green
(low), and blue (very low). A heat map is a graphic tool that uses variations in color
hue to show the progressivity intensity of the phenomenon studied (Meneses et al.
2019). In this sense, the heat map resource allows the visualization of point density,
while Qneat 3 allows making an iso-area by interpolation, generating a raster layer of
distance. Interpolation is called obtaining new points starting from the knowledge of
a set of points.
Likewise, the realization of focus group discussions was directed to different
audiences ((1) community members and producers, (2) tourism entrepreneurs, and
(3) municipal authorities); the points of view of these 20 key actors were obtained to
know their position, comments, and contributions which can enrich the design of a
public policy proposal around the agritourism of Fortín. According to Escobar and
Bonilla-Jiménez (2017), focus groups are a data collection technique through a semi-
structured group interview, taking as a central axis a topic designated by the
researcher. Its main objective is to create a suitable space where attitudes, opinions,
beliefs, experiences, and reactions arise among the people who participate.
In addition to this, the results were analyzed using the Vester matrix, which allows
exposing the possible causes of a problem situation in a community, company,
region, etc. (Rodriguez 2020). Vester matrix allows the main problems to be refined
by assigning a categorical value according to the preponderance of each problem,
building a coordinate axis that allows dealing with different situations and conflicts,
facilitating decision-making (Ullauri et al. 2018).
This study takes as a guide the proposal of Pulgarín-Franco (2019) in a study on
environmental public policy guidelines regarding water management in the munic-
ipality of Filandia, Department of Quindío in Colombia, which uses the Vester
matrix to present the guidelines of the public policy taking the base information
from conducting focus groups with local actors such as teachers, citizens, environ-
mentalists, and local authorities.
Public Policies Diagnosis
For this diagnosis, taken into account were regulations, strategies, programs, and
plans at different levels (national, state, and municipal) that directly or indirectly
influence agritourism in Fortín (Table 1). The purpose of this diagnosis was to know
the reality of public policy management concerning rural tourism, especially agri-
tourism, and thus be able to make public policy guidelines to improve these actions
and/or starvation of different actors to this tourist activity in the area.
Table 1 Objectives of current public policy instruments about agritourism in Fortín. Source: own
elaboration through cited documents
Public policies tools Year Objectives
Sustainable Tourism 2020 Contribute to tourism activity in Mexico in compliance
Strategy 2030 with the 2030 Sustainable Development Goals
Mexico Reborn 2020–2024 Create a new generation of tourist circuits of social
Sustainable Strategy welfare, harmony with nature, and the integral
development of the localities
Veracruz State Tourism 2010 (last I. Establish public policies on tourism in the State
Law reform) II. Establish the general bases of coordination between
the Federal Executive, the State, and the City Councils,
on the concurrent powers established in the General
Tourism Law, as well as increase the participation of the
social and private sectors of the State in tourism activity
Tourism General Law 2015 (last II. Establish the general bases of coordination of the
reform) concurrent powers between the Federal Executive,
States, Municipalities, and the Federal District, as well
as the participation of the social and private sectors
II. Establish the bases for policy, planning, and
programming throughout the national territory of
tourist activity, under the criteria of social benefit,
sustainability, competitiveness, and balanced
development of the States, Municipalities, and the
Federal District, in the short, medium, and long term
Agrarian Law 2018 (last Promote the comprehensive and equitable development
reform) of the rural sector by promoting productive activities
and social actions to increase the well-being of the
population and their participation in national life
Sustainable Rural 2012 (last Promote the sustainable rural development of the
Development Law reform) country, promote an adequate environment, and
guarantee the leadership of the State and its role in
promoting equity
Municipal 2018–2021 Have a legal instrument that allows the current
Development Plan of administration to publicize Fortín’s diagnosis and
Fortín establish the objectives and strategies that make it
possible to develop actions aimed at improving the
conditions of its municipality and the local people
during its government
Veracruz Development 2019–2024 The welfare of the public, the private, and the social are
Plan aspects that will be addressed through the specific
programs of the different secretariats, belonging to the
public administration of the government of Veracruz
Concurrent Special 2020–2024 Generate and diversify employment and guarantee the
Program for well-being of the peasant population and their
Sustainable Rural participation and incorporation into national
Development development, giving priority to areas of high and very
high marginalization and to economically and socially
weak populations
Program for the 2021 Contribute to self-sufficiency and food security by
Promotion of increasing the productivity of agriculture, livestock,
Agriculture, Livestock, fishing, and aquaculture, through sustainable practices,
(continued)
Table 1 (continued)
Public policies tools Year Objectives
Fishing and the development of regional value chains, and
Aquaculture generating the conditions of equality necessary for
territorial development with inclusion and social justice
General Tourist 2019 Explain the steps to follow for the formulation and
Planning Program of implementation of the General Tourist Planning of the
the Territory Territory with characteristics of sustainability and
territorial inclusion, aimed at generating synergistic
processes and management, with sectoral
co-responsibility and participation
Production for 2021 I. Achieve food self-sufficiency through increased
Wellbeing Program of production and productivity in agriculture, livestock,
the Ministry of and aquaculture
Agriculture and Rural II. Contribute to the well-being of the rural population
Development by including historically excluded producers in rural
and coastal productive activities, taking advantage of
the potential of local territories and markets
III. Increase sustainable production practices in the
agricultural and aquaculture-fishing sectors in the face
of agroclimatic risks
Tourism Sector 2020–2024 Transform the tourism sector and strengthen
Program collaboration and co-responsibility schemes; strengthen
competitive advantages; establish mechanisms to
facilitate financing and public and private investment;
and promote tourism to contribute to the diversification
of markets
Municipal Tourism 2011–2013 I. Establish public tourism policies in the municipality
Regulation II. Establish the general bases of coordination between
the Federal Executive and the City Council, on the
concurrent powers established in the Tourism Law of
the State of Veracruz
It is important to reflect on the conceptualization of the agrarian and tourism laws.

Even though several reforms have been made over the years of these laws, they still
need to be aligned with the concept of New Rurality, which is a transdisciplinary
concept product of the transformations of socioeconomic and technological aspects
that have contributed to the transformation and modernization of agriculture, spatial
relations, and social relations that have conceived a profound change in the way of
visualizing the rural, which already it cannot be defined exclusively for being the
antithesis of the urban (Varisco 2016). Rural space was previously only associated
with practices related to agriculture; today, there is a global vision that opens up new
functions within the framework of diversification and multifunctionality of rural
landscapes where other activities such as handicrafts, commerce, fishing, and tour-
ism can perfectly develop in rural areas (Thomé-Ortíz 2015; Reyes-Aguilar et al.
2019).
This is how the new rural spaces must embrace the concept of landscape
multifunctionality, which refers to the provision of multiple ecosystem services
offered by a landscape (Stürck and Verburg 2017). It should be pointed out that
multifunctionality is a component of great importance in sustainability because
through the dynamics of the rural landscape, its different functions can be of mutual
benefit. In this context, we can mention the economic contribution generated by the
agrobiodiversity of the landscape to rural entrepreneurs; in addition, it promotes the
ecological sustainability of the local territory (Bohátová et al. 2016).
The General Tourism Law has not mention tourism modalities such as nature
tourism, rural tourism, and agritourism; however, the Agrarian Law has not indicated
the concept of diversification or tourist activity as a complement to agricultural
activities. Unfortunately, this approach restricts rural space as a place of food
production for cities (Kieffe 2018). Some of the initiatives aimed at agricultural
production in rural areas are the Production for Welfare Program and the Program for
the Promotion of Agriculture, Livestock, Fisheries and Aquaculture. The first of
them is focused on strengthening food security and general living conditions in rural
areas through self-sufficiency in the production of basic foods and inputs, machinery,
and equipment for agricultural work, while the second seeks to achieve equal
conditions in agricultural, fisheries, and aquaculture development. However, the
agricultural promotion policy mostly favors solvent producers, leaving aside peasant
family agriculture, thus excluding the most vulnerable populations and those with
the greatest social backwardness (Oliver and Santos 2017).
The Tourism Sector Program (which stems from the National Tourism Strategy)
seeks to support high-impact infrastructure projects to integrate the southeast of the
nation into tourism activity and achieve an economic and social balance, in addition
to diversifying tourism markets and promoting tourism through the development of
macroregions (Castañeda et al. 2020). The Mayan Train project is the most emblem-
atic and controversial initiative within the tourism planning of the current govern-
ment. Its purpose is to interconnect the most important tourist cities in the state of
Yucatan to somehow decentralize tourism activity (Torrez et al. 2020). Despite this,
there is discontent among various sectors of society in terms of the benefits of this
project because it will threaten the health of ecosystems and negatively impact the
social aspects of the surrounding communities (Valenzuela 2019; Castañeda et al.
2020).
Regarding sustainability, the Sustainable Rural Development Law contemplates
the diversification of activities and non-agricultural employment as part of the
development of rural space and seeks in general terms to regulate the planning and
organization of agricultural production and its industrialization and commercializa-
tion (DOF 2012). In this sense, there is the Concurrent Special Program for Sustain-
able Rural Development of the Ministry of Agriculture, Livestock, Rural
Development, Fisheries and Food (SAGARPA) that integrates various public poli-
cies by type of producer, but despite this, family farming in Mexico it is disadvan-
taged since there is a preference in public policies focused on agribusiness and
producers who have larger surfaces (Chapela et al. 2015; Oliver and Santos 2017).
Likewise, a large part of the resources allocated to rural areas are focused on
combating poverty and not on promoting productive activities or the conservation
of biodiversity, giving way to a vicious circle through paternalism (Oliver and Santos
2017; Sámano 2017).
Already about tourism issues, the government has the Sustainable Tourism
Strategy 2030, Mexico Reborn Sustainable Strategy, the Empowerment Project for
Sustainable Tourism Entrepreneurship, the Sustainable Tourism Development
Zones, and the General Tourism Planning Program of the Territory, among others
initiatives. These actions seek to contribute to the fulfillment of the Sustainable
Development Goals (SDGs), specifically to the following objectives:
• Goal 4 (Ensure inclusive and equitable quality education and promote lifelong
learning opportunities for all).
• Goal 9 (Build resilient infrastructure, promote inclusive and sustainable industri-
alization and foster innovation).
• Goal 10 (Reduce inequality within and between countries).
• Goal 11 (Make cities and human settlements inclusive, safe, resilient and
sustainable).
• Goal 13 (Take urgent action to combat climate change and its effects).
• Goal 14 (Conserve and sustainably use the oceans, seas and marine resources for
sustainable development).
• Goal 15 (Promote the sustainable use of terrestrial ecosystems, combat desertifi-
cation, halt and reverse land degradation and halt the loss of biological diversity).
• Goal 16 (Promote peaceful and inclusive societies for sustainable development,
provide access to justice for all and build effective, accountable and inclusive
institutions at all levels).
• Goal 17 (Strengthen the means of implementation and revitalize the Global
Partnership for Sustainable Development) (United Nations/ECLAC 2016; Gov-
ernment of Mexico 2021).
Despite the implementation of this series of programs, regulations, and projects,

in general, public policies in Mexico suffer from being ignored; this is also the reality
in tourist issues only to comply with the regulations. The natural resources of tourist
destinations are under great pressure, and it is imperative to have effective territorial
ecological planning. In addition, there is the problem of the rural exodus towards the
great tourist destinations that do not provide the conditions for a decent life and
where marginalized areas are formed where their inhabitants do not have the
necessary basic services, making tourism sustainability a difficult factor to achieve
(Avilez et al. 2019) and transgressing the culture of the areas of origin of the workers
(Fernández et al. 2020).
Concerning rural tourism, said tourist modality is not part of the priority axes of
public policy for rural development in Mexico. Despite this, various community
initiatives have been able to make their way into the tourism market through the
mobilization of local actors and the formation of work networks that have promoted
the revitalization of the localities, benefiting in various aspects such as strengthening
infrastructure/equipment and social capital supporting the conservation of the natural
and cultural landscape (Sandoval et al. 2017). The reality is based on a Mexican
tourism public policy that focuses on promoting sun and beach tourism proposals
through the Integrally Planned Centers (CIPs) of the National Tourism Fund
(FONATUR), which represent about 80% of the tourism activity in the country
(Avilez et al. 2019).
Regarding tourism in Veracruz, during the last state governments, similar
formulas have been proposed with a few results. The tourism policy planning is
based on providing a diverse and sustainable tourism that provides benefits to the
inhabitants of the state. Nevertheless, in practice, everything is different because
public policy has directed its efforts to support initiatives other than alternative and
sustainable tourism, leaving aside the common benefit (Vargas 2020). In this
context, in Fortín tourism is not a priority sector in its Municipal Development
Plan, having other sectors as priorities. Most of the municipal government’s efforts
to strengthen tourism are directed towards tourism that takes place in the municipal
capital.
Spatial Analysis
Basic Services
For the infrastructure of basic services, the localities that had electricity, water,
drainage, and Internet coverage were selected. The data was obtained from the
Main Results by Locality ITER (INEGI) 2010, to know those population centers
that could develop or strengthen a tourist plant of accommodation, food, and other
services for visitors. The municipality of Fortín has 59,761 inhabitants, 67 localities,
and 19,806 homes; 13,931 of these homes have electricity, piped water in the public
network, and drainage; and only 3394 have Internet access (INEGI 2010). It is
important to highlight that for the coordination of a development strategy based on
tourism, basic infrastructure is required for the establishment of a basic and quality
offer that can satisfy the needs of visitors (Blanco et al. 2015).
The rural space is mostly characterized by a weak basic infrastructure that is
inadequate to provide a decent life for its inhabitants, which leads to a degradation of
resources such as soil, water, and air (Mihai and Iatu 2020). In this sense, we can
mention the case of rural communities in Russia and Kazakhstan where the situation
has not changed despite the declarations of interest and policies exposed by the
authorities (Wendt et al. 2021). Strengthening the presence of the basic services
necessary to carry out tourist practices in rural areas is an element considered in
recent years in public policies, especially at regional level (Giaccio 2018), despite
the measures that have been truly put into practice. Therefore, the infrastructure
development for agritourism in rural areas can help to improve basic services which
can be also available to the population of the area.
The localities of Fortín that showed the highest percentages according to the
presence of these basic services were the following:
Fig. 3 Density map of basic services. Source: own elaboration with data from Veracruz Topo-
graphical Information (INEGI, 2019)
Electricity, piped water, and drainage: Fortín de las Flores (36%), Santa Cecilia
(21%), and Monte Blanco (11%).
Internet service: Fortín de las Flores (41%) and Santa Leticia (23%) (Fig. 3).
These results broadly coincide with those showed by Álcala and López (2017),
determining that urban areas and highways act as poles and axes of concentration of
these basic services.
Tourist Services
Tourist services are those that contribute directly or indirectly to tourist activity such
as restaurants, cafeterias, dining rooms, and other food and beverage outlets, as well
as places of lodging and places of recreation (MINCETUR 2018). The spatial
analysis carried out in Fortín showed that the highest concentration of tourist
services for tourism is located in the head of the municipality, Fortín de las Flores,
with 78 percent (Fig. 4).
According to Galmarini (2016), tourist services can generate positive economic
dynamics. The start-up of businesses of this nature can mean an increase in the
number of investments, improvements in quality, and better organization of the
products offered. However, in many contexts of rural tourism, the necessary support
Fig. 4 Density map of tourist services. Source: own elaboration with data from Veracruz Topo-
graphical Information (INEGI 2019)
for tourist services is not available. In this sense, Reyes et al. (2012) determine an
index of tourist potential in the Huasteca Potosina; as part of their results, they point
out that the Huasteca has an important offer of majestic places for the practice of
tourism, but it lacks services that ensure a more dynamic tourism activity. In Fortín,
it is necessary to carry out a better distribution of tourist services to enable visitors to
have access to a quality tourist experience in other parts of the municipality; this
improvement in distribution would mean a long-term investment, so a short-term
solution would be to strengthen the public transport network (Park et al. 2020).
Tourist Attractions
The highest concentration of tourist attractions was found in Fortín de las Flores
(40%), Coapichapan (30%), and Monte Blanco (20%) (Fig. 5). There is a similarity
with Álcala and López (2017) where the municipality of Montemorelos (the most
developed in the citrus zone of Nuevo León) concentrates 35 percent of the resources
of tourist interest in region, seconded by Linares with 24 percent. It is pertinent to
clarify that the study of the citrus zone analyzed municipalities as its territorial units
of interest, instead in the present study were used localities.
In a study carried out by Galmarini (2016) in the Partido de Lobos, province of
Buenos Aires, Argentina, the authors state that there are various attractions to
develop rural tourism in the area. Despite this, they maintain that the local
Fig. 5 Density map of the tourist attractions of Fortín. Source: own elaboration with data from
Veracruz Topographical Information (INEGI 2019)
government must carry out actions around the promotion of the activity through
combined policies for the promotion of local entrepreneurship.
Among the tourist attractions of Fortín (Fig. 6), we can mention the 7 Lunas
Agroecological Coffee Farm, which offers to the visitors explanatory tours of coffee
and has a cafeteria, a camping area, a nature trail that culminates in the Metlac River,
and a tourist cabin; the Metlac canyon, which is a protected natural area, and its
relevant tourist visitation site is the so-called Corazón del Metlac, which has a picnic
zone next to the Metlac River; the Tule lagoon, which is located in the Monte Blanco
congregation and is surrounded by natural vegetation and crops such as sugar cane;
the Tatsugoro Museum, which has an interesting collection of bonsai which,
according to Relf and Close (2020), is an ancient art form originating from the
Asian continent which seeks to imitate, in miniature, the semblance of an old tree in
nature; and the San Juan hill, where visitors can practice paragliding.
Agricultural Sites of Interest
In Fortín, the coffee- and banana-growing areas stand out in Monte Salas; ornamen-
tal nurseries in Villa Unión and Monte Blanco; and Floricultores Park and the
sugarcane area of Monte Blanco (Fig. 7). There exists a great tradition around
these crops with a historical and cultural legacy that can also be an important
complement to the agritourism activity.
Fig. 6 Tourist attractions of Fortín. (a) 7 Lunas Agroecological Coffee Farm; (b) Metlac canyon;
(c) Tule lagoon; (d) Tatsugoro Museum; and (e) San Juan hill. Source: first author
A study on the analysis of agritourism potential carried out in the municipality of

Cuitláhuac, Veracruz, by Alejandre-Castellanos et al. (2020) indicates that different
agricultural assets are conducive to the agritourism practice, such as animal man-
agement ranches, Persian lemon packers, and aquaculture centers. The authors
indicate that the municipality of Cuitláhuac has enough agricultural activities to
develop a full agritourism experience, but if all this is integrated with the traditional
tourism made up of recreation places, natural attractions, cultural traditions, patron
saint festivities, and gastronomic products, there are greater chances of developing
successful projects and programs to encourage tourism. In addition, Álcala and
López (2017) indicate that citriculture in Nuevo León has influenced the territorial
configuration, culture, and economy of the state, forming an attractive landscape on
the development of an agritourism activity complemented by natural resources (the
Sierra Madre Oriental, the rivers of the plains) and social (architecture, gastronomy,
patron saint festivities, etc.).
Fig. 7 Density map of agricultural sites of interest in Fortín. Source: own elaboration with data
from Veracruz Topographical Information (INEGI 2019)
Accessibility
Having a good location and easy access is one of the issues that tourists give the most
importance when choosing which tourist attraction to visit. It is a preponderant
element to determine the quality of tourist destinations and is also taken into account
by tourists who use digital platforms such as Tripadvisor to evaluate the places they
visit (Mondo and Fiates 2016). Therefore, the analysis of accessibility is essential to
understand the dynamics of a rural tourist destination, which specifically seeks to
provide the visitor with a diverse experience of daily life in city environments.
According to the analysis carried out, the area with the best accessibility in Fortín
is the polygon between the towns of Fortín de las Flores, Santa Leticia, San Marcial,
and Monte Blanco. This is because they are the most important urban centers in the
municipality and therefore have road structures that link the municipalities of
Córdoba and Fortín (Fig. 8).
Agritourism Potential Zones
By integrating all the layers according to the attributes analyzed for the formation of
a single map, the areas with the greatest agritourism potential turned out to be Fortín
de las Flores, Camino a Tlacotengo, and San Marcial (Fig. 9). A coincidence is
Fig. 8 Accessibility map of Fortín. Source: own elaboration with data from Veracruz Topograph-
ical Information (INEGI 2019)
Fig. 9 Agritourism potential zones in Fortín. Source: own elaboration with data from Veracruz
Topographical Information (INEGI, 2019)
registered with the results of study developed in the citrus zone of Nuevo León,
where the authors indicate that it is the urban zones that have the possibility of
developing tourism in the short term because these localities have the necessary
resources to sustain a tourist activity (Álcala and López 2017). Therefore, the
combination of agritourism activities with traditional tourism has the potential to
trigger local development (Alejandre-Castellanes et al. 2020).
Rural tourism can be a complement to agricultural activities or an alternative for
local development in rural areas, always emphasizing that it is not an activity that
seeks to displace the traditional work of the rural world, because tourism is a
seasonal and not permanent activity (Méndez-Méndez et al. 2018). This is how the
concept of rurality has been changing and is no longer strictly associated with
traditional activities in the countryside, but rather opens up to other activities such
as beekeeping, tourism, aquaculture, and forest rangers, among others (Guzmán-
Hernández et al. 2019).
Vester Matrix
The participation of local actors is essential in the development of tourism projects

(Méndez et al. 2016). If there is no proper participation of the communities’
population, this can represent a weakness for the territory and a barrier to tourism
development. Therefore, the opinion of local actors is taken into account through
focus groups; we proceed to organize and classify the problems identified according
to their relevance in the Vester matrix as follows: (1) It is not a cause, (2) weak cause,
(3) medium cause, (4) strong cause, and (5) very strong cause (Table 2).
With the formation of this matrix, we proceed to determine the causes, central
problems, and effects of the situation studied. To establish the causes, the highest
driving variables and the highest dependent variables are considered. Then, to
determine the central problems, the highest driving and dependent variables are
considered. Finally, for the effects, the highest motor and dependent variables were
considered (Fig. 10).
Proposal of Public Policy Guidelines for Agritourism in Fortín
Having identified the different factors that allow knowing the characteristics of the
study problem, we proceed to establish the objectives and guidelines of the public
policy for the development of agritourism in Fortín, taking into account the results of
the diagnosis of public policies and the spatial and focus groups analysis. So, the
objectives are the following:
• General objective: Develop a proposal of public policy guidelines for agritourism

entrepreneurships in the municipality of Fortín, Veracruz, Mexico.
• Specific objectives.
Table 2 Vester matrix. Source: own elaboration
Motor
skills
P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 P11 P12 P13 (X axis)
P1. Almost zero tourist mobility (pandemic effect) X 3 5 5 5 2 1 3 1 1 3 4 3 36
P2. Weak tourist infrastructure 4 X 5 2 1 3 1 1 1 1 5 4 2 30
P3. Lack of support for the tourism sector 3 5 X 5 3 3 1 1 1 3 5 4 5 39
P4. Lack of tourism promotion 3 2 5 X 2 3 1 1 1 1 5 3 2 29
P5. Lack of safety and security 3 3 1 3 X 4 1 1 2 4 5 4 1 32
P6. Lack of regulatory frameworks 4 3 4 4 4 X 4 3 3 3 4 5 4 45
P7. Lack of agricultural technical assistance and support 2 1 1 2 1 5 X 2 3 3 5 4 5 34
P8. Little interest of producers to work as a team 1 1 2 1 1 2 4 X 3 3 3 3 4 28
P9. Low prices for agricultural products 1 1 1 1 1 2 3 2 X 2 4 2 2 22
P10. Producer’s sons migration 2 1 2 1 4 2 4 3 5 X 3 3 2 32
P11. Mismanagement of funds from government 3 5 5 5 4 3 5 3 4 4 X 4 5 50
agencies.
P12. Little interest from the municipal government 2 4 3 4 4 4 4 3 3 3 5 X 4 43
P13. Lack of training 1 2 5 1 1 4 5 4 4 3 5 4 X 39
Dependents (Y axis) 29 31 39 34 31 37 34 27 31 31 52 44 39
Fig. 10 Causes, central problems, and effects. Source: own elaboration from the Vester matrix
• Objective 1. Coordinate public policy guidelines for the promotion of agritourism

entrepreneurships with the representation of civil society, government authorities,
and academia.
• Objective 2. Promote the development of activities in the agricultural sector
within the framework of multifunctionality and sustainability.
• Objective 3. Encourage producer families to venture into the practice of
agritourism.
• Objective 4. Provide constant support to entrepreneurs in agritourism.
• Objective 5. Implement actions to rescue the tourism activity in Fortín.
• Objective 6. Establish a reliable system of transparency of municipal government
funds.
• Objective 7. Promote a participatory environment and opinion so that civil society
expresses itself around agritourism issues at the municipal level.
• Objective 8. Rescue and conserve the biodiversity of the municipality.
• Objective 9. Improve technical assistance in tourism and agriculture.
In this way, the following public policy guidelines regarding agritourism are
established (Fig. 11). In addition, their corresponding lines of action emerge from
the guidelines (Fig. 12).
It should be noted that sustainable agriculture is an important pillar within this
policy proposal. If the agricultural sector is promoted, there are greater chances of
developing agritourism. Thus, around the world, various experiences of incentive
policies for agriculture have meant an upturn in agritourism activity. In this sense, we
can mention the case of Italy in the application of the Common Agricultural Policy
of the European Economic Community, where producers receive financial funds and
Fig. 11 Agritourism public policy proposal. Adapted from Pulgarín-Franco (2019)
subsidies. A study by Galluzzo (2017) indicates that the higher the level of income of
the producers, the higher the level of development of agritourism. In addition to this,
if agritourism ventures become detached from the activities of a farm, there may be a
risk of negatively impacting the natural environment, the landscape, and other
elements of the environment in rural areas, generating an unwanted effect on
agritourism demand (Fleischer et al. 2018). Likewise, an emphasis is placed on the
educational component to help sensitize the local population to the commitment to
sustainable development based on activities such as agriculture and agritourism
(Jenkins 2014).
Therefore, agritourism can be considered a true local development strategy as
long as the public policy takes into account small producers as the managers of
tourism activity, in a framework of non-mass tourism to find a balance between the
use of natural resources for the benefit of society and the conservation of biodiversity
(Meave and Lugo-Morín 2016). In this sense, the public policy proposal of this study
is mainly aimed at benefiting small producers in rural areas of Fortín.
Conclusion
This study presents a proposal for public policy guidelines to promote agritourism
development in Fortín, Veracruz, through a diagnosis of public policies, a spatial
analysis of said municipality, and the incorporation of the opinions of local actors
through focus groups. It was evidenced that there is an interest in the agritourism
activity, but local actors who want to start ventures or continue to grow in said activity
do not have sufficient technical assistance and support from the authorities. In addition
to this, there are no policies that promote this subsector in the municipal territory.
Likewise, rural tourism policies and planning cannot be established through
municipal borders but must be open to working together through regional cooper-
ation. In this sense, the Fortín agritourism must be able to insert itself into regional
Fig. 12 Public policies guidelines for agritourism. Source: own elaboration
platforms and make alliances with adjacent municipalities such as the municipality
of Ixtaczoquitlán, which has the Metlac canyon as a natural barrier that separates it
from Fortín.
As a result of the COVID-19 pandemic, the tourist flow in Fortín is practically nil,
and no strategies have been carried out to mitigate the effects caused by this low
tourist demand. Therefore, the current situation represents an opportunity for the
reinvention of tourism in Fortín and that a space can be given to the development of
tourism in rural areas, having as a priority to offer a higher-quality service, the
maintenance of the attractions, and the safety in said spaces. Agritourism is a very
suitable alternative due to the history of Fortín associated with agriculture and its
different agricultural landscapes that have their resources to be incorporated into the
framework of multifunctionality, where visitors can participate in educational and
recreational activities.
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Tiro en Braille, Inclusive Mexican Sport
Initiative: Development and Peace
Movement and the Sustainable
Development Goals
Daniel Añorve Añorve
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1480
The Rise of Two Global Agendas (the MDGs and the SDGs) and the SDP Global
Movement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1481
The MDGs and the SDGs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1481
The SDP Movement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1482
SDGs and SDP at the Crossroads: Limitations and Possibilities . . . . . . . . . . . . . . . . . . . . . . . . . . 1484
The Globalization and Embedding of the SDGs and SDP Initiatives: The Analysis of
Organizations/Initiatives in the Sportanddev.org Platform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1486
The Need to Glocalize SDG and SDP in Societies: The Necessity of Embedding Both
Agendas/Movements in Local Realities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1486
Sportanddev.org: Connecting the SDG and SDP in a Global Platform . . . . . . . . . . . . . . . . . . . 1488
Tiro en Braille: The development of an Inclusive Methodology Aligned with the SDGs
as well as Domestic Needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1497
Braille Shot: Not Your Typical SDP Initiative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1497
Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1501
Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1502
The Appeal of Braille Shot, Especially in Covid Times . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1508
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1509
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1510
Abstract
The Sport for Development and Peace (SDP) movement and the Sustainable
Development Goals (SDGs) were developed in the early years of the twenty-first
century. The 2030 Agenda has given sport a marginal role in the fulfillment of the
SDGs. Miscellaneous resources, including SDP platforms, have proliferated as
well. The SDP platform – Sportandev.org – containing over 1000 initiatives
D. Añorve Añorve (*)

Department of Government and Political Studies, Universidad de Guanajuato in Guanajuato,
Guanajuato, Mexico
e-mail: danorve@ugto.mx

https://doi.org/10.1007/978-3-031-16017-2_13
1480 D. Añorve Añorve
worldwide documents a growing awareness of the SDGs. The review of many of

such initiatives reveals that the commitment to the SDGs is more rhetorical than
factual. At a midsize state university in Guanajuato, in Mexico, a methodology
was conceived to purposefully design a truly inclusive sporting activity, aligned
with the spirit of the 2030 Agenda and with at least six SDGs (3, 4, 5, 10, 16, 17).
The methodology paved the way for the creation of a groundbreaking SDP
organization, which aims at effectively bridging and delivering results between
the SDP movement and six of the SDGs. Tiro en Braille (Braille Shot) method-
ology is based on three components: (1) teaching/learning, (2) research involving
professors and students working together in an equal and balanced partnership,
and (3) the design of truly inclusive sporting activities under the plus sport
approach to SDP. Tiro en Braille is also a sporting activity, 100% designed by
university students, inspired by a pre-Columbian game/sport (SDG 4), which
aims to activate normally sedentary students (SDG 3), with the equal participation
of women and men (SDG 5), in an activity designed to be played in an all-ability
format (SDG 10), with the purpose of strengthening democratic values and
principles (SDG 16), and with the co-participation of different stakeholders,
such as universities as well as small and midsize local enterprises (SDG 17).
The end “goal” is to design, to assess, and to share a groundbreaking initiative,
suitable to replicate around the Americas and the Caribbean Region.
Keywords
Sport for Development and Peace (SDP) · Sustainable Development Goals
(SDGs) · University-based initiative · Inclusive sport · Empowerment · Mexico
Introduction
The Sport for Development and Peace (SDP) movement and the Sustainable Devel-
opment Goals (SDGs) were developed in the early years of the twenty-first century.
The two milestones have erased national borders and have become more than just
international initiatives promoted solely by national governments (Hatton 2015).
The SDP and the SDGs bring into play truly transnational and global actors,
agendas, interests, and resources that try to tackle some of the most pressing issues
that humankind faces at the beginning of the twenty-first century (Giulianotti et al.
2019). Both movements and agendas are complex in the sense that they tackle
diverse global concerns. In the case of the SDGs, within the 2030 Agenda, there
are three core components: the planet, the economy, and the people. Not having such
a precise mandate, the SDP tends to target the suffering, vulnerable, marginalized
segments of the world population: the homeless, the refugees, ex combatants,
women, girls, handicapped, minorities, and the urban poor, just to name a few
(Añorve 2021a). All in all, the underlying starting point is the same: problems;
whether they are of an economic, social, political, or environmental character, these
Tiro en Braille, Inclusive Mexican Sport Initiative: Development and. . . 1481
problems cannot be solved by individual states, regional groups of states, or national

governments (Dudfield 2019), as all stakeholders rely on the cooperation and
enthusiastic participation of non-state actors and interests.
Given the scope of this work, i.e., to study the intertwining of the SDP movement
and the global agendas that have arisen within the United Nations in the twenty-first
century, through the analysis of initiatives and/or organizations contained within the
leading SDP global platform, this chapter is divided into three main headings, each
of them having its own subheadings. The first general section deals with the
evolution of the MDGs and its conversion into the SDGs, as well as the development
of sport into the SDP global movement. This first section analyzes how the SDGs
and the SDP meet at the crossroads. The second section analyzes how the SDGs and
SDP initiatives globalized while embedding the agendas/movements. This global-
ized concretion and embedding is analyzed mainly through a revision of organiza-
tions and initiatives contained in the Sportanddev.org platform, a well-known SDP
global platform. Finally, the third section studies thoroughly the specific Tiro en
Braille (from now on referred as the Mexican inclusive SDP organization) experi-
ence, an inclusive university-based Mexican initiative aligned with the SDGs as well
as domestic needs. The third section also reviews the results of the Mexican
inclusive SDP organization during the design stage.
Three goals orient the chapter: (1) to map at a global level the organizations
within Sportanddev.org that are connected to the 2030 Agenda/SDGs; (2) to identify
and analyze the content and reach of SDP organizations within Latin America and
the Caribbean that take into account the SDGs, especially those that have developed
innovative methodologies; and (3) to compare and identify the unique features of the
Mexican inclusive SDP organization methodology vis-à-vis other national and
regional organizations.
The Rise of Two Global Agendas (the MDGs and the SDGs)
and the SDP Global Movement
The MDGs and the SDGs
Although the focus of this chapter is on the SDGs, it is worth to analyze briefly some
basic tenets of the Millennium Development Goals (MDGs) as well as to identify the
role that sport had within the MDGs’ agenda.
The MDGs claim some achievements in reaching specific targets: 1.A (people
living under extreme poverty), 3.A (gender disparity at all educational levels), 6.C
(incidence of malaria and TB), and 7.C (sustainable access to safe drinking water)
(Ritchie and Roser 2018). However, the shortcomings and limitations of the MDGs
seem greater than its success stories.
Fehling et al. (2013) show a list of critiques that experts and practitioners have
made about the MDGs. Some concerns relate to its design from the very beginning.
The problem lies in the fact that a few country actors, whose choice of goals only
marginally involved actors from developing countries, led the MDGs. Moreover,
Fehling et al. (2013: 1118) argue that the MDGs “are too simplistic, unachievable
and have too much of a managerial approach.” Even more than that, the eight
proposed goals show very little interconnections, plus they demonstrate a North-
South approach. On top of that, Fehling et al. (2013) conclude that the MDGs tended
to overlook the national and regional needs/interests of actors and countries on the
receiving end.
The Millennium Declaration briefly mentions sport in the second part, i.e., peace,
security, and disarmament. Specifically, numeral 10 states, “10. We urge Member
States to observe the Olympic Truce, individually and collectively, now and in the
future, and to support the International Olympic Committee in its efforts to promote
peace and human understanding through sport and the Olympic Ideal” (UNGA
2000). However, the MDGs do not mention sport at all.
Although one may think that the SDGs are the natural continuation and extension
of the MDGs, there are a few key differences. For example, the MDGs sought to
overcome extreme poverty, but the SDGs were designed as a broader plan for global
action thought to have three main beneficiaries: humanity, the planet, and prosperity.
As Diouf (2019: 21) notes, “unlike the case with MDGs aimed only at developing
countries, SDGs have more universal targets,” meaning that the commitments will
not necessarily flow from North to South.
In the New Agenda section of the Declaration of the 2030 Agenda for Sustainable
Development (United Nations 2015), numeral 37 makes a specific reference to
sports:
37. Sport is also an important enabler of sustainable development. We recognize the growing
contribution of sport to the realization of development and peace in its promotion of
tolerance and respect and the contributions it makes to the empowerment of women and
of young people, individuals and communities as well as to health, education and social
inclusion objectives.
Global comprehensive agendas, such as the MDGs and the SDGs, are
complemented with theme-specific movements, such as the SDP movement, creat-
ing interesting opportunities for local/regional/global transformations.
The SDP Movement
The phenomenon known as Sport for Development and Peace has developed during
the first two decades of the twenty-first century. However, the relationship between
sport and “development” arose during the second half of the twentieth century. The
development of sport (not to be confused with the SDP movement) has a long
history. Straume and Steen-Johnsen (2010) point out that after the Second World
War, and especially during the Cold War, the development of sport initiatives was
already in place. The development of sport had, among its intentions, to exercise
influence over the then recently independent African states. The assistance from the
International Olympic Committee (IOC), through the Olympic Solidarity Program
(launched in 1971), aimed at providing financial and technical assistance so that
Third World countries’ National Olympic Committees could organize national teams
for the Olympics. The beneficiaries were elite sportsmen (athletes and coaches) as
well as the construction of high-performance venues. So, what we have today in the
form of SDP is quite different from the development of sports. The SDP world,
where aidland and peaceland come together forming what Giulianotti et al. (2019)
have coined as “Sportland,” is closely linked to two understandings of sport, either
Sport-for-All or social sport. Under these approaches, whether we refer to one or the
other, it is possible to see that the focus is not on elite sport, high-performance sport,
or professional sport, at least not in the roots of the SDP movement. It is necessary to
define what SDP is and what SDP is not in order to better understand the rest of this
chapter. The following three definitions help to narrow down what SDP is. Hatton
argues that S4D (Sport for Development) is not a type of organization, neither is it a
sector itself. It is not a long-term solution for a complex social problem. Indeed,
according to Hatton (2015: 27), “it is simply an approach or tool that can be applied
in different contexts and to different target audiences, often most effectively in
combination with other complementary activities and/or cross sector partnerships,
to help alleviate different social ‘end goals’.” The sport part diminishes, and the
social goals are maximized. Meanwhile, Giulianotti et al. (2019: 2) offer the
following definition:
SDP is a global field of activity that uses sport and physical activities as tools or areas of
social intervention, primarily with young people, to promote non sporting social goals, such
as gender empowerment, peace-building, health education, employment skills, and the social
inclusion of marginalized communities (e.g., ethnic minorities, people with disabilities, and
refugees).
As for an institutional approach to SDP, the United Nations (2003: v) states what
SDP is: “(a)ll forms of physical activity that contribute to physical fitness, mental
well-being and social interaction. These include play; recreation; organized, casual
or competitive sport; and indigenous sports or games.”
The SDP world of course is a battled concept. The wide array of converging
actors, institutions, and interests have their own expectations and understandings of
what SDP should mean and produce. At the risk of oversimplifying things, Coalter
(2007) differentiates what he considers to be the three broad approaches to sport
according to the relative emphasis, scope, and ends that sport is given. He lists the
following categories: (1) traditional forms of provision for sport, which presumes
that sport has inherent developmental properties for participants; (2) the sport plus
approach, in which sports are often adapted and/or augmented with parallel pro-
grams in order to maximize their potential to achieve developmental objectives; and
(3) the plus sport approach, in which the popularity of sports serves as a type of “fly
paper” to attract young people to programs of education and training, with the
development of sport rarely a central goal.
Whether we talk about SDP in its sport plus or plus sport dominant forms,
Añorve (2021a: 12) identifies groups/segments of both activities and/or beneficiaries
within Sportland. Añorve observes (1) the prevalence of football-centered initiatives;
(2) the dominance of North-based initiatives, driven by the agendas of the North-
based donors/funders; (3) the instrumental rationality of SDP initiatives in which
positivist, “sound-evidence,” and “results-oriented” approaches (Spaaij and
Schaillée 2021) prevail over a human rights approach; (4) the beneficiaries of
SDP, i.e., heavily marginalized sectors of the population; and (5) Western sports,
values, and practices tend to ignore sporting practices already in place (Burke 2017).
If the 2030 Agenda/SDGs is added to the analysis, then there is a sixth contradiction
observed by Añorve (2021b): there is little coherence between the SDP movement
and national agendas. Moreover, the link between the three (the SDP movement, the
national agendas, and the 2030 Agenda) is precarious at best. Often, the connection
is discursive rather than substantive. In the following subsection, the analysis aims at
connecting a well-known global agenda, i.e., the SDGs with an increasingly relevant
global movement, SDP.
SDGs and SDP at the Crossroads: Limitations and Possibilities
A superficial analysis may lead to an erroneous conclusion: the global movement,

i.e., SDP and its increasingly relevant Sportland (Giulianotti et al. 2019), has little
connection to the two highly touted global agendas of the twenty-first century, i.e.,
the Millennium Declaration/MDGs and the 2030 Agenda/SDGs. That conclusion,
however, is misleading. Institutionally, the United Nations has embraced sport as a
key ally to fulfill its own interests and goals.
Burke (2017) observes that some key events have led to a strong institutionali-
zation of sport within the UN system: (1) the decision in 2001 to set up the UN Office
on Sport for Development and Peace (UNOSDP); (2) some financing relevant
(comprehensive) studies, e.g., the Report from the UN Inter-Agency Task Force
on Sport for Development and Peace (United Nations 2003); (3) the United Nations
built bridges between Sportland and its own specific agencies, such as UNICEF;
(4) continual passing of resolutions related to sport. Burke (2017) reminds us that
since 2003, each year the United Nations issues resolutions reaffirming the commit-
ment to using sport as a vehicle for social change; (5) the work of the UN Inter-
Agency Task Force paved the way for the Sport for Development and Peace
International Working Group (SDP IWG); (6) the United Nations declared 2005 as
the International Year of Sport and Physical Education; and (7) establishing April
6 (since 2013) as the International Day for Sport Development and Peace (IDSDP).
The SDP’s institutionalization is not limited to the UN system. Although the SDP
includes a plethora of regional and national partnerships on a government level, it
also includes NGOs and the civil society, as well as private actors. It is not the
purpose of this work to provide a detailed list of all such partnerships bridging
Sportland to the 2030 Agenda and/or to the SDGs. Anyhow, it is important to

mention examples of each kind of partnership to document the growing links. On
a regional basis, the Commonwealth has given some serious consideration to sport as
a way of achieving the SDGs (The Commonwealth 2018).
On a global approach, the Sixth International Conference of Ministers and Senior
Officials Responsible for Physical Education and Sport (known as MINEPS VI),
held in Kazan, Russia (in mid-July 2017), addressed the relation between sport and
the SDGs. Among specialized sport institutions, the collaboration is broad, such as
that with FIFA and the IOC working toward 25 joint objectives set for the FIFA 2018
World Cup.
Among the regional organizations, the Oceania National Olympic Committees
and the University of the South Pacific have started to assess the socioeconomic
contributions of sport (The Commonwealth 2018: 4). Meanwhile, from an economic
perspective, the European Commission is also assessing the contributions of sports.
Among the networks, two examples are the Laureus Sport for Good, founded
under the patronage of Nelson Mandela. It is now a global network of grantee
partners and a well-known organization in the SDP world. Sportanddev.org is
another example of a network composed of different types of actors and geographic
scope. The partners include Australian Aid, Norway’s Olympic Committee, Lao
Rugby, EOSE (the European Observatoire of Sport and Employment), the Com-
monwealth, Laureus, ChildFund Sport for Development, Germany’s Federal Minis-
try for Economic Cooperation and Development, Swiss Academy for Development,
Svenska Postkod, Women Win, ITTF Foundation, the UNCHR, Foundation for
Sport and Development and Peace, and Generations for Peace.
According to a Commonwealth study undertaken with Laureus Sport for Good
Foundation (The Commonwealth 2018: 3–4), there are 9239 academic articles on the
SDP topic since 1995. However, just as it had happened with the MDGs, the SDGs
did not make a single reference to sport despite the recognition that the Declaration
gave it. Even so, the fact that sport played a marginal role, limited to the broader
preambles of both declarations (2000 and 2015), the links between sport and the two
comprehensive global agendas arising within the United Nations are evident. In the
case of the 2030 Agenda and the SDGs, it may safely be said that we have witnessed
a skyrocketing of initiatives (Cfr. Hatton 2015: 22), organizations, and academic
works dealing with the relationship between the SDGs and the world of sport.
Whereas an advanced search in the title of works (in English language) released
3 references to the MDGs and sport, the same search, with the SDGs and sport in the
title (also conducted in English language), released 29 results (as of October
4, 2021). It is worth mentioning that the results range from broad approaches
(Lindsey and Darby 2019) to the regional/sectorial approaches (Morgan et al.
2021) to specific national studies (Campillo et al. 2021; Sapkota and Neupane
2021). A broader search including both SDP and SDG in the whole document
released nearly 17,000 results in Google Scholar (in English). What is really
impressing is the geographic scope of the results. There is academic interest in the
relationship between SDP and SDGs in Eastern Europe (Svoboda and Šafaříková
2021) and in Central Africa (Niyonsenga et al. 2021). In China, Dai and Menhas
(2020) narrow the connection between the SDP world and the 2030 Agenda to the
health-related SDGs. In a more general sense, Dudfield (2019) analyzes the impli-
cations that the SDGs have for the SDP field and how the SDP-oriented policies and
interventions could impact selected SDGs and some of its associated targets.
Dudfield (2019) notes that so far, actors focusing on macro outcomes have given
priority to environmental sustainability and economic development issues while
leaving behind societal issues.
Among the thousands of SDP initiatives, Hatton (2015: 3) analyzes 14 such
initiatives that happen to be successful either from a scaling out or from a scaling
up perspective. The 14 iconic experiences are MYSA, Street League, Grassroots
Soccer, Fight for Peace, Laureus Sport for Good Foundation USA, Street Games,
British Council Sports Programme, Magic Bus, International Inspiration, Interna-
tional Sport and Culture Association, Try Rugby, Sport for Social Change Network,
Comic Relief, and Streetfootballworld.
The Globalization and Embedding of the SDGs and SDP

Initiatives: The Analysis of Organizations/Initiatives
in the Sportanddev.org Platform
As the previous subheading demonstrates, academic and institutional analyses

connecting the SDGs and the SDP movement have grown during the first two
decades of the tenty-first century. This section aims at studying how these global
agendas and trends materialize in national and subnational geographies.
The Need to Glocalize SDG and SDP in Societies: The Necessity

of Embedding Both Agendas/Movements in Local Realities
Glocalization is an interesting and helpful concept frequently used in the interna-

tional relations realm. It is also used in the sociology of sport by authors such as
Giulianotti and Robertson (2004). For the purpose of this chapter, it is important to
briefly reflect on glocalization’s premises: it implies that local cultures adapt and
redefine global cultural products to suit particular (local) needs, beliefs, and/or
customs. This means that the symbiosis differs between the original influence
(usually the global) and the local materialization of the original idea. In short,
glocalization is marked by the particularization of universalism (Giulianotti and
Robertson 2004: 549). We argue in this work that if the SDP movement and the
2030 Agenda, initiatives, and goals expect to materialize in diverse local realities,
these movements/agendas will have to glocalize to receive substantial support
among the local-territorialized actors.
As Burke (2017: 6–7) notes, in its infancy, SDP organizations were unwilling or
unable to empower the people in the community to help themselves (Cfr. Oxford
2019). Burke also believes that donors, commonly acting as missionaries, care little
about the long-term change of SDP organizations.
As we have seen, Sportland (Giulianotti et al. 2019) is composed of Aidland and
Peaceland. In recent years, there has been a wide recognition in both “lands” that in
order to achieve strong, positive, and lasting development and/or peace, the old
bottom-down, donor-recipient, North-South, rich country to developing country
approaches have to be questioned if not discarded altogether (Mach 2019). The
United Nations (2010) calls for development and peace in the terms of the recipient/
beneficiary side. The UN Peacebuilding Office (2010) considers that during the
peace building stage, unless there is national ownership (portraying the interests and
needs of local affected populations), unless national (local) capacities are built, and
unless women are considered and treated as a key, crucial part of the peace building
efforts, such efforts are destined to fail. Despite the horizontal and mutually account-
able approach, it is expected that cooperation takes place in the terms of the receiving
populations. This is now one of the main tenets as well within Sportland (Straume
and Steen-Johnsen 2010).
The reality is that agendas are hardly ever implemented straightforward from the
text into domestic (whether regional, national, or local) realities. It is clear by now
that there is sufficient attention paid to the SDP and the SDG worlds (each sepa-
rately) as well as the connections between them. However, it remains to be seen how
national and subnational (state/provincial/municipal) actors, interests, and needs
interact and respond to the two global agendas/movements (SDP and SDGs). SDP
and SDG initiatives rarely happen in a vacuum or as a simple celebration of both
movements/agendas. For example, in Mexico, in the past 15 years, the country has
experienced the worst domestic insecurity crisis since the Mexican Revolution
(1910–1917). Mexico’s current President, Andrés Manuel López Obrador, has
repeatedly promised not only a change of government but also a regime change.
He coined his proposed transformation, La Cuarta Transformación (4 T). López
Obrador has assigned sport a central role in the strategy for the pacification of the
country and for the assistance of the Mexican youth. The 2019–2024 National
Development Plan (NDP) devotes an entire section to sport. At the state and
municipal levels, the Mexican university which hosts the SDP organization is a
midsize public university in the sixth most populated state in Mexico, Guanajuato
(5.5 million inhabitants). Although violence is a country-wide phenomenon, Gua-
najuato leads crime and violence rankings in several indicators. The population of
the Mexican university, where the SDP organization is based, has not escaped the
surrounding violence.
While the literature on SDP initiatives is relatively abundant, the literature on
SDP connecting to domestic law or domestic agendas is relatively scarce. This fact is
especially true in the connection between SDP with the SDGs. Muñiz (2015) notes
the relevant place that sport has in Mexican legislation. Sport is a constitutional right
since 2011, and Mexico has a federal law on sport and physical culture – Ley
General de Cultura Física y Deporte (from now on LGCFD). In Mexico, the State
is obligated to promote, foster, and stimulate sport participation. In addition to its
place as a constitutional right, Muñiz (2015) observes that as a result of international
instruments, including the Convention on the Elimination of all Forms of Discrim-
ination Against Women (CEDAW), Mexico has legislated a series of obligations
regarding women’s sport participation. The Mexican State also acquired obligations
resulting from its ratification of the Convention on the Rights of Persons with
Disabilities (CRPD). The Mexican General Law on the Inclusion of People with
Disabilities complements the abovementioned international convention. This federal
law establishes that the Mexican Sports Commission (CONADE) is responsible for
the promotion of the sport rights of people with disabilities. Beyond that, the
LGCFD guarantees equal opportunity and nondiscrimination for people with dis-
abilities and calls for the reconditioning of sport infrastructure. Mexico has endorsed
the causes of the 2030 Agenda and its resulting 17 SDGs. Within the 2019–2024
NDP, sport enjoys a central role (Presidencia de la República 2019). The NDP states:
“Universities, cultural halls, and sport centers will be built instead of jails. When
facing the choice between coercion and consciousness development, the choice will
be the latter” (Presidencia de la República 2019: 33). The recently created National
Health Institute for Welfare (INSABI) also takes into account sports. The NDP gives
sport a multidimensional character, with three approaches: (1) sport as public health,
(2) sport for all (i.e., universal access), and (3) the support of high-performance
sports and accountability.
Sportanddev.org: Connecting the SDG and SDP in a Global Platform
Sportanddev.org is a well-known global resource within the SDP world, frequently

considered to be a relevant source of information about the field (Herasimovich and
Alzua-Sorzabal 2021). It is hosted and situated at the headquarters of the Swiss
Academy for Development (SAD) in Switzerland. It was created in 2003. Its self-
proclaimed vision is: “A future where sport is seen as an essential tool in interna-
tional development and its effectiveness is further enhanced by the cooperation of
actors divided by geography but united by shared values” (Sportanddev.org n/d).
Sportanddev.org works with various target groups, including the following:
development agencies, donor organizations (bilateral, multilateral, and/or govern-
mental), NGOs, national governments, the sports sector, sports federations, athletes,
practitioners, coaches, the private sector, researchers, volunteers, and/or the media.
As of October 15, 2021, there were 1026 organizations registered under the
Sportanaddev.org platform. At a first glance, it becomes clear that over 50% of
them are present in either Europe or Africa. However, for the purpose of this work,
what really matters is how many of those 1026 organizations claim to have worked
related to the 2030 Agenda/SDGs. Bearing this criteria in mind, the list narrows
down to 60 organizations, equivalent to 5.85% of organizations working in some
way with the SDGs.
Table 1 shows a regional breakdown of SDP organizations that, at least rhetor-

ically, align their initiatives to the 2030 Agenda/SDGs.
What differentiates the organizations located in the advanced-industrialized
world is not so much the number of SDP organizations working with but rather
the geographic area where they conduct their business. The advanced world accounts
for 31 organizations (combining the organizations based in Europe, the USA, and
Australia) vs. the 29 organizations based in the developing world (Asia, the Middle
East, Africa, Latin America and the Caribbean, and Oceania (other than Australia or
New Zealand)). In this respect, 17 of the 31 organizations located in the Global
North (that is 54.84%) conduct their business in other continents, in countries in
other continents, or globally; meanwhile, only 5 of the 29 organizations in the Global
South (that is 17.24%) conduct their business extra continentally or globally. This
fact confirms a few things: SDP initiatives tend to flow in a North-South way
(Herasimovich and Alzua-Sorzabal 2021). There is an asymmetrical dependence in
the Global South in relation to the SDP-SDGs initiatives; the neocolonial relation
may be an enduring one; the design of many SDP experiences is not undertaken
locally, opening the possibility for a lack of local ownership of such initiatives. In
Latin America and the Caribbean, there are ten organizations including the analyzed
Mexican inclusive SDP organization working with the 2030 Agenda/SDGs.
Giulianotti et al. (2019) claim that in Sportland, it has become clear that poor
countries and marginalized segments of the population are the beneficiaries of the
overwhelming majority of SDP initiatives. Since the human rights have been left
aside, relatively well-off populations, such as university students, have been left
behind. Despite the fact that Table 2 identifies the participation of university’s
populations, such participation is contemplated as “potential.” For example, consider
the case of CSDA or RPT in Chile which limits SDP to university students as a social
service. In the case of Capoeira Congo and Capoeira para Todos in Mexico, the
participation of university’s population is limited to playing/practicing a previously
designed activity, which means no major involvement is expected from participants.
None of the Latin America and the Caribbean SDP organizations involves students
at the core of the organization as it does happen in the case of the Mexican inclusive
SDP organization. Finally, as to Goal 4.7 of SDG 4, which makes reference to the
appreciation of cultural diversity and culture’s contribution to sustainable develop-
ment, besides the Mexican inclusive SDP organization, only the two organizations
working with Capoeira (one in Mexico and one in Brazil/Africa) and Promotora
Mexicana de Valores Deportivos A.C. work for the recovery of traditional sports. In
the case of Promotora Mexicana de Valores Deportivos A.C., after reviewing
thoroughly the information, it is not clear at all how they operate their SDP pro-
grams. Indeed, it gives the impression that it is an online website for the sale of
sporting equipment disguised as a SDP organization.
After analyzing Tables 1 and 2, a few findings come up. First, several countries in
Latin America and the Caribbean do not have a SDP organization registered before
Sportanddev.org: Guatemala, Belize, Cuba, Antigua and Barbuda, Aruba, Bahamas,
Grenada, Guadeloupe, French Guiana, Cayman Islands, Martinique, Dominican
Republic, Saint Barthélemy, Saint Kitts and Nevis, Saint Vincent and the
1490
Table 1 World SDP organizations by region working with the 2030 Agenda/SDGs (registered in Sportanddev.org)
Asia and the Football University
Middle East Organization Country Where it works use Disability students
Skateistan Afghanistan Afghanistan, No Yes No
Cambodia, and
South Africa
UNICEF India Asia No Yes No
Pro Sport Development India India Yes Yes No
SportsMentor India India No Yes No
Slum Soccer India India Yes No No
Sport and Fitness Association of Pakistan Pakistan Pakistan N/A N/A N/A
Friends of the United Nations Japan Asia N/A Yes N/A
Asia-Pacific
Qantara sports United Arab Asia and Europe Yes Yes N/A
Emirates
Europe Organization Country Where it works Football Disability University
use students
Scort Foundation Switzerland Europe Yes Yes No
Swiss Academy for Development Switzerland Europe Yes Yes No
European Football for Development Network Netherlands Europe Yes Yes No
Euro-Sportring Netherlands Europe Yes No No
Surfer Pour la Paix France Europe No N/A N/A
UNAIDS Switzerland Europe No Yes Yes
UN Office on Sport for Development and Peace Switzerland Europe Yes Yes Yes
(UNOSDP)
D. Añorve Añorve
Social Alternative and Human Capital Romania Romania N/A Yes N/A
Peace and Sport Monaco Europe Yes Yes No
The Norwegian Olympic and Paralympic Norway Europe Yes Yes Yes
Committee and Confederation of Sports (NIF)
Beyond Sport UK Global Yes No No
Cricket Without Boundaries UK Jordan, Cameroon, No N/A No
Rwanda, UK
Fare Network UK Worldwide Yes Yes No
Terre des Hommes International Federation Switzerland Worldwide N/A Yes N/A
TAFISA (the Association For International Sport Germany Worldwide Yes Yes No
For All)
SPIN (Sport Innovation) Germany Worldwide Yes Yes Yes
Green Cross Spain Spain Worldwide N/A N/A N/A
Gesellschaft für Internationale Zusammenarbeit Germany Worldwide Yes Yes Yes
Coaching for Hope UK Western and Central Yes No No
Africa
Integrated Dreams Association Portugal Portugal Yes Yes N/A
AyudaMalawi Spain Malawi Yes No No
Liike Sport & Development Finland Developing countries Yes Yes Yes
North America Organization Country Where it works Football Disability University
use students
Tiro en Braille, Inclusive Mexican Sport Initiative: Development and. . .
Sport4development.org USA USA Yes Yes Yes

Boulder A.S.S.E.T.S USA USA No No Yes
L.A.C.E.S USA Liberia Yes No No
PLAY SOCCER USA North America Yes Yes No
IIMSAM USA Worldwide Yes N/A N/A
The World Cup project USA Worldwide Yes N/A N/A
Coaches Across Continents USA Worldwide Yes Yes N/A
1491
(continued)
1492
Football University
Africa Organization Country Where it works use Disability students
Youth Foundation For Development Cameroon Cameroon N/A N/A N/A
And Transparency (YOFDAT)
Cameron
Africa Change International Ghana Africa No No No
Jambo Bukoba e.V. Tanzania Africa Yes No Yes
Sports Eyes Foundation Uganda Uganda Africa Yes No No
AMANDLA South Africa Africa Yes Yes No
F4P Gambia Gambia Africa Yes No No
Centre for Youth and Development Malawi Malawi N/A N/A N/A
Association des Jeunes Sportifs de Rwanda Rwanda Yes No Yes
Kigali
Develop-Rwanda Rwanda Worldwide N/A Yes No
Hoops 4 Hope South Africa Zimbabwe No Yes No
Latin America and Organization Country Where it works Football Disability University
the Caribbean use students
Capoeira Congo Brazil Africa No No No
Associação Jadir de Taekwondo Brazil Latin America and the No No No
Caribbean
Caribbean Sport and Development Trinidad and Latin America and the Yes Yes Yes
Agency (CSDA) Tobago Caribbean
Formula Smiles Foundation Colombia Colombia Yes No No
Futbol con Corazón Colombia Colombia Yes Yes No
Colombianitos Colombia Colombia Yes No No
Fundación de las Américas (FUDELA) Ecuador Ecuador and globally Yes Yes Yes
Hav Serve in Haiti Haiti Haiti Yes Yes Yes
Fundación Televisa Mexico Mexico Yes N/A No
Tiro en Braille Mexico Mexico No Yes Yes
Oceania Organization Country Where it works Football Disability University
use students
ICHEPER-SD Oceania (International Australia Worldwide Yes Yes N/A
Council for Health, Physical,
Education, Recreation, Sport, and
Dance)
Big Bang Ballers Australia Australia, France, No No Yes
Philippines, Senegal, Nepal,
Afghanistan, Uganda,
Bangladesh
Uni Papua Football Community Indonesia Indonesia Yes No N/A
Source: own construction based on the analysis of organizations’ websites (when available) and/or documents uploaded by the organizations. All organizations
are contained within Sportanddev.org website
1493
Table 2 SDP organizations based in Latin America and the Caribbean working with the 2030 Agenda/SDGs (registered in Sportanddev.org)
1494
Traditional
Football Other Creation of a sports/ University
Organización (soccer) sports sport Disability games students Proposed methodology Country
Associação X ✓ X X X X X Brazil
Jadir de
Taekwondo
Capoeira X ✓ X X ✓. ✓ X Brazil (it operates in some
Congo African countries)
Colombianitos ✓ . ✓. X X X X Their proposed methodology, Colombia
“Juguemos por la paz” (Let’s
play for peace) has awoken
interest from Direct TV, ESPN,
and FIFA. It has gained
recognition from the IADB and
UNESCO
Formula ✓. ✓. X X X X X Colombia
Sonrisas
Futbol con ✓ X X X X X Its “Futbol para la paz” (football Colombia (it operates in
Corazón for peace methodology), mixed Argentina, Costa Rica,
gender football, is played without Colombia, Ecuador,
a referee, and there are no backup Panama, and the USA)
players. It has developed a
reflexive methodology
FUDELA ✓ ✓ X ✓ X ✓ “A Ganar” (Let’s win) is a Ecuador
(Fundación de methodology program based on It works in Ecuador and
las Américas) employability, which develops globally. Fudela has
competencies in a meaningful worked closely with the
way, increasing skills through Global Pact, FIFA
beach football. Foundation, and
Methodology 3b x Change Streetfootballworld, as
addresses women’s issue within well as partners such as
and outside the working space UNHCR and the German
(women’s holistic wellness). It Minister of Foreign
promotes a family-home balance Affairs
and the acquisition of soft skills.
Fudela promotes many initiatives:
Campeones Comunitarios
(to develop 6 values for life);
Football Tournament “No one
Left Behind,” in a mix modality
with adapted rules for complying
with one or more SDGs. Fudela
has also adapted ideas from the
F3H football festivals. One of the
novelties is the introduction of a
blue card, which celebrates and
acknowledges positive actions
such as helping to recover a rival
who is on the ground
Caribbean ✓ ✓ X (adaptations ✓ X X X Trinidad and Tobago (it is
Sport and for the (it proposes present in 13 Caribbean
Development disabled) partnerships territories)
Agency with
(CSDA) university
students)
Fundación ✓ X X X X X X Mexico
Televisa
Tiro en Braille X ✓ ✓ ✓ ✓ ✓ A three-component university- Mexico
based methodology: (1) teaching/
learning; (2) research; and
(3) design of inclusive sporting
activities
1495
(continued)
1496
Table 2 (continued)
Traditional
Football Other Creation of a sports/ University
Organización (soccer) sports sport Disability games students Proposed methodology Country
HavServe in ✓ X X X X X X Haiti (it is based in
Haiti It fosters Florida)
existing,
emerging sports
(Parkour Chase
Tag, Ultimate
Frisbee). It
proposes
Rugby
adaptations
(Touch Rugby
and Rippa
Rugby)
Rugby para X ✓ ✓. ✓ X ✓ It expresses a dissatisfaction with Chile
todos Chile (University traditional sports and the way
students they are taught at school. It
participate proposes a reflexive and inclusive
as social methodology, based on
service no-contact. Its name is RPT
providers)
Grenadines, Turks and Caicos Islands, and Virgin Islands. Second, including the
Mexican inclusive SDP organization, there are ten organizations in the region that
include the 2030 Agenda/SDGs in their business. Two of them are located in
Mexico. Only 7.69% of the regional organizations pay attention to the 2030
Agenda/SDGs. Third, as Table 2 shows, besides the analyzed Mexican inclusive
SDP organization, only four other regional organizations have developed a method-
ology: Colombianitos (Juguemos por la paz), Futbol con Corazón (Futbol por la
paz), Fundación de las Américas (Fudela with “A ganar”), and Rugby para Todos
Chile (RPT). Neither one of the four organizations/methodologies propose the
creation of a sporting activity (three of them instead push forward a different way
of implementing football (soccer)). Certainly, RPT claims the adaptation of rugby for
handicapped people, just as Fudela works also with baseball and table tennis. In the
case of Futbol con Corazón and Fudela, their methodology shows some parallels
with F3H (Segura et al. 2018). RPT aims at diminishing/cancelling altogether
physical contact in Rugby. In this way it takes away the risk of injuries in a contact
sport in a similar way to Ultimate Frisbee.
In Mexico, as Table 3 illustrates, out of the seven SDP organizations registered in
Sportanddev.org, only two incorporate the SDGs in its work (Fundación Televisa
and the analyzed Mexican inclusive SDP organization). The reality is that the former
is a media behemoth company, which means that sport is one more of its many
components and not its core activity. Even more than this, its sports-related initia-
tives, including its iconic Gol por México, fall under the sport plus approach. On top
of that, Gol por México functions under a corporate approach (an insurance company
is the main partner), and the initiative is connected to men and women’s professional
football (soccer). This reality calls into question the extent empowerment and active
participation on the beneficiaries’ end is present or if the beneficiaries’ end is limited
to a passive/receiving role.
Tiro en Braille: The development of an Inclusive Methodology

Aligned with the SDGs as well as Domestic Needs
Braille Shot: Not Your Typical SDP Initiative
Hartmann and Kwauk (2011) distinguish two ideal types present in the SDP field:
(a) a dominant vision, in which sport essentially functions to maintain and reproduce
established social relations, and (b) a more radical interventionist approach, in which
sport intends to contribute to fundamental changes and transformations in social life.
Also, Pringle and Falcous (2018) note a fundamental weakness in critical sociology.
They claim it has a limited capacity to make a difference, i.e., influence on social
policies which ultimately lead to change (Cfr. Mwaanga and Adeosun 2020). The
Mexican inclusive SDP organization team shares with Lindsey and Darby (2019)
their rationality on adopting nuanced and pragmatic approaches by prioritizing the
SDGs and targets that, in particular contexts, enable greater opportunities for
balancing and aligning individual and structural change. We hold that we cannot
Table 3 Mexican SDP organizations within Sportanddev.org
1498
Traditional/
2030 indigenous
Agenda/ Other Sports sports/ University
Organization SDG Football sports creation Gender Disability games students Observations
Promotora X ✓ ✓ X ✓ X ✓ X It has a sports online store. It does
Mexicana de not explain how the identified
Valores pressing social issues are
Deportivos A.C. addressed by the organization
Capoeira para X X ✓. X ✓ N/A ✓. ✓ The emphasis is on empowerment
Todos A.C. and confronting violence (in a
general sense)
United Noses. X N/A N/A X N/A N/A X N/A The sports component is not clear
com at all. It wanes among vague
references to happiness
Tiro en Braille ✓ X X ✓ ✓ ✓ ✓ ✓ See all details in the third general
section
Fundación ✓. ✓ X X X X X X Its iconic initiative is “Gol por
Televisa México” (Goal for Mexico)
Blacksqrl X ✓ X X X ✓ X X It is a logistics company created by
war veterans. The only document
related to sport talks about the
Asian Football Confederation. It
does not have ongoing initiatives
in Mexico
Street Soccer X ✓ X X ✓. X X X Inspired in the Homeless World
Mexico A.C Cup. It works in four Mexican
states
renounce the possibility to create intermediate benefits. This idea requires a midway
point that measures attitudes, values, and behaviors (often labeled as a neoliberal
methodological approach) and a qualitative analysis that critically attempts to
transform dominant and oppressive structures present in Sportland (Cfr. Giulianotti
et al. 2019). We acknowledge the relevance of both domestic and global dimensions.
We try to achieve a sort of glocalization of SDP. On the one hand, we try to be global
in the inspiration – the SDP movement, the SDGs - as well as to draw on state-of-the-
art academic literature. On the other hand, we try to connect the initiative to the
Mexican Constitution, the LGCFD, the 4 T. We try to preserve the Mexican cultural
heritage. Also, we try to be aware of the current realities students face in Mexican
universities. Our initiative learns from Schulenkorf et al. (2016) who call for a
collaborative research with conscious and purposeful reflection on the part of the
researcher. Ours is also an applied social research aimed at challenging privilege and
power while delivering measurable benefits to participants. Inspired by emancipa-
tory agendas, three of the four considerations from Giulianotti et al. (2019) inform
our initiative: (1) to maintain a critical standpoint, registering the multidimensional
aspects of development, especially how development is understood and experienced
in the global South; (2) the advocacy for the capabilities approach, premised on the
human agency; and (3) an empowering and pragmatic approach to development,
centered on co-creation, critical pedagogy, and andragogy. We do not share
Giulianotti et al.’s (2019) inevitable paternalism, from donors to recipient commu-
nities; indeed, the intended purpose is to disrupt the circulation of North’s power/
knowledge identified by Giulianotti et al. (2019) in Sportland. We claim that our
initiative is a living proof that development does not necessitate something to be
done for people, but development is a process stemming from the participants
themselves. Finally, the initiative aligns with Coalter and Taylor (2009) who report
that sports programs that adopt an open-ended street/youth worker approach tend to
be more effective in terms of creating an added value through sports practices. The
Mexican inclusive SDP organization is clearly a collaborative and participatory
approach to program design. Two inclusive methodologies, Ultimate Frisbee and
F3H, nurture our initiative: F3H, which was implemented during the Lyon 2016
Festival, was especially influential to us because it overcame the tensions resulting
from national teams and gender-specific competitions (Cfr. Oxford 2019; Hills et al.
2021).
The Mexican inclusive SDP initiative has three components. First, it promotes
teaching/learning. It was considered that if advertised simply as a SDP course,
participation would be low as sport has been marginal in the social sciences,
especially in Mexico. The course was advertised as a Seminar on International
Relations. The students learnt the content of the course and realized that the course
offered much more than just sport. It offered units on development, international
cooperation, the 2030 Agenda, and Mexican legislation among other contents.
What’s more, since this event was an all-campus initiative, the course was offered
online with three face-to-face sessions scheduled. Second, the initiative has a
research component. Undergraduate students are encouraged (indeed, they are
invited) to publish their work in a collective book (Añorve 2021b) based on their
proposal design as well as on their learning experience during the online seminar.
Third, the initiative has a practical sporting experience. A call for proposals on the
design of a sporting activity was launched in early August 2019. The call was
designed bearing in mind no less than 12 of the 169 targets of the SDGs: 3.4, 4.5,
4.8, 5.1, 5.5, 5.c, 9.b, 10.2, 10.3, 11.4, 16.7, and 17.7 (see Tiro en Braille’s website at
www.tiroenbraille.org). It also took into account the current Mexican Constitution as
well as the LGCFD. The call had the following requirements:
• At least 50% of the persons that constitute a team must be women.

• No less than two members per team must enroll in the online seminar.
• Each team needs to have an academic tutor.
• All proposals must guarantee that their proposed sporting activity would be
suitable to be played by people with disabilities.
• The proposed activity ought to inspire in a pre-Columbian game.
• All proposals shall align to the greatest possible extent to at least three of the
following legislations and/or agendas: the 2019–2024 NDP, the LGCFD, Gua-
najuato state’s sports law, the municipal sport’s rules, and/or the SDGs.
• All playing devices and/or field’s signals must be made with recyclable materials,
with the express prohibition of using fossil energies.
• The design shall respond/align to the greatest possible number of SDGs.
• The activity shall be inspired in a progressive, inclusive, participatory methodol-
ogy such as Ultimate Frisbee and/or F3H (Segura et al. 2018), as it was
implemented during the Lyon 2016 festival, under the modality of deconstruction
and overcoming the national teams and gender-specific competitions (Cfr. Hills
et al. 2021).
• Each proposal must be accompanied by at least one letter of intention signed by a
city-based pyme (small and midsize enterprise) sponsor.
• The proposal shall incorporate the contents (bibliography and/or materials) and
the learning acquired during the seminar.
A mixed committee, formed by two professors, two university authorities, and

two students, would evaluate the received sporting proposals. The representation of
different divisions (faculties) guaranteed a multidisciplinary evaluation team. The
evaluation rubric considered:
• The originality/novelty of the proposal

• The physical risk (low) for participants
• The sustainability of the game’s inputs
• A letter of intention signed by a local sponsor
• The theoretical-methodological quality of the proposals
• The sport objectives
• The potential to rationally comply with the greatest possible number of SDGs
• The performance of participants on the online seminar
• The completion of the two questionnaires (one at the beginning of the semester;
the second, a week before the evaluation of the proposals by team members)
• The congruency level between the proposals and the domestic legislation and/or
the international agendas
The awards’ ceremony took place on November 25, 2020. All teams were invited
to publish their proposals on the collective book (Cfr. Añorve 2021b). All teams
signed a letter of intent, expressing their willingness to play the winning proposal
during the first academic semester of 2020. Participants were requested to fill out a
22-question/statement questionnaire to monitor progress/change in attitudes, values,
and behaviors. For the purpose of this chapter, 10 of the 22 questions are analyzed
(the remaining questions will be analyzed during the implementation stage). The
questions connect to the Mexican Constitution, to the LGCFD, and to SDG targets:
4.5, 4.7, 5.1, 5.5, 5.c, 9.b, 10.2, 10.3, 11.4, 16.7, and 17. Questions 5, 7, 10, 12, and
14 were asked using a 1–7 scale, in which 1 means complete disagreement; 2 high
disagreement; 3 minor disagreement; 4 neutral stance; 5 minor agreement; 6 high
agreement; and 7 complete agreement. These questions are analyzed using an
unpaired T-test. Meanwhile, questions 6 and 9 are analyzed through a chi-square
test. Finally, questions 19, 21, and 22 compare percentages.
The members of participating teams were expected to fill out the questionnaire
three times, one time before the beginning of the online seminar (early August
2019); a second time when submitting their proposals (early November); and a
third time at the end of the tournament (May 2020). Thirty-three students enrolled
in the seminar; 20 students (intervention group) participated in the design of the
sporting activity. The results correspond to changes occurring during the online
seminar and the participation in the design of the sporting activity. Three hundred
and four students (the control group) also completed the questionnaire. The size of
the control group works on a level of 95% confidence with a 5% margin of error.
Results
The online seminar had an enrollment of 33 students. The local campus is composed
of six divisions (faculties). Students enrolled belong to two divisions (Law, Govern-
ment, and Politics, as well as Economic and Administrative Sciences). Meanwhile,
the 20 students participating in the teams for the call of proposals belong to four
divisions (the two already mentioned, plus Engineering and Natural Sciences). Four
proposals were received. The winning proposal was Tiro en Braille (from now on,
the winning sporting activity will be referred as inclusive Mexican sport). Besides
complying with all the guidelines contained in the call for proposals, the Mexican
inclusive SDP organization was designed not only to allow people with disabilities
to play the game if they wished to do so, but it was also designed to develop
awareness of the conditions that blindness implies. The game requires all players
to cover their eyes with a handkerchief. Four players (two women and two men) are
on the field at once, while a fifth player would guide them orally from the sidelines.
In order to orient players, the ball (made with rags and other recycled materials) has
sleigh bells. The winning team expressed during the training sessions that one of the
main departures from traditional sport is the invitation to play the inclusive Mexican
sport in a relatively silent environment, so that participants can enjoy a sensorial
experience. The inclusive Mexican sport is inspired by two pre-Columbian games,
the Ball Game and Olote que vuela (flying corncob). There are significant adapta-
tions: Olote que vuela is played with a flying corncob. In the case of the inclusive
Mexican sport, because players are blindfolded, the ball has to roll on the ground in
order to avoid physical damage. Also, by blindfolding the players, the physical
differences between men and women diminish significantly. Finally, there are no
corporate sponsors, avoiding some of the documented contradictions that their
involvement tends to generate (Millington et al. 2019). The Mexican inclusive
SDP organization falls closer to social entrepreneurship (McSweeney 2020) with
an emphasis on social value rather than financial value. The inclusive Mexican sport
committed four sponsorships, two from local pymes (small and midsize enterprises)
and two from government institutions.
When talking about the implementation, we collectively remembered the confer-
ence that an SDP specialist delivered and the learning about methodologies such as
F3H and Ultimate Frisbee. Hence, despite having a detailed rulebook for the
inclusive Mexican sport, the participants agreed to set a few key and strict rules
while allowing teams, game by game, to negotiate their own rules as a part of the
experience. The tournament scheduled originally from late March to mid-May was
postponed due to Covid-19. However, two examples of the agreements that the
teams negotiated are as follows: (1) All teams (8–10 players) will include at least
50% of women. (2) The teams will preferably include participants from different
divisions as one of the understandings is that the Mexican inclusive SDP organiza-
tion intends to produce negotiation between mutually unknown people, parallel to
the deconstruction and overcoming of nationalism in recent F3H festivals.
The results of the questionnaire are promising. Within the control group,
169 respondents were aware of a pre-Columbian game; however, the overwhelming
majority (166) only mentioned the Mayan Ball Game (Juego de Pelota); one
mentioned a ball game resembling hockey; one mentioned the ball game and a
game resembling hockey on fire; and one mentioned archery (not really a
pre-Columbian game). As for the intervention group, the ball game received 15 men-
tions; Olote que vuela was mentioned 8 times; La Quemada received 6 mentions;
and Mixteca ball was mentioned 2 times, whereas Ulama con mazo and Rayuela
were mentioned once each.
Discussion
The inclusive Mexican sport shares with recreational and/or nonprofessional football
“simplicity,” which allows it to be played on different spaces without sophisticated
or expensive equipment (it is designed to be played with both elbow and knee
protections). However, the inclusive Mexican sport takes away a lot of the compet-
itive and exclusionary elements that accompany football. The inclusive Mexican
sport also sheds hope about the possibility of overcoming the multiple and complex
geographic narrowness historically present in SDP. The Mexican inclusive SDP

organization is the brainchild of non-corporate, non-leading international organiza-
tions. Therefore, it does not reflect an instrumental corporate logic (Darnell and Dao
2019), no matter whether such logic obeys instrumental diplomacy or corporate
social responsibility (CSR) to achieve the marketing purposes of large corporations.
As Table 4 illustrates, the intervention group learnt about the perils and failures of
leaving SDP initiatives in the hands of corporate sponsors. The participants in the
intervention group favored either local pymes or their own university to sponsor
their project.
This response may prevent corporate interests from hijacking the initiative and
condition their viability to their instrumental interests. In this point, Bob Munro’s
words ring loud:
The best thing that happened to MYSA was that nobody was interested for the first five
years. The implication of this is that the lack of interest and external aid permitted the
establishment of locally based aims, objectives and principles, and MYSA was eventually
strong enough to negotiate funding on the basis of its own definition of its needs and
approach. (Munro in Coalter 2010: 307)
In order to address the issue of geographical narrowness, this initiative has its
origins beyond the Anglo sphere (Dart 2014; Schulenkorf et al. 2016) and the
Scandinavian world (Straume and Steen-Johnsen 2010). The initiative has the
potential to disrupt the North-South flow of expertise and to generate knowledge
and to set foundations for a circular rather than a linear flow of leadership and
expertise. Moreover, it brings to the conversation the possibility of recovering
indigenous knowledge and tradition (Dubnewick et al. 2018), meeting SDG 4.7.
The Mexican inclusive SDP organization questions both the dominance of Eurocen-
tric sports and the competitive, exclusionary logic (on the basis of nationalism, class,
gender, and/or abilities) that western/mainstream sport has imposed since colonial
times. If there is a truly novel component of this initiative, it is the change in the
focus of the intervention (beneficiary group). So far, SDP initiatives have almost
exclusively focused on heavily marginalized segments of the populations, i.e., the
targets of the MDGs. The Mexican inclusive SDP organization arises, precisely as a
result of the oblivion in which contemporary Mexican university students live.
While it could be argued that university students tend to be relatively well-off and
relatively privileged compared to other youth groups from a capabilities approach, a
human rights approach (Muñiz 2015) and a broader understanding of development
(beyond sheer economics) would reveal the need and compatibility between SDP
initiatives and university students. The Mexican population is estimated at around
127 million inhabitants. With slightly more than four million students (Sánchez
2018), the university population represents a significant segment of society. Among
the several problems that university students face, we may mention a few: suicide,
stress, sexual harassment, and dropout. Suicide has become the second cause of
death in the age group 10–24 (Guarneros 2019). Guanajuato, the home state of this
initiative, is among the five Mexican states with a higher prevalence of suicide
1504
Table 4 Responses to questions 19, 21, and 22 (% of respondents)

Question 19. Which criteria should the team formation Question 21. Who should make the rules of Question 22. Which type of sponsor
follow? the game? shall the sporting activity have?
Sport Personal Institutional University University A mix No Large Local
Randomly merit affinity belonging authorities Students Professors authorities committee sponsors UG corporations pymes
Control 25.58 51.50 11.63 5.98 5.31 16.61 6.92 1.04 75.43 1.74 49.83 21.95 26.48
group
Intervention 60 25 15 0 0 35 10 0 55 0 40 0 60
group
Source: own research. The results also appear on the following website at www.tiroenbraille.org (research and methodology tab)
(Guarneros 2019). Suicide does not seem to distinguish between rich and lower-
income state universities, such as the university that hosts the SDP organization (Cfr.
Camhaji 2019). As for stress in university populations, Rivas et al. (2014: 165)
observe that it is estimated that about 25% of university students experience stress.
As for harassment, the end of 2019 and 2020 witnessed a handful of university
strikes and movements led by students. At least 20 universities, nationwide, joined
efforts to denounce harassment practices (Expansión Política 2020). As for dropout,
Gracia (2015) points to two realities: the percentage of enrolled university students
who graduate is 38%, whereas the outright dropout of university students ranges
from 7.5% to 8.5% of those enrolled as freshmen. In Latin America, specifically
Ecuador, Córdova, Segura, and Islas (2021: 97) identify the same problems that we
identify as those that the Mexican youth suffer (i.e., gender violence, suicide, stress,
and dropout, among others). It may be claimed that the initiative of EduSport
Foundation in Zambia parallels ours. However, the target groups were different,
and there were evangelist approaches, as the efforts were religion-led and the
beneficiaries were in need of being “saved.” This is not the Mexican inclusive
SDP organization’s case. Its participants were directly involved, empowered, and
co-participants, and they led the sporting activity design with a few guidelines.
Indeed, the Mexican inclusive SDP organization transcended the original expecta-
tions that the leading researcher had in mind. Participants are well aware of the
patterns followed by SDP initiatives, often dominated by a “vertical hierarchy,”
while the youth are often denied the opportunity to actively participate in their own
social change. The Mexican inclusive SDP organization does the converse. The
researcher provides guidelines, designs the instruction, oversees that the resulting
activities align with the SDGs and the Mexican Constitution, and makes certain that
the design of the sporting activity falls with the realm of plus sport. Other than that,
he/she has very little control over the results and the negotiations between the
students.
The Mexican inclusive SDP organization also shows promising signs. First, it
promotes sound contributions to 12 specific targets within the SDGs. Second, it
raises awareness of the relevance of building bridges between international agendas,
such as the 2030 Agenda and the resulting 17 SDGs and domestic legislation,
agendas, and/or programs. The Mexican inclusive SDP organization jointly tackles
domestic and international commitments. Moreover, the open-ended (Coalter and
Taylor 2009), reflective, collaborative, and inclusive approach (Cfr. Giulianotti et al.
2019) underlying the initiative led to remarkable unexpected outcomes, such as the
design of a sporting activity that would not only welcome people with disabilities but
that could also be played under conditions that people with disabilities face in their
daily lives. Bridging disability to SDP initiatives is much needed, as Dart (2014)
exposes the low level of research on disability in SDP.
The Mexican inclusive SDP organization helps to advance the provisions of
Article 88 of the LGCFD on the inclusion of traditional games as a part of the
national cultural heritage. Moreover, participants consider that due to the geographic
and ethnic diversity and richness of Mexico, the open-ended, collaborative, hori-
zontal, bottom-up character of this initiative adapts to the uniqueness of the different
states and regions within Mexico. Each state or region has its own pressing social
problems and cultural identity that may opt for the inspiration of games/sports
different from the ones that inspired the four proposals received in November
2019. This idea is possible, as Zurita et al. (2008) provide a list of nearly
100 games and sports. During the second face-to-face session of the online seminar,
the group concluded that maybe a way to promote practical and economic activity
among the indigenous groups from which participants are borrowing their cultural
heritage was by asking them to make use of their millenary knitting traditions to knit
the jerseys for the participants. Because the winning proposal used handkerchiefs as
part of the game, the same indigenous knitting skills were useful. This idea serves a
double purpose: to recover, to promote, and to preserve the Mexican cultural
heritage, plus activating in a meaningful way the economic activities of the indig-
enous populations.
Wong (2003) identifies that the usual timescales expected for the empowerment
of participants may be beyond those encompassed by typically project-based exter-
nal interventions. In the case of the Mexican inclusive SDP organization, that
concern is not pressing because there is no external agent concerned with time,
finances, or “goal”-obsessed mentalities exercising pressure. As a result of being a
low-cost activity that is easily adaptable to the existing infrastructure, a collaboration
between the Mexican university hosting the organization and local actors and
institutions would be enough to guarantee the continuity of the project. The
questionnaire (see Table 4) shows strong support for both from the intervention
group. The Mexican state university hosting the organization can respond through
the Mexican inclusive SDP organization to the pressing issues that students face, i.e.,
dropout, suicide, stress, and harassment, whereas local pymes benefit from increased
name/brand recognition and secure local consumers/users of the products/services.
The leading researcher acknowledges the relevance of the knowledge produced
by authors, practitioners, and journals in the Global North. Indeed, this chapter
would be impossible without the vast knowledge amassed in the Global North.
Even so, the methodology in general and the inclusive Mexican sport, as the first
resulting sporting activity, have the reasonable possibility to reverse the unilateral
flow of expertise that usually originated in the North. Participants consider that there
are possibilities for scaling up (Hatton 2015) the project in Mexico and Latin
America. Beyond that, the pressing conditions that university students face world-
wide, as well as the existing of indigenous minorities in both the Global South and
the Global North, make the Mexican inclusive SDP organization an interesting
initiative. It is worth mentioning that the “end game” (Cfr. Hatton 2015) is not
scaling up the inclusive Mexican sport per se, but the methodology that led to its
creation. The purpose is similar to the philosophy of Comic Relief (Hatton 2015).
The questionnaire reveals (see Table 5, questions 10, 12, and 14) a growing
student confidence on the viability and success that an initiative like the Mexican
inclusive SDP organization may have after participating in this multidimensional
(teaching, research, practical sport) initiative. Question shows increasing willingness
to play an all-gendered sporting activity among those in the intervention group.
Finally, if we consider moving from a development approach (some people
Table 5 Unpaired T-test results

Control Intervention
Question/statement group group
5. What relevance shall sport have as a human right? N 303 20
Mean 5.45 6.30
SD 1.40 0.80
Two-tailed 0.0079
P value
Result Very significant
(difference)
7. Sport is relevant for the peaceful solutions of N 303 20
conflicts Mean 5.31 6.45
SD 1.41 0.76
Two-tailed 0.0004
P value
Result Extremely significant
(difference)
10. What is the likelihood of designing a sustainable N 295 20
sport inspired in a pre-Columbian game at Mean 4.34 5.95
Universidad de Guanajuato? SD 1.63 1.28
Two-tailed 0.0001
P value
Result Extremely significant
(difference)
12. How likely are you to participate in an N 301 20
all-gendered sport activity? Mean 5.90 6.45
SD 1.49 1.47
Two-tailed 0.1081
P value
Result Not significant
(difference)
14. It is possible to design a sport whose inputs are N 302 20
100% from recycled materials Mean 5.92 6.70
SD 1.40 0.57
Two-tailed 0.0133
P value
Result Significant
(difference)
Source: own research. The results also appear on the following website at www.tiroenbraille.org
(research and methodology tab)
intervening over marginalized populations) toward a human rights/capabilities’

approach (Darnell and Dao 2019), the first thing we need is to make sure that
beneficiaries (students) are aware that sport is a constitutional right, that federal
law endorses sports agendas (see Tables 5 and 6), and that sport has a central role in
the 2019–2024 NDP. Even more than that, students would benefit from learning how
Table 6 Chi-square test results

Question 6. According to your
knowledge, is sport a constitutional Question 9. Are you familiar with any
right? pre-Columbian games?
Yes No P value Result Yes No P value Result
Control 127 174 0.46405 Significant 169 135 0.000542 Significant
group at at
Intervention 13 7 p < 0.05. 19 1 p < 0.05.
group
Source: own research. The results also appear on the following website at www.tiroenbraille.org
(research and methodology tab)
their own practices, participation, and empowerment may contribute to important

global agendas, such as the 2030 Agenda and the resulting 17 SDGs.
The Mexican inclusive SDP organization’s main richness is not its sport compo-
nent (as a result of Covid-19, it has not been played yet). Its methodology is its main
source of strength. As Table 2 shows, for the case of Latin America and the
Caribbean, only four organizations (besides the Mexican inclusive SDP organiza-
tion) have developed a methodology. None of the four intends to create a new
sporting activity. None has developed a three-component methodology in the way
the Mexican inclusive SDP organization does by emphasizing teaching, research,
and the creation of a sporting activity fully aligned with the SDGs. On top of that, the
simultaneous attention paid to university populations (SDG 4), women (SDG 5),
handicapped people (SDG 10), and the attempt to develop partnerships with small
and midsize local companies (SDG 17) give the Mexican inclusive SDP organization
a holistic character.
The Appeal of Braille Shot, Especially in Covid Times
The Mexican inclusive SDP organization, as a grassroots initiative, has put especial
emphasis on social relations and community-based networks (bottom-up community
development) instead of top-down approaches. The Mexican inclusive SDP organi-
zation was conceived right after reading Hatton (2015), placing an important
emphasis on monitoring and evaluation. In this way, through research, the second
component of the Mexican inclusive SDP organization, our organization/initiative
commits to proving its relevance beyond its original context (geographic). The
Mexican inclusive SDP organization takes pride in its relative simplicity (a low-cost
initiative). The combined components and advantages make it possible to present the
Mexican inclusive SDP organization as a state-of-the-art SDP initiative.
In an era in which austerity is the hallmark of the 4 T in Mexico, when
governments internationally may be forced to channel international aid to their
own populations as the result of Covid-19, these kinds of initiatives have the
untapped potential to tackle some of the local and regional pressing challenges of
the time: gender-related issues, exclusion/inclusion, juvenile violence, depression,
and stress. Finally, its open-ended character facilitates its potential travelling to other
geographical locations not only in Mexico but also to other South locations.
The Mexican inclusive SDP organization launched its website late in October
2020 (see www.tiroenbraille.org). It is also registered as one of the seven Mexican
SDP organizations in Sportanddev.org. Despite being around for only a year, it has
already awoken the interest of different parties in three countries: A Russian
Foundation invited us to present (online) our project on October 30, 2020, before
a vast Russian audience. A Normal school (university) in Guanajuato City is
replicating the activity during 2021 (shortly, they will have a micro-website within
the Mexican inclusive SDP organization’s website). Finally, a Canadian student,
from a university located in Ontario, wrote to inquire about our initiative.
Conclusions
Both the Millennium Declaration and the 2030 Agenda, with their respective MDGs
and SDGs, gave sport a marginal place for their fulfillment. However, it is possible to
verify that the institutional, entrepreneurial, and academic attention given to the
connection between sport and these two global agendas clearly outpaces the official
attention that sport originally received.
So far, in the so-called Sportland, the design, target, and access to a majority of
initiatives seem to be placed in marginalized countries and sectors within countries.
SDP, under a human rights approach, is not the norm yet.
Sportland has taken central stage during the first two decades of the twenty-first
century. SDP initiatives have fallen short of delivering all the promised benefits
touted by the Great Sport Myth (Coakley 2015; Mwaanga and Adeosun 2020). A
combination of football-centered initiatives, geographical narrowness (academic and
on the turf), a persistent power imbalance between powerful North-based donors and
disadvantaged South-located recipients (Mach 2019), the Non-universal character of
SDP, and the rare connection to domestic legislation and global agendas explains
SDP’s shortcomings.
Among the few initiatives involving nontraditional beneficiaries of SDP pro-
grams, university students, and indigenous sports, the broader contradictions seen in
Sportland are present. University populations from North-based institutions have
either organized the collaboration with South-located institutions or intervened in
marginalized groups in Northern societies. In either case, the result has been an
asymmetrical “partnership” that replicates neocolonial/evangelical discourses and
practices. As a general rule, university students are not considered beneficiaries of
SDP initiatives. The underlying logic is that indigenous communities have to
acculturate and be saved. Furthermore, SDP programs are not specifically intended
to recover their cultural heritage. Our methodology, currently through the Mexican
inclusive SDP organization, proposes taking sport-based initiatives to nontraditional
recipients of SDP. University students in present times face challenges and perilous
conditions (suicide, stress, sexual harassment, dropout) that are different to those of
the traditional SDP recipients. Moving from a specific necessity to a human rights,
universal approach, SDP could make inroads into unchartered territories. As for
indigenous groups, based on the current Mexican federal legislation and the 2030
Agenda, we propose the recovery, preservation, and promotion of the millenary,
pre-Columbian cultural heritage. The novelty is that we are building bridges between
indigenous cultural heritage, national legislation, and global agendas.
The Mexican inclusive SDP organization is a state-of-the-art SDP initiative. It
transcends the commonly exclusionary and competitive football logic. It recovers
and honors pre-Columbian games/sports, adapting them, so that people can play
them in non-indigenous geographies/locations. The initiative is not designed and
delivered by North-based “experts” who embark on a quasi-evangelical/neocolonial
“mission” to “straighten up” South-located “subjects.” Indeed, it is a university
community, unleashing a local-based initiative, tackling national and local pressing
needs. Paternalism is reduced to its minimum expression, with the leading researcher
serving as a facilitator of the students’ own experiences, talents, and creativity. As a
low-cost, low-maintenance initiative, there is hardly such a thing as financial con-
straints or conditioning on the part of funders. Moreover, the idea is not to scale up
the inclusive Mexican sport itself, but instead to scale up the philosophy behind this
methodology. This idea prevents the initiative and the Mexican inclusive SDP
organization from being captured or hijacked by instrumental corporate interests.
The Mexican inclusive SDP organization is inspired from SDP’s best practices, i.e.,
Ultimate Frisbee and F3H. Despite this best-practice inspiration, the initiative has
developed its own signature: it is a SDP initiative that brings together teaching/
learning, sport practice, and research, involving in all three stages all the involved
actors. The results are promising during this first stage, the design of the sporting
activity. However, it is necessary to reassess the early, apparent benefits once the
inclusive Mexican sport tournament is played because unexpected contradictions
and short comings may arise “on the field.”
In an era in which austerity is the hallmark of the 4 T, when governments may be
forced to channel international aid to their own populations as the result of Covid-19,
this kind of initiative has the untapped potential to tackle some of the local and
regional pressing challenges of the time: gender-related issues, exclusion/inclusion,
juvenile violence, depression, and stress. Finally, the open-ended character of the
initiative facilitates its potential travelling to other geographic locations not only in
Mexico but also to other South locations.
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Assessing Land Degradation (SDG 15.3)
in Latin America: Western Coast of Mexico
D. Sanchez Casanova, J. E. Rivera García, B. Cruz Romero,

R. Díaz Gómez, and C. Rubio
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1516
Land Degradation in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1519
Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1520
Study Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1520
Inputs and Calculation of SDG Indicator 15.3.1 (Land Degradation) . . . . . . . . . . . . . . . . . . . . . 1522
Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1523
Changes in Land Use and Land Cover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1523
Degradation Status in the Tomatlán Basin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1523
Indicator 15.3.1 (Proportion of Land Degraded over Total Land Area) . . . . . . . . . . . . . . . . . . . 1525
Changes in Land Use that Promote Degradation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1527
Validation of the Degraded Areas Using Google Earth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1527
Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1531
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1533
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1534
Abstract
Latin American countries face extreme challenges in achieving the Sustainable
Development Goals (SDGs) due to inequalities in access to information and
economic resource allocation and a lack of effective political management.
D. Sanchez Casanova · J. E. Rivera García · B. Cruz Romero (*)

University of Guadalajara, Puerto Vallarta, Jalisco, Mexico
e-mail: dennis.sanchez@alumnos.udg.mx; jonatan.rivera7773@alumnos.udg.mx;
bartolo.cruz@academicos.udg.mx
R. Díaz Gómez
CEIDE, FCAyF, National University of La Plata, La Plata, Argentina
e-mail: rdiazgomez@ceide.unlp.edu.ar
C. Rubio
Argentine Institute of Arid Zones Research (IADIZA-CONICET), Mendoza, ZC, Argentina
e-mail: crubio@mendoza-conicet.gob.ar

https://doi.org/10.1007/978-3-031-16017-2_24
1516 D. Sanchez Casanova et al.
While Mexico is active in terms of the SDGs, the SDG related to land degradation
has not been met. In 2015, Mexico ranked third in Latin America for the largest
area of degraded land (47%), reducing the potential productivity of the soil,
increasing arid lands, and compromising biological and/or economic productiv-
ity. This case study analyzes the Tomatlán Basin (257,915 ha) to evaluate the
influence of agriculture on land degradation from 2000 to 2020 using the open-
access tool Trends.Earth, which calculates trends in vegetation productivity and
soil organic carbon changes using the global inputs MODIS and SoilGrids,
respectively. Land cover transitions were calculated with regional inputs, and
land cover maps were generated with Landsat imagery and the Dzetsaka classi-
fication tool in QGIS. The results show improvement in land conditions due to
increased vegetation productivity related to ecological succession processes on
207,000 ha (80.6% of the territory), which is nine times larger than degraded
territory (23,172 ha), indicating progress toward the 15.3 SDG target. The results
were validated by using Google Earth Pro to identify degraded areas, achieving
92.5% accuracy. Trends.Earth is a useful tool for monitoring land degradation at
different scales in countries with limited information and economic resources,
allowing the identification of degraded areas so that appropriate practices and
activities can be implemented.
Keywords
LAC · Regional assessment · SDG 15 · Desertification · Land degradation ·
Indicators
Introduction
According to the United Nations (UN) Convention to Combat Desertification

(UNCCD), land degradation arises due to a combination of natural processes and
anthropic factors. It adversely impacts land conditions, expressed as the loss of
biological or economic productivity or biodiversity and decreased ecosystem func-
tions or services (Sims et al. 2021; UNCCD 2015).
Many causes of degradation relate to globalization processes. For example, while
land use changes in the Northern Hemisphere have led to increased forest areas, in
the Southern Hemisphere – mainly in developing countries – forest areas have
diminished, especially in Latin America and the Caribbean (LAC) (Winkler et al.
2021). Consequently, natural resources and biodiversity are compromised due to
accelerated ecosystem destruction and social inequality (ECLAC 2017). This situ-
ation has worsened since 1960 with the intensification of agriculture due to global-
ization and the rising global demand for products from these areas (Winkler et al.
2021).
In 2015, the UN proposed the 2030 Agenda, a global program seeking to combat
inequalities through 17 Sustainable Development Goals (SDGs) and 169 targets
(UN 2021a), which address social, economic, and environmental issues including
Assessing Land Degradation (SDG 15.3) in Latin America: Western Coast of Mexico 1517
the protection of ecosystems, natural resources, and biodiversity (ECLAC 2017; UN

2021a). The economic situations in LAC make it difficult to address the trends in
land degradation because 30% of its population (196,188,690 inhabitants) live
in poverty, while a lack of basic human rights poses challenges for governments in
balancing socioeconomic and environmental factors (ILO 2018).
LAC plays an important role worldwide as an exporter of resources for developed
countries through various international trade agreements; in addition, the region has
seen significant foreign investment in various industries (ECLAC 2021b). If the
growing demand for resources continues, land degradation will expand alongside
increasing population growth and social inequality, further increasing the anthropo-
genic pressure on natural systems as agriculture rises from 60% to 100% to meet
global food needs (ECLAC 2017). Economic activities in LAC are already being
affected by meteorological phenomena, earthquakes, volcanic eruptions, floods, and
droughts, generating economic losses in the region. Such events are expected to
occur more often in the future, thereby compromising the services provided by the
land, especially in developing countries that provide resources to satisfy developed
countries’ demands (ECLAC 2020).
According to the special edition of the report on the progress toward the SDGs,
20% (23,962,509 km2) of land globally has been degraded (UN 2019). Oceania is
the most degraded region worldwide, at 35% (2,978,078 km2), followed by Central
and South Asia with 27.9% (2,950,693 km2), LAC with 26.5% (5,257,898 km2),
East and Southeast Asia with 24.4% (3,942,095 km2), Sub-Saharan Africa with
22.4% (4,950,699 km2), regions of Europe and North America with 10%
(3,035,523 km2), and finally North Africa and West Asia with 6.9%
(847,523 km2) (UN 2019). According to the regional database for monitoring the
SDGs in LAC, the countries with the highest proportion of degraded area in 2015
were Belize (81%), Paraguay (52%), Mexico (47%), Argentina (39%), and Ecuador
(30%) (UN 2021b). Therefore, addressing the degradation of terrestrial ecosystems
in the LAC region, particularly in the tropics, is essential for solving social and
environmental problems; however, this is challenging for governmental institutions
due to a lack of resources and social limitations (UN 2021b; Winkler et al. 2021).
To address these problems and improve the environmental and social quality of
the affected regions, the 2030 Agenda proposes SDG 15 (“Life on land”) to stop and
reverse degradation and promote biodiversity conservation and sustainable manage-
ment (UN 2021a). This objective is important as it relates to the fulfillment of several
other SDGs (Baumgartner 2019). Within this goal, Target 15.3 states that “By 2030,
combat desertification, restore degraded lands and soil, including land affected by
desertification, drought and floods, and strive to achieve a land degradation-neutral
world” (Sims et al. 2021; UN 2021a). Herein, it has been agreed that progress toward
land degradation neutrality (LDN) should be measured using Indicator 15.3.1
(“Proportion of degraded land over total land area”), with its subindicators being
the state of land cover, land productivity, and surface and soil carbon stocks (Sims
et al. 2021). These indicators state that degradation must be avoided or compensated
through the restoration and rehabilitation of degraded lands. Achieving this objective
would positively impact the future well-being of humanity by maintaining and
improving ecosystem services (Cowie et al. 2018), contributing to poverty reduction.

As less land degradation means greater availability and quality of primary resources,
food accessibility will improve, reducing hunger and improving health and social
welfare (Zhang et al. 2021). In addition, healthier ecosystems will improve the
quality of the hydrological cycle, enhancing water availability, promoting economic
development, reducing inequalities, and thus meeting the SDGs (UN 2021a).
However, the indicators proposed by the UNCCD have not yet been efficiently
addressed. A review of 154 articles shows that of the 1330 indicators evaluated, only
9% (120) correspond to indicators related to Target 15.3. Meanwhile, the most used
indicator is land cover, followed by productivity and soil organic carbon (SOC), and
these are mainly used in Africa, Asia, and America (Morales and Zuleta 2020).
Therefore, not all regions have the same capacity to monitor and report their progress
toward Target 15.3, especially in developing countries, where access to information
and the generation of inputs are complicated due to the local characteristics, econ-
omies, and development dynamics (Sims et al. 2021).
Numerous methods with different approaches and spatial scales exist to assess
land degradation. The Global Assessment of Human-induced Soil Degradation
(GLASOD) and the Global Land Degradation Assessment (GLADA) (global
level) and the method proposed by the World Overview of Conservation Approaches
and Technologies (WOCAT) (national level) stand out, by combining remote sens-
ing techniques and expert knowledge to evaluate the degradation of land use systems
in collaboration with the Food and Agriculture Organization’s (FAO) and Land
Degradation Assessment in Drylands (LADA) project (Nachtergaele et al. 2009).
The LADA project established a methodological framework for monitoring and
evaluating land degradation, although its application involves high costs and long
execution times (Petri et al. 2019). In recent decades, advances in the use of remote
sensing have allowed the technique to complement fieldwork, reduce costs, and
increase the use of methods at different scales. At the global and regional levels, the
use of these techniques and tools has increased due to advances in software devel-
opment that enable the processing of large databases with better quality and confi-
dence levels (Sims et al. 2021).
At the global scale, low-resolution inputs such as Moderate Resolution Imaging
Spectroradiometer (MODIS) (250 m per pixel) have enabled information to be
generated for projects at the continent or country level, even in developing regions
with inadequate technology access (Wang et al. 2020). While such results are not
reliable enough for regional decision-making, they contribute to developing an
understanding of the general problem and which dynamics require investigation.
On the other hand, medium-scale images such as Landsat (30 m) or high-scale
images like Sentinel (10 m) can also be considered (Giuliani et al. 2020). The
combination of global and regional inputs and a broad knowledge of the landscape
and its dynamics allows the identification of smaller degraded areas and their
relationships with the environment and society at the local or basin level
(Gonzalez-Roglich et al. 2019). Furthermore, methods based on remote sensors
are widely used in developing countries such as in LAC (Sims et al. 2021).
Therefore, studies at the local scale are limited or nonexistent, restricting advances
on land degradation monitoring. The use of freely accessible tools promotes the
centralization of information and the generation of new knowledge, advancing
sustainable solutions to social, economic, and environmental problems (Gonzalez-
Roglich et al. 2019). While various techniques have been proposed to assess land
degradation, analytical methods based on physical-biological assessment pre-
dominated in the 1970s and 1990s. Many of these focused on soil rather than on
an integrated vision of the processes, thereby ignoring the true causes and conse-
quences of issues (Abraham et al. 2014). Subsequently, once it became clear that the
degradation processes were steadily advancing rather than decreasing, evaluation
approaches began to incorporate ecological, social, cultural, economic/productive,
and political aspects (Morales and Zuleta 2020).
Consequently, the Trends.Earth plugin was developed and made freely available
on Quantum GIS (QGIS) software. This plugin was guided by the methodology
proposed in the Good Practice Guidance for Assessing UN Sustainable Develop-
ment Goal Indicator 15.3.1 to determine and monitor land degradation in terms of
trends in primary productivity and by measuring the reduction in the organic carbon
content of the soil through freely available inputs at the global scale (Sims et al.
2021). Trends.Earth requires three main inputs, namely, land primary productivity
trends, land use changes, and vegetation and SOC content, which can be obtained
through freely accessible digital platforms. This approach enables the generation of
own inputs at a more detailed scale (Giuliani et al. 2020) through the use of satellite
images and geographic information systems (GIS). Thus, land degradation can be
evaluated at not only the global scale but also on regional (states, municipalities,
regions, or administrative units) and local scales (hydrographic basins, hydrological
regions, or sections of a territory) (Peng et al. 2021; Reith et al. 2021). Trends.Earth
has been used for studies at the national, municipal, and basin levels in Tanzania,
China, Brazil, Russia, Italy, and Switzerland, among others. However, to reduce the
uncertainty of the degradation analysis, fieldwork is necessary to verify the poten-
tially degraded areas identified by this plugin tool (Peng et al. 2021; Reith et al.
2021; Wang et al. 2020) (Giuliani et al. 2020; Wang et al. 2020; Reith et al. 2021;
Peng et al. 2021).
Land Degradation in Mexico
Given its socioeconomic conditions and geographical position, Mexico is vulnerable

to possible changes in hydrometeorological regimes; therefore, it is crucial to
address land degradation to conserve the benefits provided by ecosystems
(SEMARNAT 2018). Mexico has enacted different land use policies, including
one implemented through the National Forestry Commission (CONAFOR), which
finances reforestation projects and forest ecosystem protection and promotes wood
production (Bonilla-Moheno and Aide 2020). Despite these efforts, land use changes
for agriculture, livestock, and deforestation continue to drive land degradation
(SEMARNAT 2018). Considering biotic, aquatic, and edaphic resources, it has
been determined that 90% of the country’s area has some degree of degradation
(SEMARNAT 2018). Mexico has reported that it can monitor 72% of the SDG
indicators; however, it has not addressed the goal of land degradation (Secretaria de
Economía 2021). This is a crucial issue since 64.8% (125,303.71 ha) of the country
is dry land, with semiarid (34.5%), arid (18.9%), and dry subhumid lands (10.8%)
predominating. Also, 20.6% of its national agriculture is carried out in drylands
(SEMARNAT 2018). Consequently, the present study selects the hydrological
watersheds of the western region of Mexico because the area has substantial
agricultural production and in recent decades has experienced changes in land
coverage from natural forest to agricultural and livestock production (Gauna Ruiz
de León et al. 2020), generating substantial environmental pressure. If this trend
continues, the studied region could experience desertification and water scarcity
(Michel Canchola et al. 2019). Therefore, the goal of this study is to assess land
degradation at regional scale, Tomatlán Basin, using the open-access tool Trends.
Earth to evaluate the influence of land use and land change on land degradation from
2000 to 2020.
Methods
Study Area
The region of the Jalisco coast has experienced increased agricultural activities since
the construction of the Cajón de Peña Dam in 1976 and the installation of irrigation
district 093, which promoted and diversified the socioeconomic development in the
region through livestock and agricultural activity (Gauna Ruiz de León et al. 2020).
Additionally, the increased tourism activity, mainly in the municipality of Puerto
Vallarta and the area called Riviera Nayarit (Gauna Ruiz de León et al. 2020), has
caused the loss of forest system cover (Michel Canchola et al. 2019). These land use
changes, combined with the semiarid characteristics of the territory and poor water
resource management, have produced a complex scenario for achieving sustainabil-
ity. This is compounded by land abandonment, economic losses, and irregular
logging by local inhabitants (López-Sánchez et al. 2021; SEMARNAT 2018).
This territory is important because Jalisco is not only one of the states with the
most foreign investment but also contributes the fourth-most resources to the gross
domestic product (GDP) (7.3%) (INEGI 2021). Jalisco is the national leader in the
production of eggs, milk, and meat (poultry and pork) and is the second-highest
producer of corn and beef, all products considered part of the basic food basket
(Padilla Gutiérrez et al. 2017). In addition, traditional cultivation practices predom-
inate. Nevertheless, there are efforts in the region to promote the modernization of
irrigation using precision agriculture to increase development and economic poten-
tial (ILO 2018; Padilla Gutiérrez et al. 2017).
Tomatlán stands out as the largest municipality on the coast of Jalisco. It has the
greatest livestock development in the state and is important for its substantial
agricultural activity; it also has less tourism development compared to that in the
other municipalities along the coast (Gauna Ruiz de León et al. 2020). Therefore,
Fig. 1 Map corresponding to the Tomatlán River Basin and the area of influence of irrigation
district 093, Jalisco, Mexico. (Own elaboration)
this region has the potential to reduce food shortages through good agricultural
practices (López-Sánchez et al. 2021). However, landscape fragmentation and loss
of vegetation cover prevail and have instigated environmental conflicts between
local and external actors (Michel Canchola et al. 2019).
The territory analyzed in this chapter corresponds to the Tomatlán River Basin
and the area of influence of irrigation district 093 (257,905 ha). This area contains
the municipalities of Tomatlán, Talpa de Allende, and Cabo Corrientes and is located
in the state of Jalisco in western Mexico (see Fig. 1). It extends over rugged terrain
with altitudes ranging from 0 to 4198 m.a.s.l. and is influenced by the intersection of
the Sierra Madre Occidental (SMO), the Trans-Mexican Volcanic Belt (TMVB), and
the Sierra Madre del Sur (SMS) (Viera Mejía and Michel Canchola 2020). This
topography, in combination with climatic variables, promotes a landscape of tem-
perate forests at higher elevations and tropical forests and coastal wetlands,
complemented by an agricultural and tourist landscape at lower elevations (Gauna
Ruiz de León et al. 2020). The most representative vegetation is medium sub-
deciduous forest and low deciduous forest, especially in the western part and on
the coast; on the other hand, in the eastern part of the region, there are mixed pine-
oak forests belonging to the mountain ranges of the SMO and the TMVB (Viera
Mejía and Michel Canchola 2020). This area has a warm subhumid climate with rain
in summer and warm semiarid conditions on part of the coast of Tomatlán; the
average annual precipitation is 800–1500 mm (Viera Mejía and Michel Canchola

2020).
Inputs and Calculation of SDG Indicator 15.3.1 (Land Degradation)
To assess land degradation at a regional scale from 2000 to 2020, the proposal in the
“Good Practice Guidance” was taken into account (Sims et al. 2021), and freely
accessible inputs and the implementation of the Trends.Earth tools were used (Reith
et al. 2021). The methodology is summarized in Fig. 2. First, the degradation
indicators were quantified. Primary productivity was obtained through the Trends.
Earth tool by calculating and combining three measures of change derived from the
time series of the Normalized Difference Vegetation Index (NDVI), namely, trajec-
tory, state, and yield, obtained from MODIS products (250 m) (Gonzalez-Roglich
et al. 2019).
Landsat 7 satellite images corresponding to 2000 and 2020 were used to quantify
land cover changes as they provide a temporal resolution that produces reliable
results (Giuliani et al. 2020). The classification of the land cover maps was generated
according to the classes proposed by the Intergovernmental Panel on Climate (IPCC)
(Sims et al. 2021), and the classification was performed in QGIS with the Dzetsaka
classification tool and the random forest algorithm (Bian et al. 2021; Dias et al.
2021).
To identify a change in SOC content, it is necessary to have data from a period
greater than 10 years because plant succession can evolve over time and significantly
Fig. 2 Methodology applied to calculate Indicator 15.3.1 (proportion of land that is degraded over
total land area). (Own elaboration based on Sims et al. (2021))
change SOC, a scenario similar to that of the NDVI. Therefore, the SOC changes
were determined using the land cover in addition to a layer with the SOC values for
the first 30 cm of the surface obtained from the SoilGrids 250 m dataset. SOC
changes were estimated from SOC conversion factors for land use changes
recommended by the IPCC, and the factor corresponding to the tropical humid
climate (0.48) was applied (Gonzalez-Roglich et al. 2019). The differences in SOC
between the base year (2000) and the target year (2020) were calculated; the areas
that experienced a loss in SOC of 10% or more were considered degraded, and those
with an increase of 10% or more were considered improved (Sims et al. 2021).
Second, the subindicators were integrated to obtain the indicator of Target 15.3,
considering potentially degraded areas identified as degraded for any of the sub-
indicators (Reith et al. 2021; Sims et al. 2021).
Subsequently, land cover changes related to land degradation were identified to
determine the processes that cause this dynamic in the study region.
Finally, the reliability of the results obtained was determined, and 10% (n ¼ 40)
of the degraded polygons larger than 10 ha were selected since they were considered
more significant according to the resolution of the inputs used in the present study.
The reviewed polygons were randomly selected (Cherrington et al. 2020), and
Google Earth Pro Version 7.3.4.8248 free software (https://www.google.com/intl/
es/earth/versions/) was used to determine if the trends in the images from 2000 to
2020 corresponded to some type of degradation (Wang et al. 2020).
Results
Changes in Land Use and Land Cover
Almost 80% of the territory corresponds to forestlands, while 18% is used for
agricultural activities. During the study period, changes from forestland to cultivated
land predominated, resulting in a decrease of 827.5 ha of vegetation cover. Similarly,
the areas dedicated to agricultural activities increased by approximately 2667.3 ha
from 2000 to 2020 (see Table 1).
Figure 3 shows the land cover transitions from 2000 to 2020. It can be seen that
91.8% (188,032 ha) of forest cover remained unchanged from 2000 to 2020, and
only 7.6% (15,667.3175.8 ha) of forest cover was restored from lands that were
previously dedicated to agricultural activities; on the other hand, for farmland,
60.5% (28,852.1 ha) were maintained. In addition, 36% (17,175.8 ha) of the
farmland in 2020 corresponded to areas that were previously forestland, i.e., were
recently exploited.
Degradation Status in the Tomatlán Basin
The land cover maps generated in this study presented a kappa index of 0.82,
indicating a high degree of accuracy.
1524
Table 1 Changes in land cover from 2000 to 2020

2020
Forestland Cropland Wetland Settlements Other land Water bodies Total
2000 Forestland 188,032.0 17,175.8 44.6 70.3 335.0 61.5 205,719.2
Cropland 15,667.3 28,852.1 16.2 98.7 370.1 16.9 45,021.2
Wetland 78.5 60.2 39.8 0.0 0.3 0.2 179.1
Settlements 43.9 176.2 0.0 450.3 10.2 1.2 681.8
Other land 731.3 1310.1 2.4 48.4 639.6 54.1 2785.9
Water bodies 338.8 114.0 2.2 0.9 42.5 2954.3 3452.6
Total 204,891.7 47,688.4 105.3 668.6 1397.6 3088.1 257,839.7
D. Sanchez Casanova et al.
Water bodies
Land cover type (2020)
Other land 24.0 26.5
Selements 10.5 14.8
Wetland 42.4 15.4
Cropland 36.0 60.5
Forest land 91.8 7.6
0 10 20 30 40 50 60 70 80 90 100
Proporon
Forest Cropland Wetland Selements Other land Water bodies
Fig. 3 Land use in 2020 and its origin with respect to 2000
SOC 6.2 86.3 6.1

Subindicator
PD 8.5 9.1 80.7
LC 7.0 86.2 6.8
0 20 40 60 80 100
Percentage
Degradaon No change Improvemente No data
Fig. 4 Results for the land degradation subindicators. Proportion of the different classes of
Indicator 15.3.1 for the subindicators of productivity (PD), land cover (LC), and soil organic carbon
(SOC)
Once the subindicators were calculated, 80.7% of the territory improved in terms
of the productivity subindicator (see Fig. 4); on the other hand, land cover and SOC
showed similar results, with 86% of the territory showing no improvement.
Indicator 15.3.1 (Proportion of Land Degraded over Total Land Area)
From 2000 to 2020, 23,172 ha was degraded, equivalent to 9% of the territory

studied, while 80% (207,025 ha) showed improvement (see Fig. 5). Therefore, in
terms of compliance with Target 15.3, the studied area is in line with the 2030
Fig. 5 Spatial distribution of Indicator 15.3.1 in the Tomatlán River Basin and the area of influence
in irrigation district 093. (Own elaboration)
Irrigation district 093
Basin
0% 20% 40% 60% 80% 100%

Basin Irrigation district 093
No data 4,512 35
Improvement 2,07,025 19,672
Stable 23,208 5,255
Degradation 23,172 8,108
Fig. 6 Indicator 15.3.1 in the Tomatlán River Basin and the area of influence in irrigation
district 093
Agenda framework SDGs since the improved area is almost nine times greater than
the degraded area (see Fig. 6). As was expected, specifically in the irrigation district,
the degradation was proportionally greater than for the total analyzed territory; also,
agricultural activities in this area were concentrated and represented 24.5%
(8108 ha) of the degraded land.
Fig. 7 Cover changes related to land degradation and their spatial relationship with those reported
by SEMARNAT (2004). (Own elaboration)
Changes in Land Use that Promote Degradation
Considering only the degraded area, the changes that predominately promoted
degradation were those from forest areas to farmland, with changes in approximately
14,699.6 ha (see Fig. 7 and Table 2). These changes occurred mainly in the lower
part of the basin and in the irrigation district; some examples are presented in Fig. 8.
In addition, 13,505.9 ha, corresponding to 58.29% of the degraded area, coin-
cided with areas that have been reported as chemically degraded for almost 20 years
(2004) (SEMARNAT 2018).
Validation of the Degraded Areas Using Google Earth
A comparison of the results showed a 92.5% accuracy (n ¼ 37) in the areas identified
as having some type of degradation. On the other hand, three polygons were found to
have no degradation since the comparison between both years showed that the
vegetation coverages were conserved (see Fig. 9). It should be noted that given the
resolution of the inputs (Landsat, MODIS) and Google Earth images, it was not
possible to determine the types of degradation at a smaller scale.
1528
Table 2 Changes in coverage related to areas reported as degraded

2020
Forestland Cropland Wetland Settlements Other land Water bodies Total
2000 Forestland 4094.7 14,699.6 35.4 65.4 304.6 4.5 19,204.1
Cropland 423.0 2763.5 9.9 82.4 306.1 6.2 3591.1
Wetland 71.5 52.9 4.8 0.0 0.3 0.0 129.6
Settlements 0.2 3.0 0.0 16.2 0.9 0.0 20.2
Other land 19.5 88.0 0.0 44.0 43.6 1.6 196.8
Water bodies 7.9 8.1 0.1 0.2 2.5 7.2 26.0
Total 4616.8 17,615.1 50.2 208.2 658.0 19.5 23,167.8
D. Sanchez Casanova et al.
Fig. 8 Land degradation and processes in the Tomatlán River Basin. (a) Poor cultivation practices,
with water users intending to carry out flood irrigation on their land. (b) Arable land in different
areas of the basin. On the left, abandoned land with soil in the process of compaction; on the right,
farmland exposed to poor agricultural practices that can cause the loss of its physicochemical and
biological properties. (c) Loss of vegetation and soil layer (sheet erosion), in addition to compaction
of soils without vegetation and areas with significant soil layer loss causing landslides. (d) Loss of
vegetation cover on the riverbanks. (e) Extensive livestock farming in the basin, mainly in areas
with moderate slopes. (Pictures courtesy of the authors)
Fig. 9 Verification of the degradation polygons in Google Earth Pro. (a) Points that showed
degradation. (b) Points where degradation was not evident
However, this approach allowed the detection of the predominant land degrada-
tion processes in the area that correspond to deforestation in the upper part of the
basin (see Fig. 10). Similarly, a change in forest cover to arable land in the lower part
of the region, which caused the loss of land productivity and a decrease in the NDVI,
Fig. 10 Areas of the upper part of the basin where deforestation was identified
was identified. In addition, it was possible to observe areas where farmland remained
and consequently experienced a decrease in SOC.
Discussion
Land degradation in Tomatlán was heterogeneously distributed across the basin

extension from 2000 to 2020. The authors found that 80% of the land showed
improvement distributed across the upper sides of the basin limit, while degraded
areas were related to valleys close to agricultural lands, representing 9% of the total
land. The results suggest an improvement in land conditions due to increased
vegetation productivity related to the abandonment of agricultural activities and
ecological succession processes from agricultural lands to secondary growth
rainforests (Lopez Perez and Cruz Romero 2020). However, 28,852.1 ha (60.5%)
remained agricultural area, while 17,175.8 ha changed from forestland to agricultural
area. This underlines the importance of these economic activities for the region.
These changes and the intensity of the economic activities have caused the land to
deteriorate not only in its biological characteristics but also in its chemical proper-
ties, as reported by SEMARNAT (2018). This situation may lead to other risks, such
as water scarcity, flooding, landslides, and the loss of productive potential in the
region. Thus, while the assertion that Target 15.3 is being met in the region may be
true, the regional dynamics present a different result. The recovery of forests and
jungles is taking place, but at the same time, there have been losses in other areas,
probably due to changes related to local factors and the modification of economic
sectors (Gauna Ruiz de León et al. 2020; Lopez Perez and Cruz Romero 2020).
Some reasons for this dynamic could be the patterns of migration and marginaliza-
tion, with average levels of marginalization being recorded in the western region of
Jalisco. Given the lack of opportunities or options, inhabitants often decide to
migrate to neighboring municipalities, such as Puerto Vallarta, which is an interna-
tional tourist destination. In other cases, they decide to leave the country (Gauna
Ruiz de León et al. 2020). This dynamic is consistent with that described in Kolb
et al. (2018), who indicated that medium to high levels of marginalization are related
to tropical forest deforestation for agricultural purposes and temperate ecosystem
degradation (irregular logging), in addition to the regeneration of these forests from
grasslands.
Land degradation neutrality (LDN), together with the development of the Trends.
Earth tool, constitutes an important advance in the monitoring of land degradation
processes at the global, national, and subnational levels. However, given the recent-
ness of its implementation, there remain several limitations that need to be addressed
in relation to the economic and technological limitations. These present challenges
for the governments, which have to deal not only with the implementation of new
plans and programs to improve the state of degradation but also with other prob-
lematics already occurring in the region. Furthermore, in the present work, land
degradation was calculated from the proposed indicators; notably, this methodology
can be used in other developing countries since it proposes monitoring land
degradation to obtain practical results despite a lack of local or regional inputs

(Sims et al. 2021). This method has shown reliable results combining global and
regional inputs, but to reduce the uncertainty of the results, it is necessary to
generate inputs with higher resolutions and from recent years, as well as verify
the obtained results in the field to determine if the tool is over- or underestimating
the degradation or improvement of the land. Hence, this work offers information
on this tool’s efficiency at the regional level, including the integration of inputs
generated at the regional level and the identification of the factors that promote
land degradation.
Regarding the Trends.Earth model, even though some degraded areas were
identified, some limitations remain. One of these relates to the resolution of the
inputs, whereby there remain gaps to assessing the causes and local consequences of
land degradation and its relation to socioeconomic factors (Bonilla-Moheno and
Aide 2020). This kind of situation often occurs in countries like Mexico, where
achieving such objectives becomes more challenging due to landscape heterogeneity
and the unavailability of high-resolution inputs. Despite such limitations in LAC,
approximately 154 projects are currently trying to implement policies and agree-
ments to limit deforestation and regulate resource use. Examples include projects led
by institutions with goals such as increasing the area of restored ecosystems,
enhancing biodiversity, and improving the quality of life, e.g., the Global Environ-
ment Facility (GEF), Forest Investment Program (FIP), and the Clean Development
Mechanism (CDM) (Romijn et al. 2019).
There are some considerations that could enhance the results. First, although the
global standardization for reporting the achievement of goal 15.3 has numerous
advantages and great potential, it is important to continue working on its adjustment
at various scales. An example would be improving the land cover subindicator by
generating layers that include degradation due to changes in cover, habitat fragmen-
tation, water or wind erosion, fire, etc. This approach would help identify the
dynamics that occur in a territory with respect to land degradation at the local
scale (Assennato et al. 2020). Another improvement aspect is to increase the
resolution of the productivity inputs. Due to its high influence on the results in this
study, one of the options is using other satellites such as Landsat, which has a
complete period of time to analyze (Giuliani et al. 2020; Wang et al. 2020). In
addition, it is also necessary to consider integrating other factors, such as climate,
soil, and socioeconomics, providing answers to solve environmental and social
problems at the local level.
Secondly, to improve land degradation, agricultural practices can be improved,
and strategies and public policies can be implemented to improve the region’s
economic conditions. For example, producers could form collaborative groups and
negotiate directly with those interested in their products; this would allow all actors
in the agricultural sector to obtain a profit margin that would, in turn, help them
improve their quality of life, invest in technology for their crops, increase yields, and
carry out better agricultural and livestock practices associated with optimized soil
and water resource management. This approach would improve the local economy,
likely halt agricultural expansion, and maintain forest cover.
Another consideration could be to limit deforestation and apply analysis to locate

crops in locations that have the least impact and the highest possible yield, thereby
generating synergy with the other SDGs, such as food security (SDG 2) and the
conservation of biodiversity and terrestrial ecosystems (SDG 15) (Zhang et al.
2021).
In summary, despite being an important subject across the world due to the
consequences of land degradation, in Mexico and other Latin American countries,
degradation is not a priority because of the technological limitations and the lack of
budget and social participation. Given the current economic situation, foreign
investment is being sought from countries such as the United States or China,
which stimulates the market but also puts natural resources at risk (ECLAC
2021b). Given that the value of the land increases regardless of its use and that
activities impact the landscapes and local communities, powerful countries that
invest in developing countries can obtain great economic benefits at a low cost
while avoiding the degradation of their own ecosystems (ECLAC 2021a). To reduce
this dynamic, promoting internal trade within LAC should be considered to provide
greater market opportunities and a fair income to these countries according to the
products they offer.
Conclusion
The authors found that 86% of the area of the Tomatlán basin has shown improve-
ment in land conditions related to the increase in productivity of vegetation, while
only 9% is considered degraded. First, even though the improved area is nine times
greater than the degraded area, processes of land use change due to agricultural
activities can be observed in the lower basin, causing physical and chemical soil
degradation. Furthermore, in the middle and high basins, there is a tendency toward
economic activities such as livestock and deforestation in hill steep areas. Not only
were those areas successfully identified using the Trends.Earth tool, but there was
also a spatial agreement with information reported by national institutions. There-
fore, this method can be replicated in other areas that suffer from a lack of informa-
tion and do not have the resources to generate high-resolution analysis. In addition,
this could be a way to detect priority areas and address the socio-environmental
problems occurring in a region.
In summary, it is essential to avoid the degradation of native vegetation and
consider socioeconomic factors to comprehensively understand land degradation in
the watersheds on the Western Coast of Mexico. In this way, strategies to preserve
land conditions can be proposed and applied at the local level; otherwise, ecosystem
functions and benefits in the region will be compromised, generating impacts such as
biodiversity loss, desertification, and increased water vulnerability and risks from
natural disasters. These impacts would reduce the region’s socioeconomic develop-
ment. Hence, it is necessary to promote the link between the socioeconomic devel-
opment of localities and countries and the efficient management of natural resources,
taking into account the fact that these development factors should not necessarily be
in conflict. This situation represents a challenge for the region and Mexico as a
whole; however, the 2030 Agenda provides a framework that can be used to promote
a balance between these aspects and a sustainable lifestyle. Based on the above
information, land degradation must be addressed with a multidisciplinary approach
since it is almost impossible to study as an isolated process.
Finally, future research to assess the complexity of land degradation processes
will need to integrate physical-biological and socioeconomic indicators that reflect
the issues of a region, allowing the design of planning measures and sustainable land
management according to the various territorial scenarios.
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Competitiveness of Small- and
Medium-Sized Hotel Companies: Latin
America and Caribbean Region
Antonio Emmanuel Pérez Brito , Martha Isabel Bojórquez Zapata ,

and Tania Nadiezhda Plascencia Cuevas
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1538
Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1539
Sustainable Development Goal 8: The Hotel Industry and Competitiveness . . . . . . . . . . . . . 1540
Strategic Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1540
Finance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1541
Innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1542
Marketing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1542
Research Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1543
Discussion of Results (Fig. 3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1549
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1551
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1552
Abstract
This study aims to analyze the current situation presented by the state of the art
with respect to the factors of competitiveness in small- and medium-sized hotel
companies, applying for a systematic and international literary review focusing
on Latin America. This study opted for a systematic review involving the analysis
of documents, articles, dissertations, and international academic works that pre-
sented theoretical and empirical research results. The research was conducted
between January and May 2021 using online databases and search engines. The
A. E. Pérez Brito (*) · M. I. B. Zapata

Universidad Autónoma de Yucatán, Yucatán, Mexico
e-mail: antonio.perez@correo.uady.mx; mbzapata@correo.uady.mx
T. N. P. Cuevas
Universidad Autónoma de Nayarit, Nayarit, Mexico
e-mail: Tania.plascencia@uan.edu.mx

https://doi.org/10.1007/978-3-031-16017-2_4
1538 A. E. Pérez Brito et al.
selected studies focus on finance, strategic management, innovation, and market-

ing as the main factors that generate competitiveness in hotel small- and medium-
sized enterprises. Certain implications for Latin America were also discussed.
The SDGs reinforce the competitiveness of hotel SMEs by directly impacting the
four main factors of competitiveness. Therefore, a compilation of recent works is
carried out to identify the main factors that affect the competitiveness of these
entities that, in these times, because of COVID-19, face serious competitiveness
problems, as well as contribute to the state of the art and knowledge gaps on the
subject.
Keywords
Competitiveness · Finance · Innovation · Strategic management · Hotel SMEs ·
Literature review
Introduction
Tourism is an activity that is indirectly related to the 17 Sustainable Development

Goals (SDGs) (UNWTO 2018). Specifically, the hospitality sector must offer a
pleasant stay and great satisfaction to tourists and provide them with pleasant and
unforgettable experiences, which may be used to enhance the awareness of the
tourists and encourage them to adopt sustainable tourism behaviors (Mora Forero
et al. 2021). For this study, the direct relationship with goal 8, related to decent work
and economic growth, is considered. The hotel small- and medium-sized enterprises
(SMEs) significantly influence the competitiveness and economic growth of the
regions and localities where tourist activities are carried out. However, based on
the Sustainable Development Goal 8, it is important to consider the aspects of the
environment and the standards of living of the population in addition to the eco-
nomic components, that is, offering employees a decent and well-paid job, which
allows them to have a dignified life (Mora Forero et al. 2021).
Since April 2020, tourism in the region has been temporarily halted because of
the coronavirus (COVID-19) pandemic. An impact scenario shows that a slight fall
in tourism could lead to a 1% decrease in the growth of gross domestic product
(GDP) in Latin America, while total employment could decrease by 2% points in
that region, according to ECLAC (2020). The pandemic has not only caused a
humanitarian disaster but also paralyzed vital sectors such as tourism, which was
one of the economy’s first and most affected sectors (UNWTO 2021).
It is relevant to discuss which factors affect competitiveness in SMEs by finding
out the relation between how the various competitive factors and studies are related.
An important precedent is the work of Tsai et al. (2009) and Molina Ycaza and
Sánchez-Riofrío (2016), whose findings related to competitiveness factors in SMEs
are compared in the discussion section.
This study aims to analyze the current situation presented by the state of the art
with respect to the factors of competitiveness among small- and medium-sized hotel
Competitiveness of Small- and Medium-Sized Hotel Companies: Latin. . . 1539
companies, applying for a systematic and international literary review focusing on

Latin America.
This chapter is structured into five sections: introduction, literature review,
research process, discussion, and conclusions.
Literature Review
The competitiveness of hotel SMEs within the tourism field has been of great interest
to many scholars over time. Due to the specific crisis conditions of the present time,
the issue of competitiveness has become extremely sensitive, giving rise to some-
times contradictory points of view, for example, Porter, Hammel, and Prahalad
(Dalle et al. 2005). The global context emphasizes the operation in SMEs of the
factors of competitiveness (Dalle et al. 2005).
The findings obtained from the literature review were grouped into three essential
factors. The analyzed research is summarized in Fig. 1, where the main factors and
corresponding sub-factors are presented. Some articles contribute to more than one
dimension and subtopics.
The tourism industry is the most relevant branch of the world’s economic
evolution. It has contributed to regions’ economic growth worldwide based on the
investment. For organizations to develop long-term sustainability, becoming com-
petitive tourism service providers has become a challenge.
Competitiveness collaborates so that the hotel sector reaches the established
economic, social, and environmental goals; likewise, at the same time that it
achieves its goals, it defends its biological diversity, its ecological processes, its
social integrity, and its cultural values (Padilla 2006).
Strategic Management Finance Innovation Marketing
Mission Profitability
Service Innovation Market Positioning
Vision Financing
Process Innovation Knowledge of
Objectives Operation
Investigation & Competition
Strategies Use of Financial
Development Customer Satisfaction
SWOT Information
Competitiveness Hotels SMEs
Fig. 1 State of knowledge of competitiveness factors in hotel SMEs. (Source(s): Own elaboration)
Sustainable Development Goal 8: The Hotel Industry

and Competitiveness
For Molina and Gasparini (2022), the hotel sector has a great influence on economic
activity and employment of a locality in general; thus it is closely related to the
Sustainable Development Goal 8 announced in 2015 by the Organisation of the
United Nations, which indicates “promote inclusive and sustainable economic
growth, employment and decent work for all” and which is complemented by goal
8.9 “develop and implement policies aimed at promoting sustainable tourism that
creates jobs and promotes local culture and products.” Espínola-Portillo et al. (2022)
states that “the hotel industry directly impacts achieving Sustainable Development
Goal 8, as it supports economic growth, poverty reduction, social development, and
decent work.”
The Global Sustainable Tourism Council (GSTC 2016) published a series of
criteria for tourist destinations with performance indicators and SDGs. The criteria
are presented to unify the conceptualization of what sustainable tourism is, that is,
the minimum that any tourist destination should achieve to be set as an objective. It is
important to mention that the criteria do not indicate what should be done or, in its
case, the ways in which it should be done, that task is carried out by the indicators,
hence the importance of uniting both in the case of hotel management. The appli-
cation of the criteria to hotels will boost their contribution to the 2030 Agenda for
sustainable development and the 17 Sustainable Development Goals as well as
increase their competitiveness. The criteria for hotels issued by the GSTC (2016)
are divided into four sections: (a) sustainable management, (b) socioeconomic
sustainability, (c) cultural sustainability, and (d) environmental sustainability. Sus-
tainable management is made up of three subsections (administrative and manage-
ment structure, stakeholder participation, and management of pressure and change);
socioeconomic sustainability is made up of two subsections (contribution of local
economic benefits and social welfare and impacts); cultural sustainability is made up
of two subsections (protection of cultural heritage and visit to cultural sites); finally,
environmental sustainability is made up of three subsections (conservation of cul-
tural heritage, resource management, and waste and emission management).
Strategic Management
According to Lana (2008), strategic management is a continuous and interactive

process used to maintain an organization well integrated with its environment. This
process involves the analysis of the internal and external environments of the
organization, the establishment of the organizational guidelines (goals and objec-
tives), the formulation of the strategy (business, business unit, functional) and its
implementation, and the control strategy (Bustamante 2019; Caicedo-Barreth et al.
2020; Molina Ycaza and Sánchez-Riofrío 2016; Perea Quezada and Rivas Tovar
2006; Ramírez Galaviz 2017). Perea Quezada and Rivas Tovar (2006) and Molina
Ycaza and Sánchez-Riofrío (2016) point out that strategic management offers great
benefits to business management as long as the processes are implemented and

fulfilled efficiently and effectively.
Becerra et al. (2016) and Fernandez (2017) state that hotel SMEs must be clear
about the scope of their mission, vision, and objectives, together with a plan that
ensures that they are attainable. Furthermore, Gârdan et al. (2020) emphasize the
importance of having well-documented elements of process management to achieve
optimum results. The interaction between processes, quality of the established
vision, quality of the established mission, clear goals and objectives, defined rates,
integration of resources, market segments, documentation of processes, and value
chain make it possible to understand the factors that measure the competitiveness of
hotel SMEs, in the hope that its level of competitiveness in the market can improve
that the business can grow and that the goals are SMART, specific, measurable,
achievable, relevant, and time bound (Bustamante 2019; López Noriega et al. 2019).
For Dimitrios et al. (2020), the economic context in which companies participate
is highly competitive, targeting multiple clients that are in international markets but
have many demands and specialities. The COVID-19 pandemic [and the related
lockdown] is a threat to the economic field, due to its financial and administrative
impact, which threatens tourist traffic and complicates the preparation of estimates,
projections, and budgets because of the high uncertainty it represents. Therefore,
strategic management is essential to face new threats to the business environment.
Finance
The average daily rates and the room occupancy rates allow for achieving high levels
of profitability (Kim et al. 2013). In the state of the art, the performance of the assets
of the previous period stands out as a necessary determinant, since the profitability of
the current period will be affected by its previous period (Tan 2017). Dimitrić et al.
(2019) point out that hotels with high cash flow reserves have higher safety indices.
According to Bello and Sensini (2020), the relationship between investment and
financing decisions indicates that there are some common practices in financial
behaviors. Other authors have pointed out that companies’ financial behavior tends
to adapt to the reference environment (Helleloid and Sheikholeslami 1996) and the
life cycle of the company. Regarding SMEs, some authors (Auken and Lema 2003;
Moreno Rojas and Martín Samper 2002) have observed that these companies often
cannot finance themselves and, consequently, resort to obtaining external financing
sources. These authors also considered that the activities of a hotel are classified as
financial and operational.
In the financial management of hotel SMEs in Latin America, the use of the
statement of financial position is essential for effective and efficient management
(Lima Santos et al. 2016). They also point out that studies carried out in different
Latin American countries have shown that financial analysis is one of the most
important management tools for SMEs in the hospital sector. In the current scenario
of global competition, Lima Santos et al. (2020) point out that RevPAR and
occupancy rates are some of the most common operational indicators. Since all
hotel management aims to make their company more profitable day by day, they
should focus on reducing costs and increasing revenue. According to these authors,
managers’ main objective is to increase income from accommodation; however,
considering an integral context, it is important to take into account the total income
of the other departments. The TRevPAR (total income per available room) considers
the income of all the departments of a hotel in its calculation, so it can be taken as a
more complete management indicator (Lima Santos et al. 2018).
Innovation
In companies, regardless of their line of business, process and product innovation are
a source of sustainable competitiveness (Porter 2010; Hongyun et al. 2019). Indeed,
for successful innovation to occur, pressure, needs, and sometimes adversity are
required (Yukl and Mahsud 2010). The capacity for innovation is the implementation
and creation of technology applied to new systems, policies, programs, products,
processes, and services for the organization (Biemans and Griffin 2018). Moen et al.
(2018) defined innovation as a modification of products, processes, services, orga-
nizational systems, and systems of marketing to create more customer value.
According to Domi et al. (2019), in a study carried out on SMEs, they discovered
that those located in Ecuador tend to receive less financial support for the generation
of innovation than SMEs in Costa Rica, Colombia, and Argentina. Hongyun et al.
(2019), based on an investigation carried out in hotel SMEs in Latin America,
identified that having a state-of-the-art technological information structure allows
organizations to work without geographical limits, which generates an important
competitive advantage in the current business environment. Additionally, they state
that the management style, the skills of the company’s human capital, and the
information technology infrastructure are a requirement for hotel SMEs to be
innovative.
Marketing
As a result of a greater ability to perceive the market, marketing strategies can be

designed to offer superior value to the client, according to Yadav and Tripathi
(2014). As observed by Hassen and Singh (2020), for organizations to survive in
highly competitive business scenarios, they must share information. This strategy
will lead them to obtain higher financial returns. Likewise, to guarantee long-term
financial success, they must focus on designing and applying customer-oriented
strategies.
For Gyulavári and Kenesei (2012), those hotels that find clients willing to pay for
their services, which grants them a profit higher than their competitors, are success-
ful and competitive hotel companies. Alhakimi and Mahmoud (2020), based on a
study carried out in Costa Rica, affirm that hotel SMEs must support innovative
behaviors, generate new offers, and participate in proactive marketing to attract new
customers. Szopiński and Staniewski (2016) point out that competitive hotel orga-
nizations must continue to invest in the acquisition of new technologies to have
continuous improvement in their processes and services. They also suggest applying
price adjustments and presenting new and better offers to customers as strategies to
guarantee their companies a competitive position in the markets. Through pro-
activity, hotel SMEs can improve by investigating in market trends, needs, interests,
and satisfaction of customers (Bocarando Lara et al. 2017). For Peñate Santana et al.
(2021), the following strategies are applied in the 4 p’s by hotel SMEs: for product
purposes, they are aimed at maintaining quality and innovation; for the price, they
are based on establishing competitive prices and offering different options to pay; for
the market, those with the highest frequency are aimed at having sales channels and
wide coverage; finally, those of promotion are based mainly on social networks, on
transactions through personalized advice, and on the propagation of emotional-
affective messages.
Research Process
In the bibliographic review, key scientific contributions related to a specific topic

were analyzed and identified through a systematic review that guarantees a method-
ical and transparent process to reduce the risk in research (Tranfield et al. 2003).
Recent reviews on competitiveness in SMEs mentioned above are valid and recur-
ring scientific activities, in various fields such as tourism (Markus and Rideg 2020)
and Latin American studies (Lopez and Alvarez 2018; López-Chávez et al. 2021).
The application of this methodology based on a systematic review was transferred
from the health sciences to the field of management by Tranfield et al. (2003).
A systematic review is developed in three stages, which involve ten phases in
total, based on the characteristics of the model proposed by Tranfield et al. (2003)
these authors. In stage 1, the study is planned, and this includes the identification
of the topic, the definition of the keywords, the determination of the databases in
which the research will be carried out, and, finally, the exclusion and inclusion
criteria of the study to be carried out.
This chapter aims to analyze the current situation presented by the state of the art
concerning the factors of competitiveness in small- and medium-sized hotel compa-
nies. In this sense, a bibliometric study was carried out which covers the literature
between 2000 and 2020 (Fig. 2). The information search was performed on the Web
of Science, and the main search topic was based on “competitiveness indicators for
the hotel sector.”
The information treatment was conducted as suggested by Ripoll Feliu and Díaz
Rodríguez (2017), that is, (1) a bibliographic portfolio of the topic to be investigated
was elaborated; (2) a thorough analysis of the information within the elaborated
portfolio; and (3) the systematization of the information that allows the objective to
be met and future lines of research to be left open.
The search for the necessary bibliography was done as per the order of references,
documenting the most mentioned indicators and those with more empirical results,
20 19
18 17
16
Number of publications
14
14 13 13 13
12 11 11 11
10
10
8
6 6 6
6 5
4 4
4 3 3
2 2
2
0
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019
Years 2000-2020
Fig. 2 Publications of competitiveness factors in hotel SMEs. (Source(s): Own elaboration)
and considered as a contribution to the systematization of the said indicators, which

may help to build their own in future research. This research is cross-sectional,
descriptive, and theoretical.
For this chapter, the international publications despite their original language are
included under the categories of theoretical and empirical studies regarding hotel
SMEs and their competitiveness, while considering works independent of the
language in which they are written and published.
According to the tourist regions of the United Nations World Tourism Organisa-
tion (UNWTO), academic production is concentrated by 55% in Europe, followed
by 32% in America, 8% in Asia and the Pacific, and 1% in Africa and the Middle
East; just as 3% is the product of two or more regions that were called the “between
regions.”
Based on the methodology applied, 4% of the studies are qualitative, 24% are
mixed, and the remaining is quantitative. The origin of this information may have a
correlation with the complicated dynamics that hotel SMEs present.
Regarding the inclusion criteria, the scientific documents that are presented with
the title, abstract, and/or keywords, the search terms are “hotels, SMEs, competitive
factors, ODS” or, where appropriate were considered, a mixture of synonyms that
had been published between the years 2000 and 2020.
According to the factors studied, 40% of the studies focused on the finance and
innovation factors; 25% dealt with the strategic management factor; 15% focused on
marketing; 20% on other factors.
Table 1 presents the 20 competitiveness factors of Latin American hotel SMEs.
Table 1 The 20 most important competitiveness factors of Latin American hotel SMEs
Absolute Relative
Ranking Factor Country Authors Design frequency frequency
1 Innovation Mexico, Bahamas, Colombia, Costa Porter (2010), Hongyun et al. Qualitative, 70 0.25454545
Rica, Ecuador, El Salvador, Aruba, (2019), Moen et al. (2018), Yukl quantitative,
Guatemala, Honduras, Barbados, and Mahsud (2010), Biemans and and mixed
Puerto Rico, Jamaica, Perú, Griffin (2018), Domi et al. 2019,
Argentina, Brazil, Cuba, República Tsai (2009), Rodriguez-Sanchez
Dominicana, Islas Vírgenes, et al. (2017)
Uruguay, Paraguay
2 Finance Mexico, Bahamas, Colombia, Costa Perea Quezada and Rivas Tovar Qualitative, 69 0.25090909
Rica, Ecuador, El Salvador, Aruba, (2006), Molina Ycaza and quantitative,
Guatemala, Honduras, Barbados, Sánchez-Riofrío (2016), Dimitrić and mixed
Puerto Rico, Jamaica, Perú, et al. (2019), Kim et al. (2013),
Argentina, Brazil, Cuba, República Tan (2017), Bello and Sensini
Dominicana, Islas Vírgenes, (2020), Helleloid and
Uruguay, Paraguay Sheikholeslami (1996), Auken
and Lema (2003), Moreno Rojas
and Martín Samper (2002), Lima
Santos et al. (2016)
3 Strategic Mexico, Colombia, Costa Rica, Perea Quezada and Rivas Tovar Qualitative, 44 0.16000000
management Ecuador, Aruba, Barbados, Puerto (2006), Ramírez Galaviz (2017), quantitative,
Competitiveness of Small- and Medium-Sized Hotel Companies: Latin. . .
Rico, Jamaica, Peru, Argentina, Bustamante (2019), Caicedo- and mixed

Brazil Barreth et al. (2020), Lana
(2008), Becerra et al. (2016),
Fernandez (2017), Gârdan et al.
(2020), Dimitrios et al. (2020),
López Noriega et al. (2019)
(continued)
1545
Table 1 (continued)
1546
Absolute Relative
4 Marketing Mexico, Colombia, Costa Rica, El-Ansary (2006), Yadav and Qualitative, 35 0.12727272
Ecuador, Aruba, Barbados, Puerto Tripathi (2014), Martínez Santa quantitative,
Rico, Jamaica, Peru, Argentina, María et al. (2010), Shehu and and mixed
Brazil Mahmood (2014), Hassen and
Singh (2020), Gyulavári and
Kenesei (2012), Alhakimi and
Mahmoud (2020), Szopinski and
Staniewski (2016), Bocarando
Lara et al. (2017), Peñate Santana
et al. (2021)
5 Human capital Mexico, Colombia, Costa Rica, El-Ansary (2006), Yadav and Qualitative, 11 0.04000000
Ecuador, Chile, Argentina, Brazil Tripathi (2014), Martínez Santa quantitative,
María et al. (2010), Shehu and and mixed
Mahmood (2014), Hassen and
Mahmoud (2020), Szopiński and
et al. (2021)
6 Leadership Mexico, Colombia, Costa Rica, El-Ansary (2006), Yadav and Qualitative, 10 0.03636363
Ecuador, Chile, Argentina, Brazil Tripathi (2014), Martínez Santa quantitative,
María et al. (2010), Shehu and and mixed
Mahmood (2014), Hassen and
Mahmoud (2020), Szopiński and
A. E. Pérez Brito et al.
et al. (2021)
7 Sustainability Mexico, Colombia, Costa Rica, Hongyun et al. (2019), Moen Qualitative, 10 0.03636363
Ecuador, Aruba, Barbados, Puerto et al. (2018), Yukl and Mahsud quantitative,
Rico, Jamaica, Peru, Argentina, (2010), Biemans and Griffin and mixed
Brazil (2018), Domi et al. (2019)
8 Production Mexico, Colombia, Costa Rica, Alhakimi and Mahmoud (2020), Quantitative 10 0.03636363
Ecuador, Aruba, Barbados, Puerto Szopiński and Staniewski (2016), and mixed
Rico, Jamaica, Argentina, Brazil Bocarando Lara et al. (2017),
Peñate Santana et al. (2021)
9 Logistics Mexico, Colombia, Costa Rica, Perea Quezada and Rivas Tovar Quantitative 9 0.0327272
Aruba, Barbados, Puerto Rico, (2006), Molina Ycaza and and mixed
Jamaica, Brazil, Argentina Sánchez-Riofrío (2016), Dimitrić
et al. (2019), Kim et al. (2013),
Tan (2017)
10 Social Mexico, Colombia, Costa Rica, Perea Quezada and Rivas Tovar Quantitative 9 0.0327272
responsibility Aruba, Barbados, Puerto Rico, (2006), Molina Ycaza and and mixed
Jamaica, Brazil, Argentina Sánchez-Riofrío (2016),
Alhakimi and Mahmoud (2020),
Szopiński and Staniewski (2016)
11 Quality Mexico, Colombia, Costa Rica, Martínez Santa María et al. Quantitative 9 0.0327272
Ecuador, Chile, Argentina, Brazil (2010), Shehu and Mahmood and mixed
(2014), Hassen and Singh (2020),
Gyulavári and Kenesei (2012),
Alhakimi and Mahmoud (2020),
Szopiński and Staniewski (2016)
Competitiveness of Small- and Medium-Sized Hotel Companies: Latin. . .
12 Legal rules Mexico, Colombia, Costa Rica, Hongyun et al. (2019), Moen Qualitative, 8 0.02909090
Chile, Argentina, Brazil et al. (2018), Yukl and Mahsud quantitative
(2010), Biemans and Griffin
(2018)
(continued)
1547
Table 1 (continued)
1548
Absolute Relative
13 Internationalization Mexico, Colombia, Costa Rica, Perea Quezada and Rivas Tovar Qualitative, 7 0.02545454
Chile, Argentina, Brazil (2006), Ramírez Galaviz (2017), quantitative
Bustamante (2019), Caicedo-
Barreth et al. (2020), Lana
(2008), Becerra et al. (2016),
Fernandez (2017)
14 Organizational Chile, Ecuador, Argentina, Brazil, Ramírez Galaviz (2017), Qualitative, 6 0.02181818
culture Costa Rica Bustamante (2019), Caicedo- quantitative
Barreth et al. (2020), Lana (2008)
15 Investigation and Chile, Ecuador, Argentina, Brazil, Alhakimi and Mahmoud (2020), Qualitative, 5 0.02181818
development Costa Rica Szopiński and Staniewski (2016), quantitative
Bocarando Lara et al. (2017),
16 Government Mexico, Chile, Brazil, Peru, Shehu and Mahmood (2014), Qualitative, 5 0.02181818
Bahamas Hassen and Singh (2020), quantitative
Gyulavári and Kenesei (2012)
17 Business Costa Rica, Brazil, Argentina, Cuba Perea Quezada and Rivas Tovar Quantitative 4 0.01454545
environment (2006), Ramírez Galaviz (2017),
Bustamante (2019), Caicedo-
Barreth et al. (2020)
18 Infrastructure Barbados, Cuba, Chile, Costa Rica Yukl and Mahsud (2010), Quantitative 4 0.01454545
Biemans and Griffin (2018),
Domi et al. (2019)
19 Digitalization Mexico, Chile, Brazil Bocarando Lara et al. (2017), Quantitative 3 0.01090909
20 Intellectual Mexico, Costa Rica Bocarando Lara et al. (2017), Quantitative 2 0.00727272
property Peñate Santana et al. (2021)
Source(s): Own elaboration
A. E. Pérez Brito et al.
Discussion of Results (Fig. 3)
Many of the aspects that defined the concept of competitiveness a few years ago have
begun to be overtaken by the reality of the present-day market which is both
demanding and highly dynamic. The globalization of markets, the emphasis on
technology, product quality, and customer service constitute some of the main
factors that companies must prioritize if they are not to lag behind their competitors.
It was observed that the hotel SMEs studied do not follow a methodology
regarding the strategies to promote their business growth and the financing of their
activities. There is no perceived interest by the owners in the formulation, imple-
mentation, and evaluation of strategies to achieve goals and objectives, which could
generate instability in the long term.
This coincides with the findings of Tsai et al. (2009) and Perea Quezada and
Rivas Tovar (2006), who affirm that SMEs are mainly family businesses in which the
administrator or owner is the one that provides the capital; however, the management
carried out is empirical, for the infrastructure of the companies is focused on meeting
the demand and not on planning; hence they lack vision and mission and do not
adequately define objectives, goals, and strategies to achieve said objectives and
goals.
One of the main reasons for the early closure of these companies is the impos-
sibility of accessing the financial resources that SMEs require for their continued
401 Records identified through 9 Records identified through

database searching dissertations repositories
Identification
searching
230 Records after duplicates

removed
Screening
230 of records screened 55 of records excluded

Elegibility
175 of studies included in

qualitative synthesis
Included
Fig. 3 Flowchart of the study selection process. (Source(s): Own elaboration based on Moher et al.
(2009))
operations. Therefore, the financing concern is highly relevant to hotel SMEs in

Latin America since, without access to financing sources and sufficient flows, the
company cannot operate, thus leaving it with less chance of survival.
This coincides with the idea by Tsai et al. (2009), who points out that SMEs will
seek the most appropriate form of leverage, which is related to the pecking order
theory developed by Myers and Majluf (1984), in which a hierarchy is established in
relation to making financing decisions, preferring internal financing, followed by
debt, and, finally, capital increase.
One of the main financial problems faced by hotel SMEs is economies of scale
and entry costs, which leave them at a severe disadvantage compared to large hotel
chains. Public policies are also part of the problem since in the vast majority of cases,
they are designed to favor large chains due to their influence on the economies of
countries and regions, unlike SMEs, which, because of their size, have a minimal
level of influence. On this issue, Bojórquez Zapata et al. (2015) pointed out that the
teaming up of SMEs would allow them to reduce fixed costs and increase the level of
power that owners can obtain as a group.
It has been discovered from various analyses carried out in the hotel sector that
the hotel industry has a high level of competitiveness on a global scale and that those
responsible for making decisions face markets with peculiar approaches. Therefore,
it is essential to have tools that support strategic management; in addition to this, the
use of indicators and operational ratios are also relevant in the hotel sector. Two of
the most important indicators in this sector are RevPAR, which measures income
from the accommodation, and TRevPAR, which focuses on hotel income in general
(Lima Santos et al. 2020).
In terms of innovation in hotel SMEs in Latin America, it is observed that the
types of innovation adopted, to a greater extent, are related more to the service than
to the process, since the main motivation to carry out the innovations is to meet the
pressure imposed by demand. However, they are still not very relevant compared to
the innovation processes of large companies. Regarding research and development, a
very small group in Ecuador, Costa Rica, and Colombia has approached an institu-
tion or developed a program that can provide some support service in the develop-
ment and implementation of innovations. It was found that most of the companies
made service innovations, either through changes to improve the existing ones or by
expanding their variety of services.
In Mexico, Argentina, Colombia, and Costa Rica, for process innovation pur-
poses, 90% of SMEs acquired some goods, equipment, or furniture, while 55% made
changes or improvements in the way the company provides the service of hospitality.
The above aspects coincide with what is established by Porter (2010) and Nieves
et al. (2015) who point out that SMEs, due to their size and economic capacity, lack
the necessary resources to develop and implement innovative characteristics in their
processes and services.
For marketing purposes, efficient and effective customer management has a
beneficial impact on the company’s financial results. It is expected that successful
management will increase the preferences of said clients while maintaining the
relationship with important clients, which will result in an increase in sales,
competitiveness, and permanence for hotel SMEs in the long term. This is to say that
marketing does not refer only to sales but is a factor that aims to satisfy the diverse
needs of customers, and this is in line with what is established by Gyulavári and
Kenesei (2012).
Although the criteria and indicators of the GSTC 2016 contribute to the 17 SDGs,
the socioeconomic sustainability section and the subsection’s contribution of local
benefits are the ones that directly affect the achievement of SDG 8 (work and
economic growth), through understanding the economic contribution of tourism,
decent work and professional opportunities, and support for local entrepreneurs and
fair trade. This strategic economic sector is closely related to Sustainable Develop-
ment Goal 8, since, as already mentioned, it affects economic growth through the
creation of decent jobs. A decent job brings with it an increase in consumption,
which in turn generates income and profits for business owners, leading to the
creation of new sources of employment; the people have for more financial resources
at their disposal; in this way, the economic cycle of a region is sustained. Addition-
ally, the establishment of indicators in hotel SMEs such as the direct or indirect
economic contribution of tourism in the destination; the distribution of benefits in the
destination; the training and employment opportunities promoted by local people;
the channels to verify working conditions, advice, financing, or other support
available in the destination for hotel-related SMEs; and assistance in accessing the
market for local hotel-related SMEs are essential to measure and monitor progress in
achieving the SDG 8 in hotel SMEs in Latin America.
Conclusions
Competitiveness factors in SME hotels can be considered part of the new research
field. It is a fact that only 175 scientific papers related to this topic are available on
the principal free databases. In summary, in Latin American hotel SMEs, there are
four main factors to consider in the competitiveness of these companies: innovation,
finance, strategic management, and marketing. Finance and innovation are the two
most important factors for the competitiveness of SMEs.
Integrating the SDGs in hotel companies, regardless of their size, supports the
recognition and management of risks as well as the generation of innovation in the
possible services that they can offer. Likewise, these objectives lead to the estab-
lishment of a continuous dialogue with the different actors that participate in this
sector, which increases trust and generates a better perception of the company.
Finally, a complete list of criteria for the impact of the business is obtained, and
the business strategy is assessed from a financial perspective. As can be seen, there is
interference in the four most important factors of competitiveness for hotel SMEs in
Latin America, so the SDGs help reinforce the competitiveness of these companies
and also strengthen the commitment of the hotel SMEs to society that becomes more
demanding day by day.
Among the limitations found to carry out this study, we can mention the com-
plexity of accessibility to articles found in databases such as Web of Science and
Scopus, as well as repositories from countries that were not considered in the review.
In future research derived from this chapter, there is an urgent need to generate
indicators through a pilot survey that allows proposing a measurement methodology
not obsolete and that allows the sector to make decisions that affect the daily work of
organizations, especially in the tourism sector, being a necessity by its very nature
that is sensitive to world events. Research findings also contribute to hotel manage-
ment by highlighting the importance of maintaining management indicators to
facilitate the formulation and implementation of strategies. There is a new research
branch for innovations in marketing, finance, and management strategies which help
to become more assertive and have a better performance.
Cross-References

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Digital Divide in Mexico in the Context
of the COVID-19 Pandemic
Christian Cruz-Meléndez and Oscar David Valencia-López
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1558
Background of the Digital Divide as Inequality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1559
Origins of the Term “Digital Divide” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1561
Conceptualizing the Digital Divide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1562
Digital Divide as a Public Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1565
The Digital Divide and the COVID-19 Pandemic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1567
The Challenge of Inequality and the Digital Divide in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1569
The COVID-19 Pandemic in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1573
The Digital Divide in the Context of the COVID-19 Pandemic in Mexico . . . . . . . . . . . . . . . . . . 1574
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1578
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1579
Abstract
The goals established in the 2030 Agenda recognize persistent and urgent prob-
lems governments, companies, and societies face. The 2030 Agenda sets the goal
10, “Reduce inequality within and among countries,” and the specific goal 10.2,
which aims to, “by 2030, empower and promote the social, economic, and
political inclusion of all, regardless of age, sex, disability, race, ethnicity, origin,
religion, economic, or another status.”
One of these problems is inequality in all forms, such as access to and use of
information and communication technologies (ICTs). This inequality between
those who access and benefit from technologies has been called the Digital
C. Cruz-Meléndez (*)
Researcher CONACYT-UNSIS, Graduate Studies Division, Calle Guillermo Rojas Mijangos S/N,
Esq. Av. Universidad Col. Ciudad Universitaria, Miahuatlán de Porfirio Díaz, Mexico
O. D. Valencia-López
Graduate Studies Division, Universidad de la Sierra Sur (UNSIS), Calle Guillermo Rojas Mijangos
S/N, Esq. Av. Universidad Col. Ciudad Universitaria, Miahuatlán de Porfirio Díaz, Mexico

https://doi.org/10.1007/978-3-031-16017-2_16
1558 C. Cruz-Meléndez and O. D. Valencia-López
Divide, which is considered a multidimensional phenomenon, i.e., there are

several ways of studying its causes and consequences. Governments have
designed public policies to overcome the Digital Divide, and although the
advances are notable and satisfactory, they are not sufficient in the context of
the COVID-19 pandemic. The case of Mexico is an example of this. Since the
beginning of the millennium, the fight against the Digital Divide has been on the
Mexican government’s plan with concrete results. In 2000, there were 100 million
inhabitants and only 5 million Internet users; in 2020, there were 126 million
Mexicans, of which 86 million had access to ICTs. The unexpected COVID-19
pandemic in 2020 and the social distancing measures led to the suspension of
face-to-face activities, so ICTs were the means to maintain essential aspects such
as trade, economy, government, education, leisure, and social relations. These
actions further highlighted the existing Digital Divide and deepened the need to
continue efforts to close the gap between those who do and do not have access to
technologies.
Keywords
Digital divide · Digital inclusion · ICTs · Information society · Knowledge
society · Inequality · Poverty · Literacy · Pandemic · Quarantine
Introduction
Inequality has been present in the history of humanity. Since human beings began to
form the first societies, there have been differences between people and groups.
Paradoxically, the positive advances of humanity have become rights, such as
education, health, housing, security, essential public services, decent and well-paid
work, and have had the shadow of inequality, i.e., “an asymmetrical distribution of
goods and social values, advantages and disadvantages of a society” (Coloma 2018).
In this regard, Reygadas (2004) points out that there are several types of inequality,
for example, of income, quality of life, status, degrees of freedom, and access to
power, and there are also asymmetries in the distribution of goods and equality of
opportunities.
Oxhorn (2001) defines inequality as the asymmetric result between two elements
to be compared. This definition falls short since it is a multifactorial problem, and
one factor is the different local, state, national and international, or global contexts.
The present health emergency is an example of a global context that integrates
complex national and subnational contexts.
Aware of the need to combat inequality worldwide, countries have signed several
agreements that commit to implementing actions and public policies to achieve this
goal. This need is why the 2030 Agenda for Sustainable Development was approved
at the United Nations Summit on September 25, 2015. This document recognizes the
challenge of eradicating poverty and inequality in all its forms and commits to “take
Digital Divide in Mexico in the Context of the COVID-19 Pandemic 1559
the bold and transformative actions urgently needed to put the world back on the path
to sustainability and resilience” (UN 2015).
Likewise, this document also recognizes the persistence of inequalities between
and within countries. There are inequalities in income, employment, opportunities,
gender, wealth, and power. The agenda establishes 17 universal goals, the result of
2 years of work and aspirations for a “world free of poverty, hunger, disease, and
deprivation, where all forms of life can flourish; a world free from fear and violence;
a world in which literacy is universal, with equitable and widespread access to
quality education at all levels, health care, and social protection, and where physical,
mental and social well-being is ensured” (UN 2015). The goals include ending
poverty; ending hunger; ensuring healthy lives; quality and inclusive education;
gender equity; sustainable energy; sustained economic growth; resilient infrastruc-
ture; reducing inequality; safe, resilient, and sustainable cities and human settle-
ments; sustainable consumption and production; combating climate change;
conserving and sustainably using the oceans; sustainable use of terrestrial ecosys-
tems; peaceful and inclusive societies; and revitalizing the Global Partnership for
Sustainable Development.
The objective addressed in this work is number 10, which refers to the reduction of
inequalities regarding access to ICTs and connectivity. It is based on recognizing the
existence of inequalities worldwide, which occur due to income, gender, age, disability,
sexual orientation, race, class, ethnicity, religion, and opportunity. Consequently, these
inequalities have a negative impact on social and economic development, poverty
reduction actions, and even affect people’s feelings of fulfillment and worth
(UN 2016). It is recognized that equality is necessary to ensure a life of dignity for
all; therefore, “economic and social policies should be universal and pay special
attention to the needs of disadvantaged and marginalized communities” (UN 2016).
In addition to the inequalities that have been present in the past, the COVID-19
pandemic arose in 2020, which intensified these problems and made them more
notable. According to the United Nations (2020a), the virus presents a greater risk
for those living in vulnerable situations, for example, the poor, the elderly, people
with disabilities, and other preexisting conditions.
According to Bottan, Vera-Cossio, and Hoffmann (2020), the measures that have
been taken to contain the COVID-19 pandemic, such as social distancing and the use
of technologies to study or work, have increased the social gaps that existed before
the health emergency. One of these gaps refers to access to information and com-
munication technologies (ICTs).
Background of the Digital Divide as Inequality
When talking about asymmetries and social inequalities, these can be related to
salaries, education, jobs, health services, and, of course, ICTs cannot be left out.
According to Ordóñez (2007), it has played a fundamental role in the progress of
humanity and has been a way of solving everyday problems. For a long time now, we
no longer discuss only technology, but ICTs. ICT is known as “the set of tools,
supports and channels developed and supported by technologies (telecommunica-
tions, computers, software, computers, and internet) that allow the acquisition,
production, storage, processing, communication, recording and presentation of
information, in the form of voice, images and data, contained in signals of acoustic,
optical or electromagnetic nature to improve the quality of life of people” (Ávila
2013).
It is said that the emergence of technologies generates a revolution or innovation
leaps that transform the economy and society, create wealth, and make industries and
activities more efficient (Peréz 2010). In this case, ICTs, their emergence,
massification, and impact on practically all human activities caused the fourth
industrial revolution, which “is based on the digital revolution. It is characterized
by a more ubiquitous and mobile internet, by smaller and more powerful sensors that
are increasingly cheaper, and by artificial intelligence, and machine learning”
(Schwab 2017). In this revolution, adds Schwab (2019), people and even objects
are connected to the Internet, a medium through which transactions and exchanges
of information and data occur. It is an era of innovation, understood as “the
introduction of a new, or significantly improved product (good or service) of a
process, of a new marketing method or a new organizational method, in the internal
practices of the company, the organization of the workplace or external relations”
(OECD 2016).
As mentioned, technological revolutions generate changes in economic and
social relations. And just as the industrial society was once called the industrial
society, the ICT era gave way to the post-industrial society (Bell 1976) characterized
by an economy based on services and more intellectual activities based on informa-
tion and knowledge for decision-making. The use of ICTs and their role in informa-
tion dissemination and knowledge generation gave way to the term “information and
knowledge society.”
The need to recognize this technological, economic, and social change arose in
2003 at the “World Summit on the Information Society,” which called for harnessing
the potential of technology to achieve the Millennium Development Goals of social
development, poverty eradication, access to health and education, and sustainable
development. The summit also recognized the impact that ICTs have on all aspects
of human life, and that they are an instrument for the economy and improving the
quality of life. Thus, the need for the majority of people to have access to ICTs is
recognized as a global and permanent challenge.
Another important fact was the recognition of Internet access as a human right by
the United Nations (UN) in 2011 since it was considered “a tool that favors the
growth and progress of society as a whole” (Miranda 2016). According to Carbonell
and Carbonell (2014), the importance of the Internet to consider it a human right lies
in the fact that it is a means for the acquisition of knowledge and information, for
communication, interaction with the government either doing paperwork or receiv-
ing services, and also for financial and commercial activities. As a human right,
access to the Internet and ICTs belongs to the fourth generation of these rights,
including those seeking equal access, appropriation, and democratic distribution of

its benefits (Aguirre and Manasía 2015).
In this way, access to the Internet and, in general, ICTs becomes part of a
government plan that transcends ideologies, political parties, and government
periods to become an authentic state agenda. It should be noted that the above
carries risks, such as the quality of Internet access service; digital “walls” to free
expression; new Digital Divides; or the temptation to replace and control the role or
the productive and visionary process of companies in the provision of ICT and
Internet services (Valencia et al. 2018).
Origins of the Term “Digital Divide”
As mentioned, since the end of the twentieth century, we have been living the fourth
industrial revolution, marked by ICTs, which has transitioned to the information and
knowledge society. However, not all human beings can, know, or want to access the
Internet and ICTs; not all people can access devices such as a personal computer or a
smartphone. According to Schwab (2017), this technological revolution brought
benefits and significant challenges, particularly inequality in access to ICTs.
As a background to interest in solving the problem of the lack of access to
technologies by large numbers of people, the “Report of the Independent Commis-
sion for the Development of Telecommunications” was published in 1985. The
report recognizes the importance of telecommunications worldwide and in practi-
cally all sectors of human activity (ITU 1985), including communication, emergency
services, economic, banking, commercial activities, tourism, information dissemi-
nation, and administrative processes of public and private sector organizations. The
document points out disparities in the quality and quantity of people who can access
telecommunications.
Among the reasons for this contrast in access to technologies are geographic
location and the lack of roads to reach the most remote places, connectivity costs for
providers, especially in remote areas that are not considered profitable markets,
poorly qualified personnel, and project planning problems.
The report concludes by recommending that telecommunications be recognized
as a priority for the growth of countries and that both the governments of countries
(especially those considered developed) and international organizations in charge of
telecommunications promote investments, plans, and public policies to eliminate
disparities in access to technology.
As can be seen, this report talks about who can or cannot access telecommuni-
cation technologies but does not use the term Digital Divide. Still, it does speak
about the situation that this concept would represent, so it is considered a precedent.
This chapter does not intend to enter into the debate on the origin of the term
Digital Divide, but it will mention some hypotheses found in the literature on the
subject. For example, Gunkel (2003) considers that the origin of this term is
ambiguous and cites two possible sources. One was the 1998 report “Falling
Through the Net II: New Data on the Digital Divide,” which addressed the persistent
Digital Divide that existed for geographic location, economic income, and even
racial issues (McConnaughey 1998). According to Gunkel (2003), the other possible
source is the journalists Jonathan Webber and Amy Harmon of the LA Times, who
used the concept in a 1995 newspaper article. For his part, Lupac (2018) agrees that
the term’s origin is McConnaughey’s 1998 report, the same as Van Dijk (2017).
Beyond having the exact time and author of the term Digital Divide, it should be
noted that it was recognized as a problem early. At the end of the last century, when
the ICT era began, it began to be visualized that access or nonaccess would make it
difficult for all human beings to benefit from the new and increasingly evolved
technologies. Therefore, they would be left out of the fourth industrial revolution and
the information and knowledge society. This problem persists until the beginning of
the third decade of the twenty-first century.
Conceptualizing the Digital Divide
Conceptualization in social sciences is very complex because it is a matter of

“interpreting a reality that can only be observable through its historical unfolding,
and there is a tendency to disagree about its scope concerning the reality purportedly
captured” (Oszlak 2016). For Webster (2014), the social sciences have to explain
how life is lived in each era, and he states that the fact of labeling a phenomenon
generates debates, which derives from the need to generalize concepts, which with
all the misunderstandings that may arise help to explain a phenomenon. For his part,
Sartori (2011) points out that it is important to attribute a name to an object, or it may
go unnoticed, but that more important than simply identifying the object or phe-
nomenon is to give it an interpretation and a meaning.
According to Peña-López (2010), when reviewing an article on the Digital
Divide, one expects to find a solid, specific, and univocal definition. Still, in this
case, we are dealing with a flexible and changing concept, which depends on the
time and place where it is being conceptualized and the approach it is being given
(poverty gap, illiteracy gap, disinterest gap, geographic location gap, race gap,
gender gap, etc.).
In a simple manner, it has been understood and popularized the idea that the
Digital Divide is the difference between those who do and do not have access to
technologies, i.e., who can or cannot have a computer, a cell phone, connect to the
Internet or have access to any technology. This idea, in general, can be considered
correct, but at the same time, very broad. And that when the term Digital Divide was
first used, it was limited to having or not having access to some technology.
According to Van Dijk (2006), the term is ambiguous and generates confusion,
and three inaccuracies can be identified in its identification:
• It is not a simple division between those who have access to ICTs and those who
do not.
• The gap is not difficult to close.
• The Digital Divide is not a situation of absolute access or nonaccess, but there are
relative inequalities within it.
Norris (2001), for his part, points out that the Digital Divide is a multidimensional
phenomenon that encompasses other inequalities such as income, education, and
employment. In other words, it is not a unique or total phenomenon whose under-
standing is exhausted in connected and disconnected since doing so would only
show one dimension of a more complex problem.
It is important to remember what Van Dijk (2006) mentioned that it is necessary to
go beyond access and consider aspects such as skills, competencies, use, and
application of technology to understand the Digital Divide.
Therefore, this chapter does not seek to exhaust the understanding of the Digital
Divide as a mere situation of access and nonaccess to technologies but rather to make
it clear that it is a problem that has diverse perspectives, causes, and consequences.
In this sense, Perez (2004) points out that the term Digital Divide refers to several
phenomena such as lack of equipment, lack of access to the Internet, or the
differences that may exist in broadband access. For their part, Gómez, Alvarado,
and Martínez (2018) point to Pipa Norris as a precursor of the Digital Divide concept
and of asserting that it is not only a question of access or not to technologies, but that
there are also social, democratic, and economic gaps to overcome.
For Castaño (2008), the first gap is related to access, and the second is the ability
to use ICTs. In other words, a person may have the economic means to access the
best technologies but may lack the knowledge or skills to use them.
Thus, it is not enough to say that there is no access, but it is also necessary to
understand the reasons why this occurs, which is a recurring theme in the literature
on the Digital Divide. On this, De Benito-Castañedo (2017) points out the Digital
Divide for reasons such as gender, age, disability, geographic location, economic,
labor, and training situation. For his part, Rodríguez (2006) proposes that to be able
to understand the complexity of the Digital Divide, it is necessary to recognize its
determinants and points out the following:
• Economic: revenues, infrastructure cost, and connection cost

• Demographics: gender, age, and ethnicity
• Cultural: language, education, and marginalization
Another proposal for determinants of the Digital Divide is proposed by Lee, Park,
and Hwang (2015).
• Demographic aspects, including inequalities caused by gender, age, race, and

educational level
• Unequal access to the technological infrastructure, the tangible part of it, such as
telecommunication lines, antennas, devices, and the intangible part such as
telephone and Internet signals
• Digital skills and competencies for using technologies, including instrumental,
creative, and networking skills
Another model of Digital Divide determinants is that of Sorj (2008), which

includes
• Access to infrastructure, tangible and intangible.

• Equipment for individual access, such as computers, telephones, and modems.
• The presence of telecenters allows access to those who do not have the possibility
of acquiring their own infrastructure or are in remote areas.
• Training or digital literacy that allows the acquisition of skills to use technologies.
• Digital literacy cannot be separated from traditional literacy, i.e., learning to read,
write, and perform basic mathematical operations.
It is interesting to consider Van Dijk’s (2006) idea that in addition to the gap due
to not being able or not knowing how to access technologies, there are also people
who feel they do not need to use technologies because they consider them danger-
ous, or who lack the means and skills to use them. Continuing with this idea of going
beyond having or not having access to ICTs, Hernández, Pousada, and Gómez
(2009) point out that the Digital Divide has to do with aspects in older people that
have nothing to do with access. They point out reasons such as their lack of
experience, which causes them anxiety when being in contact with something that
may be completely new, or considering that they do not need them, self-perceived as
incapable of learning to use them, and distrust toward technology.
In other words, the reasons for not accessing technologies may include psycho-
logical reasons. In this sense, we return to the work of Gardner, Young, and Ruth
(1989), who identify how technologies affect users and propose two categories:
• Anxious: They are uncomfortable with technologies and avoid them if possible.
• Phobics: They avoid technologies and may have reactions such as panic attacks,
sweating, tachycardia, and fear of losing control of the situation.
Similarly, for Van Dijk (2017), incorporating technology in virtually all aspects of
human life has generated consequences such as computer anxiety and technophobia,
which cause distrust in ICTs. Its potential benefits are questioned, leading to a barrier
to access.
Llorca, Llorca, Bueno, and Diez (2011) comment that the fear of innovation and
technology has been present since ancient times, which leads to an aversion to
technologies. This fear also produces little motivation and confidence in using
ICTs and a negative attitude toward them.
Another interesting aspect about those who prefer to live away from technology is
culture. Recently, Martínez, Fernández, and Martínez (2020) discovered that in some
indigenous communities in southern Mexico that are very attached to their culture,
traditions, uses, and customs, they perceive that ICTs take people away from their
religious beliefs and obligations as it absorbs their time and attention, making them
forget their faith.
ICTs have evolved, have become more sophisticated, and are immersed in the
most important aspects of human life. Their benefits are more significant, leading to
the Digital Divide being a problem of access, capabilities, and skills to take advan-
tage of technology.
Once the scope of the term Digital Divide has been addressed and that it is a
complex and multifactorial phenomenon, it is proposed to understand the Digital
Divide as a public problem that affects people, communities, and regions. Since they
do not take advantage of the potential benefits offered by ICTs, that leads them to
live in a situation of digital exclusion. This situation causes people in this condition
to not access e-commerce, distance education, e-health, e-government, e-democracy,
and other daily aspects of human activity.
The idea is maintained that the concept is flexible; it has an essence, in this case,
people who cannot take advantage of ICTs, but what can change is the cause and
consequence of the Digital Divide.
Digital Divide as a Public Problem
Therefore, the Digital Divide is a public problem recognized as a phenomenon with

significant consequences, affecting entire populations and communities. This recog-
nition is affirmed based on the characteristics that have been identified in this type of
problem, which implies that it should be recognized as a deficiency of society
“through studies and reports that, using rigorous social research methods, show
that in society, or a specific community, there is a situation that negatively affects the
welfare, the possibilities of development or progress, social coexistence, the envi-
ronment or the very existence of the community” (Olavarria 2007).
According to Pedroza (2018), a public problem has its origin in the dissatisfaction
of a group of people (from a community to entire regions), by a lack of something,
and that it is perceived as unacceptable (Kraft and Furlong 2017). Public problems
are complex, twisted, or malignant; according to Rittel and Webber (2017), they are
characterized by being problems without a definitive formulation, without criteria
that establish when the solution is reached, whose solution is never true or false but
good or bad and lacks an immediate or resolving proof, frequently unpublished
problems, symptomatic of problems of greater transcendence.
For Dunn (2008), public problems are not isolated but maintain interdependence
among them. They are subjective because they are determined according to ideolo-
gies and circumstances, are artificial because they are created by human beings and
are not a matter of nature, and are unstable as soon as their negative consequences
and solutions are perceived.
It can be considered that the Digital Divide has all the elements to be regarded as a
public problem, taking into account that it is a situation that affects a community and
not just a small group of people. For Alva de la Selva (2015), the Digital Divide is
the cause of the marginalization of social sectors and gives it the title of “a new face
of Inequality.”
The Digital Divide is also a deficiency that “negatively affects the well-being, the
possibilities of development or progress, social coexistence, the environment or the
very existence of the community” (Olavarria 2007). The author adds that it can be
measured and demonstrated using rigorous reports and studies that prove the prob-
lem’s existence. Related to the Digital Divide, the International Telecommunication
Union (ITU) is the specialized agency of the United Nations Organization respon-
sible for regulating telecommunications at the international level. It was founded in
1865, with headquarters in Geneva, Switzerland, and its origins date back to the
invention of telegraph systems. It has statistics on access and penetration of tech-
nologies, with which it “is responsible for the collection and official reporting of
global and national telecommunication/ICT data and statistics within the United
Nations system,” including data used by international (e.g., the World Bank) and
external organizations (e.g., the World Economic Forum, Internet World Stats and
Statista).
The Organization is also responsible for several United Nations Sustainable
Development Goals indicators. These include “data on fixed telephone network
supply, mobile telephone services, Internet/broadband, traffic, revenues and invest-
ments, as well as prices of ICT services, ICT household data collected from national
statistical offices; these include data on household ICT access demand and individual
ICT use” (ITU 2019).
Other studies addressing the consequences of the Digital Divide in specific areas
include Doing Business, a report prepared by the World Bank that ranks the ease of
doing business in 190 countries. It mentions that low digital literacy and poor access
to information technologies hinder the development of economies in developing
countries from using electronic systems for tax payments, thus becoming more
competitive.
Similarly, the UN’s e-government studies presented every 2 years show the
progress in using ICT by governments and the benefits that this brings to businesses,
governments, civil society, and citizens. In the last report presented in 2020, the
Digital Divide is pointed out as a brake for the digital transformation of governments
and access to digital public services by populations far from technologies
(UN 2020b). It is also worth noting the study Digital Economy Report, prepared
by the UN (2019), which highlights the Digital Divide as a constraint for the
economic development of countries.
Finally, to characterize the Digital Divide as a public problem, we can take up
again what Rittel and Webber (2017) mentioned. The definition of this type of
problem depends on one’s point of view. For example, the Digital Divide was seen
only as an access problem, so the solution was to bring ICTs closer to the discon-
nected. However, as mentioned, the gap can also be seen as a problem of digital
skills, poverty in terms of income, or even a problem linked to very particular
psychological aspects of each person who voluntarily does not want to access ICTs.
Every public problem demands the attention and action of the authority vested
with power and faculties to address it for the benefit of a community. For example,
action in the form of public policies is understood as “decisions, actions, inactions,
agreements, and instruments, advanced by public authorities with the eventual
participation of individuals, and aimed at solving or preventing a situation defined
as problematic” (Velásquez Gavilanes 2009). In this sense, once the Digital Divide
has been recognized as a public problem, it has entered the government agenda, i.e.,
where problems or negative situations are included, in which governments have paid
attention and consequently decide to act (Aguilar 2017).
Governments have included the Digital Divide in their institutional agendas.
Therefore, they have developed public policies that must be supported by evidence,
which helps to make well-informed decisions that complement the opinion and
knowledge of experts on a given topic (Sutcliffe and Curt 2005). According to
Strydom, Funke, Nienaber, Nortje, and Steyn (2010), evidence can be obtained from
surveys, quantitative and qualitative data, as well as attitudes, behaviors, anecdotes,
and scientific research.
Given that the Digital Divide is a complex problem with diverse origins, such as
poverty, illiteracy, race, gender, geographic location, educational level, and even
psychological attitudes, policies must be based on evidence to combat this problem.
Evidence of the Digital Divide is obtained from ITU reports, statistics, indicators,
and from the agencies in charge in each country. ITU (2019) indicators include
• Phone subscriptions
• Cell phone subscriptions
• Bandwidth
• Percentage of households with computers
• Percentage of households with Internet access
• Percentage of people with Internet access
• Fixed broadband subscriptions
• Mobile broadband subscriptions
• Schooling
Qualitatively, it is possible to obtain information on the Digital Divide, as

Mecinas (2016) presented. Mecinas collects testimonies on the use of ICTs in a
Tzotzil community in Chiapas and explains the vision of inhabitants of this popu-
lation who see the use of technologies as far from their reach; as they consider them
to belong to people with higher incomes and higher education.
The Digital Divide and the COVID-19 Pandemic
In December 2020, in Wuhan, China, cases of a previously unknown respiratory

disease began to occur. It was caused by a new virus of the coronavirus family,
named 2019-nCoV (novel coronavirus of 2019) (Díaz-Castrillón and Toro-Montoya
2020). The disease spread so rapidly and worldwide that on March 11, 2020, the
World Health Organization (WHO) declared COVID-19 a pandemic. Governments
began to take measures and implement policies to contain the disease, despite the
lack of information and the nonexistence of vaccines or treatments. These policies
included handwashing, keeping distance between people, cleaning surfaces, travel
restrictions, testing for disease traceability, quarantines, border restrictions, cancel-
lation of mass events, and avoiding social gatherings (Murphy 2020).
In this sense, the United Nations Conference on Trade and Development

(UNCTAD) points out that in the scenario of social distancing, ICTs allowed basic
activities to continue to function. This included telemedicine, teleworking, distance
education, and increased teleconferencing platforms, such as Zoom, Skype, Cisco’s
Webex, and others that allowed basic activities to be done remotely (UNCTAD
2020).
ICT has also been a source of information throughout the course of the COVID-
19 pandemic. The UN (2020b) mentioned that technologies have enabled commu-
nication and information sharing between governments and individuals. Information
during the COVID-19 pandemic is critical because it can influence people’s behav-
ior, which can impact the course of the emergency and the outcomes of implemented
policies (Cinelli et al. 2020). It is also essential that the information received is
truthful. ICTs are a means of obtaining and verifying such information, thus avoiding
the infodemic of false and misleading information (PAHO 2020).
It is inevitable to keep in mind the Digital Divide, given the need for millions of
people to use ICTs to continue their education, carry out financial and commercial
transactions, maintain the economic activities from which they derive their income,
receive health services, maintain social contact with family and friends, receive
information and government services, or simply live their daily lives. Because just
as ICTs have become important in this emergency, the situation between those who
are or are not connected is also worsening.
As for working at home, teleworking has become popular. And according to
the International Labor Organization, 23 million people in Latin America and the
Caribbean had to resort to this form of work (Maurizio 2021). However, the
possibility of teleworking depends on the sector in which a person works, the
digitalization of their work organization, and the option of accessing and using
ICTs, which has generated a gap between who can and who cannot telework
(CEPAL 2020).
Another fundamental point impacted by the pandemic is education as schools
were closed and had to resort to virtual education. According to UNESCO data
(2020), face-to-face classes were suspended in more than 190 countries, affecting 1.2
billion students at all educational levels. The alternative has been distance classes
mediated by ICTs, which means that whoever is in the Digital Divide will also be
excluded from the right to education. According to CEPAL data (2020), 46% of
Latin American children between 5 and 12 do not have access to the Internet, which
has resulted in 32 million students being excluded from education due to the
COVID-19 pandemic.
In a situation such as a pandemic, health services become a fundamental point of
care for societies. Still, they are also a risk point for both patients and medical
personnel. To avoid this, ICTs were used to deliver health services, which is not new
but was enhanced by the COVID-19 pandemic. Among the advantages is efficiency
in the service, avoiding the saturation of health centers and hospitals while reducing
the possibility of contagion (CEPAL 2020). Still, there are also disadvantages of
health through ICTs as there are those who are excluded from their right to receive
health services by not having access to them.
The impact that the COVID-19 pandemic has had on people’s daily lives, i.e., on
their day-to-day lives, cannot be overlooked. The COVID-19 pandemic disrupted
their lives because, to avoid contagion, routines, habits, and behavioral patterns had
to be broken. According to Velázquez (2021), life underwent a radical change and
continued thanks to ICTs, through which homes became schools or offices, while
computer screens and smartphones were the spaces for professional and personal
meetings.
According to UN-Habitat (2020), the rapid increase in ICT use in primary areas
may further increase the Digital Divide and other inequalities. As “not having
connectivity not only leaves people even more isolated but also at a great disadvan-
tage as they struggle to access vital things such as education, work or job opportu-
nities. Before the COVID-19 pandemic, many had the opportunity to go to a coffee
shop, bookstore, or place with public internet access, but what about now that many
of these places have closed? How do they get information, access official govern-
ment announcements, and even have video calls with loved ones who live far
away?” (Delgado 2021).
For Mariño and Bercheñi (2020), the Digital Divide during the COVID-19
pandemic becomes more visible as the need to use ICTs increases in a context of
limited access and training about their use.
Thus, the COVID-19 pandemic is characterized by the fact that it occurred in the
era of ICTs, which made it easier to cope with the pandemic. Still, it was also a
COVID-19 pandemic in which inequalities increased, and actions to overcome them
became even more urgent.
This chapter will focus on Mexico, a country with several inequalities, including
the Digital Divide, but in which public policies to address inequalities can be
identified. It is also a country affected by the COVID-19 pandemic. As mentioned
in the general objective, we analyze the results of public policies against the Digital
Divide and in what conditions of Digital Inclusion the country was in to overcome
the health emergency.
The Challenge of Inequality and the Digital Divide in Mexico
According to Cordera (2017), inequality in Mexico is a historical problem, which

has marked the nation and is in practically all aspects such as income distribution,
wage equality, access to technologies, access to constitutional rights such as educa-
tion and health, citizen participation, human development, and gender inequality. In
2015, Mexico promoted and signed the Sustainable Development Agenda, being one
of the most active performers, organizing consultations to learn about the needs that
should be considered in the agenda. Mexico also held economic and social devel-
opment workshops and included subnational and local governments in this process.
One of the central points that Mexico promoted in creating this agenda was the
multidimensional approach to poverty to attack it and promote policies in favor of
sustainability and human rights (UNDP 2019).
One of the significant inequalities in Mexico has been access to technologies, i.e.,
the Digital Divide. As mentioned, the worldwide ICT boom occurred in the last
decade of the twentieth century and the first years of the twenty-first century.
Likewise, in Mexico, the Internet arrived in 1989; although it was restricted to
scientific activities, few people had access and knew how to use it (Koenigsberger
2014).
According to NIC Mexico (the company in charge of registering domains and
website names), the first Internet connection in the country was provided on
February 1, 1989, at the Instituto Tecnológico y de Estudios Superiores de Monter-
rey, with an MX domain. The second institution to establish an Internet connection
was the National Autonomous University of Mexico (UNAM) (Islas 2011). This is
how the first Mexican web pages began to appear, and by 1992 there were 45 MX
domains. In 1993, the subdomains .COM.MX, GOB.MX, and .EDU.MX started to
be created.
In Mexico, the National Institute of Statistics, Geography and Informatics (INEGI
acronym in Spanish) is in charge of measuring, organizing, and publishing informa-
tion on the use of technologies in Mexico. From 2001 to 2014, the Module on
Availability and Use of Information Technologies in Households (MODUTIH
acronym in Spanish) was published. This survey’s objective was to generate statis-
tical information that would allow knowing the availability and use of information
technologies in households, considering the members of six or more years of age.
The indicators considered in this study were the following:
• Home furnishings
• Financing cost for the acquisition of information technology
• Features of the most up-to-date equipment
• Peripheral equipment
• Frequency of computer use
• Type of use
• Type of applications used
• Internet access and type of Internet use
• Online purchases (type of products and amount)
• Payment of services
As of 2015, the National Survey on Availability and Use of Information Tech-

nologies in Households (ENDUTIH acronym in Spanish) began to obtain informa-
tion on the availability and use of ICTs in households. Included is their use by
individuals aged 6 years and older in Mexico to generate statistical data on the
subject and support decision-making in terms of public policies; likewise, to offer
elements of analysis to national and international studies and the public interested in
the subject. Similarly, the indicators to be considered changed, showing the
following:
• Home ICT equipment

• Means of Internet connection
• Household constraints to ICT access

• Computer, Internet, and cellular phone capabilities
• E-commerce experience
• Ways of using the Internet
• Mobile Internet access
• Cyberbullying
• Electronic banking
• Use of radio and broadcast TV
As can be seen by following the progress of ICTs, measuring their use has
evolved in Mexico, as has the identification of the Digital Divide. Knowing the
data on the use of ICTs in Mexico will make it possible to see the type of Digital
Divide, the cause of this divide, and make decisions in public policy processes. This
is linked to what was previously mentioned about the importance of evidence in
implementing public policies, in this case against the Digital Divide. For Cabrero
and Rodríguez (2012), information systems are fundamental to provide evidence for
public policies and decision-making by governments, which gives the information a
technical function. They also add that the other role of the data generated is to
democratize access so that it no longer remains only in the hands of experts and
public officials, but can reach the knowledge of the population in general.
The Digital Divide issue was discreetly incorporated into the Mexican govern-
ment’s agenda as the term Digital Divide or Digital Inclusion was not mentioned in
policies and speeches. A beginning can be found in the National Development Plan
(PND acronym in Spanish) of Ernesto Zedillo’s government from 1994 to 2000,
which used the term technological updating and recognized the speed of technolog-
ical changes and the need to promote public policies for the initial introduction of
new technologies. Thus, President Zedillo’s administration can be considered as the
starting point for policies against the Digital Divide. This 6-year term began with
91,158,290 million inhabitants and 0% Internet users. By the end of the year 2000,
the number of inhabitants was 97,483,412 million, with 5,057,533 million Internet
users, only 5% of the total population. There were already 30,000 registered MX
domains.
The year 2000 and the beginning of the new millennium marked political changes
for Mexico, with the arrival of President Vicente Fox. His agenda included ICTs as a
fundamental axis for the country’s modernization. In his inauguration speech on
December 1, 2000, he even used the term Digital Divide, instructing the Ministry of
Communications to initiate a public policy called the “e-Mexico System” to reduce
the gap and ensure that the benefits of technology reached every corner of the
country.
The E-Mexico system was a policy aimed to reduce the Digital Divide and move
the country toward the information society. According to Hernández (2011), the
system had social purposes and has three main objectives:
• Connectivity and generation of digital content to allow the population to use the
Internet for economic and social development
• Training in using new technologies and using them according to the population’s
interests and activities
• Bringing the population closer to e-government, e-health, and distance education
Another vital element of this policy was the creation of telecenters, which are
community spaces where the population could access the Internet and computers to
perform various functions. These telecenters could also be places for learning and
digital literacy. During the same 6-year term, the “Enciclomedia” policy was devel-
oped, which aimed to integrate ICTs into primary education by providing computer
equipment in special classrooms to acquire digital skills by students. At the end of
Vicente Fox’s 6-year term in 2006, the progress in closing the Digital Divide was 18
million internet users, in a population of 104.8 million inhabitants, resulting in a
Digital Divide of 83% of the population.
For the following 6-year term of office 2006–2012, headed by President Felipe
Calderón, continuity was given to the policies mentioned above, and another
strategy called “Digital Skills for All” (DSA) was promoted, whose objective was
access to ICTs through digital literacy. The target audience was primary school
students. At the end of the 6-year term, the population was 110 million inhabitants,
of which 40 million had access to the Internet.
For the 2012–2018 6-year term, reducing the Digital Divide was a priority, so the
government of President Enrique Peña Nieto promoted the policy called “National
Digital Strategy,” which included five axes in which ICTs should have an impact:
Government Transformation, Digital Economy, Quality Education, Universal and
Effective Health, and Citizen Security. In addition, the document indicated five
cross-cutting enablers: Connectivity, Inclusion and Digital Skills, Interoperability,
Legal Framework, and Open Data.
Another policy implemented during this period of government was “México
Conectado,” intending to provide Internet access in public places, in buildings of
the three levels of government and thus generating the skills to take advantage of
it (2013).
A fundamental change occurred during this 6-year term in closing the Digital
Divide since Article 6 of the Mexican Constitution was amended. This change
established the state’s obligation to guarantee the right of access to ICTs, which
also includes broadcasting and telecommunications services, as well as broadband
and Internet. Thus, although the Mexican State had included the fight against the
Digital Divide in its institutional agenda, this goal was not a constitutional duty,
which makes it an indispensable task that transcends periods of government, ideol-
ogies, and party changes. At the end of President Peña’s administration in 2018, the
balance in terms of the Digital Divide was 125 million inhabitants, of which 74.3
million were Internet users.
The current government of Mexico, from 2018 to 2024, which is headed by
President Andrés Manuel López Obrador, issued in September 2021 the “National
Digital Strategy 2021–2024.” This policy aims toward a digital social policy, in
which the Internet is a means to overcome marginalization and poverty and is
integrated into the productive activities of the entire population. The 2020
population census reported 126 million inhabitants INEGI (2020a), and the 2020
ENDUTIH (published in 2021) indicates that there are 84.1 million Internet users.
Thus, it can be concluded that reducing the Digital Divide is an issue present in the
Mexican government’s agenda, that it has been a state issue since 2014, and that the
COVID-19 pandemic has made it a priority.
The COVID-19 Pandemic in Mexico
The first case of COVID-19 disease in Mexico was recorded on February 28, 2020,
which led to the implementation of measures such as those mentioned above: closing
of places, quarantines, use of masks, disinfection of public areas, and suspension of
work, economic, commercial, school, sports, tourism, and governmental activities.
All of these are essential activities in people’s lives, economy, and development, so it
was challenging to suspend them completely. In the long term, the solution was the
use of ICTs. The following are some of the uses of technologies in fundamental
activities that INEGI’s ENDUTIH also considers:
• Government: During the COVID-19 pandemic, Mexico’s federal (national) gov-

ernment implemented measures for the functioning of public administration. For
this purpose, it increased the offerings of e-government. In other words, pro-
cedures and services can be carried out through ICT, such as Internet portals and
mobile devices, and teleworking measures. In response to the emergency on
March 23, 2020, government agencies were ordered to use ICTs for activities
that do not involve physical or face-to-face contact between public servants and
citizens. Smartphone applications such as SAT-ID, developed by the Tax Admin-
istration Service (SAT), were also used to avoid the user from going to the offices
to carry out procedures in person.
• Education: One of the most critical aspects of the COVID-19 pandemic world-
wide has been the suspension of in-person classes and the closure of schools. In
response to the need to limit social contact but at the same time to continue school
activities, the Ministry of Public Education (SEP acronym in Spanish)
implemented the “Learn at Home” program, through which basic education
courses (primary and secondary) were taught on open television. The program’s
website (https://aprendeencasa.sep.gob.mx/) offers textbooks, videos, and mate-
rials for students, teachers, and parents to download. The SEP also made report
cards available electronically. As for higher education, distance education strat-
egies were the responsibility of each university. According to IDB (2020),
platforms such as Zoom and Webex were used for virtual classes, to which
Moodle-type platforms can be added.
• Economy and commerce: Economic and commercial activities cannot stop as
they are the livelihood of families and impact the entire country’s development.
Many companies had to operate through teleworking or “home office” arrange-
ments, which was not very present in the Mexican labor culture and little foreseen
in the labor legislation. In this regard, Article 311 of the Federal Labor Law was
amended in 2021, and the rights and obligations of employers and workers for
working at home were established. As for commerce, when there was a need to
stay at home due to authority mandate, fear, or because stores were closing,
e-commerce or online shopping became indispensable. In this regard, studies
such as Vega, Cerón, and Figueroa (2021) point out that the COVID-19 pandemic
accelerated the use of e-commerce platforms and modified consumer habits, as
well as the marketing strategies of companies.
• Health services: The COVID-19 pandemic put health services in crisis, and at
times there has been a saturation of hospitals and health centers. ICTs have been
used as a tool for managing the COVID-19 pandemic as they have become the
means of disseminating official information, such as statistics, prevention mea-
sures, vaccination, diagnosis and monitoring of the disease, and even psycholog-
ical support. Internet pages, social networks, and mobile applications have been
used for this purpose. Temporary incapacity for COVID and maternity was also
implemented to be obtained electronically.
• Personal communication: The quarantine, social distancing measures, and gov-
ernment’s request to “stay at home” caused a separation between people, families,
and colleagues; the authorities also called for avoiding parties, meetings, and
celebrations. In the face of this, ICTs have been the channels to maintain
communication, and even their use was one of the main ones since before the
COVID-19 pandemic. The use of mobile devices, messaging applications
(WhatsApp, Facebook Messenger, Telegram), social networks (Facebook, Twit-
ter), and other media such as Zoom and Skype has multiplied (Cervantes and
Chaparro-Medina 2021) as they allowed maintaining personal communication
between those who were distanced by the COVID-19 pandemic.
The Digital Divide in the Context of the COVID-19 Pandemic

in Mexico
The pandemic in Mexico caused social distancing, suspension of in-person activities

and made it indispensable to use ICTs to continue the function of the economic,
business, commercial, school, governmental, and even personal communication
sectors. Therefore, and as mentioned in the objective of this chapter, it is important
to analyze the results of public policies that have been implemented to reduce the
Digital Divide in the context of the needs generated by the COVID-19 pandemic in
terms of ICT use.
Previously, the public policies implemented in Mexico to combat the Digital
Divide were identified, considering a total of six. It was also mentioned how the
Digital Divide has been closing in Mexican homes and among ICT users, such as the
Internet, cell phone, computer, television, radio, and landline phones in the last
20 years, which is presented in Fig. 1.
In this regard, it is important to note that the reasons why a person does not have
access to ICTs are multifactorial, as shown in Figs. 2 and 3.
100.0 92.6
91.9 91
90.0 87.8 82.2
80.1
80.0
69
70.0 65.6
60.0
53.7
50.0 43.9
35 38.3
40.0 37.6
30
30.0 22.2
21.7
20.0 11.8
6.2
10.0
0.0
Internet Mobile phone Computer TV Radio Landline
2000 2010 2020
Fig. 1 Percentage of households by the availability of ICTs 2000–2020. (Source: Compiled by the
authors with data from INEGI. Population and Housing Census, 2000, 2010, 2020)
100.0
90.0
80.0
70.0
60.0
50.0
40.0
30.0
20.0
10.0
0.0
Lack of financial resources Not interested

Don't know how to use it Use a cell phone or smartphone
Other reasons
Fig. 2 Households without a computer, according to main reasons, 2001–2020. (Source: Compiled
by the authors with data from INEGI. National Survey on Availability and Use of Information
Technologies in Households 2001–2020)
100.0
90.0
80.0
70.0
60.0
50.0
40.0
30.0
20.0
10.0
0.0
Lack of financial resources Not interested

Don't know how to use it Do not know its usefulness
Other reasons (insufficient equipment)
Fig. 3 Households without an Internet connection, according to main reasons, 2002–2020.

(Source: Compiled by the authors with data from INEGI. National Survey on Availability and
Use of Information Technologies in Households 2001–2020)
It cannot be denied that Mexico has been closing the digital gap since, from 0% of
Internet users in Mexico in the year 2000 when public policies began, to the time of
the beginning of the COVID-19 pandemic, in 2020, there were already 66% of
Internet users. This means that despite the progress made not all the population was
able to carry out online procedures, continue their studies in the online format, access
health services and information, make electronic purchases, money transfers, or keep
their business or company running, nor were they able to communicate with their
loved ones. As mentioned, the COVID-19 pandemic increased and marked the
already existing T Q2 in the use of technologies, in other words, the Digital Divide.
Regarding the use of ICT to receive governmental procedures and services, since
2016, there has been a considerable increase of e-government users in Mexico, from
1.5% to 32.8%, of Internet users (INEGI 2020b). So, the gap could be linked more to
the offer of digital governmental services, such as payments, access to information,
or interactivity. The UN study (2020b) on e-government finds that infrastructure is a
limiting factor for its use.
Concerning education, this was one of the most affected activities by the COVID-
19 pandemic. It implied the closure of schools at all educational levels, which,
according to the Survey for the Measurement of the Impact of COVID-19 on
Education (ECOVID-ED), showed that 5.2 million students would abandon their
studies by the 2020–2021 cycle. One of the reasons has to do with the Digital Divide,
as 21.9% lack a computer and other devices or Internet connection (INEGI 2021).
The economy and commerce were also very negatively affected by the COVID-
19 pandemic. According to the Business Demographics Study, of the 4.86 million
20.0
18.0
16.0
14.0
12.0
10.0
8.0
6.0
4.0
2.0
0.0
2015 2016 2017 2018 2019 2020
6 to 10 12 to 17 18 to 24 25 to 34
35 to 44 45 to 54 55 or more
Fig. 4 Mobile phone users, by age group, 2015 to 2020. (Source: Compiled by the authors with
data from INEGI. National Survey on Availability and Use of Information Technologies in
Households 2015–2020)
businesses that existed at the beginning of the COVID-19 pandemic, 1 million

10,857 had closed 1 year later (INEGI 2020c). Regarding measures taken by
companies linked to the use of ICT, the EDN points out that 48.64% of the
companies implemented home office actions, and 553,601 companies made sales
through the Internet or some other platform. Linked to this, online purchases, i.e.,
e-commerce, increased due to the COVID-19 pandemic. In 2019, before the emer-
gency measures, 22% of Internet users in Mexico made online purchases, and 1 year
later, the percentage increased to 27.7% (INEGI 2020b). Although electronic finan-
cial transactions are among the least common activities done by Internet users, they
increased by 4.9%, from 16.8% in 2019 to 21.7% in 2020 due to the COVID-19
pandemic.
Finally, the greatest use of the Internet in Mexico has been for personal commu-
nications, with 90% of users (INEGI 2020b). It also highlights the increase in the use
of devices such as smartphones, which were used by 74% of Mexicans in 2015, and
in 2020 it was up to 96% of users. However, there are points to consider, such as age,
since people over 60 years old were initially considered the most vulnerable group to
COVID-19, hence this adult population was the one that most needed to stay at
home, and therefore, maintain personal communication through ICTs. The problem
is that they are the population with the least access to technologies according to the
ENDUTIH, which shows a decrease in users as the age group increases, according to
Fig. 4. Likewise, Digital Divide policies have focused on young groups like an
encyclopedia or DSA, and no policy has been designed for the general population.
Conclusions
Countries will not be able to achieve goal 10 or target 10.2 of the 2030 Agenda to
reduce inequalities unless the Digital Divide is addressed. This divide is known to be
a form of inequality. It implies that there are people who have access to and take
advantage of the benefits of ICTs, and a contrasting number of people who, for
various reasons, cannot access them.
It is essential to know the actions taken and the results achieved up to this time to
assist in implementing public policies aimed at reaching goal 10 of eliminating
inequalities, specifically toward reducing the Digital Divide and expanding Digital
Inclusion.
The focus of this work is to contribute, to give a vision of what has been done,
what has been achieved, and what remains to be done, in a country like Mexico,
where inequality of access to ICTs has been a topic on the government agenda. Still,
the results indicate that there are objectives that have not yet been met.
In addition, the COVID-19 pandemic caused the digital divide to impact access to
education, health, work, and government services. We hope that this work will be
useful as a guide to implementers of public policies for access to technology, and
other policies aimed at health, education, and public administration.
The multiple reasons that cause this inequality may be economic, educational,
geographic location, ethnic situation, language, physical aspects, among others,
which makes the Digital Divide a multidimensional phenomenon, and therefore its
approach must be differentiated. There is no denying the progress in reducing the
Digital Divide achieved by countries such as Mexico, where public policies have
been implemented with this objective, with favorable results, but which have not
succeeded in eradicating this inequality. These public policies should not be biased
toward access to ICTs, but should be extended to digital literacy and the acquisition
of digital skills.
The COVID-19 pandemic caused a change in humanity, which had to adapt to a
new reality marked by isolation and social distancing, and had to transfer its daily
and fundamental activities to the digital world. Thus, it was no longer possible to
attend meetings, so teleconferencing increased; people had to work at home, which
led to teleworking; schools were closed, so education had to be distance learning and
virtual classes; health services were saturated, and health centers were places at risk
of contagion, so the solution was telemedicine; government institutions had to close,
so e-government became indispensable; the economy could not stand still, so
e-commerce accelerated and electronic money transfers increased.
Thus, the challenge of ICT inequality is still very serious, and that being in the
Digital Divide can mean not only not taking advantage of technologies but also
being left out of other basic rights and services, which, during the time of the health
crisis, can only be delivered through ICTs.
The use of ICTs allowed basic activities to continue to be carried out but also
accentuated inequality in access to ICTs and increased inequality in access to
education, health, and financial services, making public policies to combat the
various forms of the Digital Divide even more necessary.
It is therefore vital to understand the phenomenon of the Digital Divide as an

inequality, which in turn produces other inequalities, and thus design public policies
and cross-cutting strategies, in conjunction with the private and social sectors, to
eradicate this problem in the remaining time of the COVID-19 pandemic and
beyond. Governments have taken the lead in the fight against the Digital Divide.
Still, they have not done so alone as they have relied on the resources and knowledge
provided by nongovernmental sectors, such as private companies, civil society
organizations, and academia. Thus, the fight against the Digital Divide, the inequal-
ities that cause it, and the inequalities it provokes will have to be a joint, coordinated,
and horizontal effort between governments, international organizations, the private
sector, and the social sector, which will create a governance approach to overcome
inequality in access to ICTs.
The limitation of this work was not being able to obtain testimonies of the Digital
Divide during the COVID-19 pandemic, which could enrich the information
obtained from official data and the literature review. Likewise, it was also not
possible to contact officials in charge of public policies on Digital Inclusion and
know if it is an issue on the Mexican government’s agenda.
Finally, although the world seems to be heading toward a post-pandemic era in
which COVID-19 will not disappear completely but will coexist with humanity with
lower risks due to vaccination and other factors, it is necessary to reflect on the
lessons learned from these 2 years of the COVID-19 pandemic and design public
policies under global, national, and local governance schemes to reduce inequalities
and their consequences.
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Economic, Social, and Humanitarian Crisis
in Venezuela and Sustainable Development
Isabel Novo-Corti, Xose Picatoste, and José Manuel Puente
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1584
Sustainable Development Goals and the Situation in Venezuela: From Past to Present . . . . . . 1587
From Prosperity to Collapse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1587
Impact on the Well-being of the only Hyper-inflation Worldwide . . . . . . . . . . . . . . . . . . . . . . . . 1588
A Face of Poverty: The Wages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1588
Agenda 2030 and the Concerns of Venezuelans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1589
Main Social, Economic, and Environmental Indicators for Venezuela . . . . . . . . . . . . . . . . . . . . 1593
Performance in Venezuela According to Priorities of Venezuelans . . . . . . . . . . . . . . . . . . . . . . . . . . . 1596
Public Policies and Economic Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1600
Economics and the State . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1600
Economic Well-being and Social Conditions of the Population . . . . . . . . . . . . . . . . . . . . . . . . . . . 1600
The Main Problems and How to Face Them. Are Venezuelan Policies Working
in the Right Direction? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1604
Some Conclusions and Recommendations: Looking for Sustainable Development . . . . . . . . . . 1606
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1608
Abstract
The socioeconomic situation in Latin America has historically been characterized
by certain instability and inequalities between and within countries. This scenario
is not compatible with the Sustainable Development Goals (SDGs). There are
multiple reasons for these imbalances. This chapter analyzes the socioeconomic
I. Novo-Corti · X. Picatoste (*)

Department of Economics, EDaSS Research Group on Economic Development and Social
Sustainability, University of A Coruña, A Coruña, Spain
e-mail: j.pnovo@udc.es
J. M. Puente
Instituto de Estudios Superiores de Administración, IESA, Caracas, Venezuela
IE University, Madrid, Spain
e-mail: jpuentec@faculty.ie.edu

https://doi.org/10.1007/978-3-031-16017-2_73
1584 I. Novo-Corti et al.
evolution of Venezuela in the framework of SDG 8. Venezuela went from a

buoyant position to the currently precarious living conditions of the population.
The interrelationships between Venezuela’s development and the effects of eco-
nomic policies on the achievement of SDG 8 in the global SDG framework can
help explain the current situation. In the context of recession and hyperinflation, it
has devastated the purchasing power of wages and the quality of life of its
inhabitants, harming the achievement of all SDGs. Understanding this situation
and how far Venezuela is from achieving the SDGs requires a review of the public
policies implemented, such as the one presented here.
Keywords
Economic performance of Venezuela · Regional development · Well-being ·
Public policies · Sustainability
Introduction
Understanding that maximizing human well-being and preserving the planet for
future generations is the core objective of governments, it must be assumed that
sustainable development is the right way to guarantee present and future genera-
tions’ intergenerational prosperity, which goes beyond simple economic prosperity.
Despite some critical views, theoretical models and empirical studies have demon-
strated that economic growth is compatible with sustaining well-being over time.
According to the theory of welfare economics, Arrow et al. (2012) undertook an
exciting analysis of the influence of technology on growth. They considered the
influence of advances due to technological innovation over time, together with
population growth and institutional change. Their study assesses changes in global
wealth per capita and its potential value in the future. Their research theory was
applied to five countries (Venezuela, the United States, China, Brazil, and India)
from 1995 to 2000 and underlined the differences among these regions.
The socioeconomic situation in Venezuela and its achievements regarding the
Sustainable Development Goals (SDG) is the core of this work. Its natural wealth,
based on extraordinary endowments and natural resources, has been the heart of its
success in past times; nevertheless, at present, its situation has become the opposite.
It is currently characterized by an economic, humanitarian, and social crisis (Puente
and Rodríguez 2021). Access to the labor market is vital for achieving economic
resources and social inclusion. Additionally, sustainable development requires a
decent job and inclusive development. The SDG8 is “promoting sustained, inclusive
and sustainable economic growth, full and productive employment and decent work
for all” (UN General Assembly 2015). So, all challenges in the global labor market
are linked to sustainable development and decent work, as SDG 8 indicates. The case
of Venezuela is exciting. It has become the cornerstone for this chapter because
analyzing the global framework of SDG in Venezuela can help focus on the
economic and social performance of the country. An attractive labor market enables
Economic, Social, and Humanitarian Crisis in Venezuela and. . . 1585
all people to benefit from globalization and share the wealth (UN General Assembly
2015) thereby boosting prosperity and reducing inequalities. All these issues are
reviewed in light of the SDG approach.
The effects of the COVID-19 pandemic have accentuated the severe humanitarian
crisis and highlighted the weaknesses of a collapsed public health system (Puente
and Rodríguez 2021). Venezuela is exposed to the virus with a health system that
lacks the institutional capacity to design security protocols and a State without
budgetary resources to help citizens. This situation coincides with a State that cannot
develop a counter-cyclical fiscal and monetary policy (Puente and Rodríguez 2021).
By applying adequate policies, the country could be capable of stopping the long
recessive cycle of the economy, controlling inflation, guaranteeing economic stabil-
ity, and assuring a minimum supply of goods and services. Venezuela thus sharpened
its economic, social, political, and institutional collapse, and is heading toward a
national tragedy (Gratius and Puente 2020).
Venezuela has been a member of the United Nations since 1945. It has partici-
pated in several international agendas and conventions promoted by its associated
organizations through the inclusion of guidelines in the definition of its national
policies. Besides, Venezuelan state institutions are often linked to similar figures in
other countries under multilateral organizations. In this scenario, it is possible to
share information and mutual support to achieve national and international goals
(Cuberos Mejía 2017).
However, the availability of official data on the fulfillment of the SDGs in
Venezuela is difficult. In these circumstances, the possibilities of assessing the
situation are complicated. For this reason, we have resorted to secondary and tertiary
sources. One of the most valuable empirical contributions (although not very
current) is the research of Cuberos Mejía (2017). He assessed the perception of
citizens about each SDG for Venezuelans through a survey. The results of this
information are referred to throughout this chapter. A lack of official data makes it
impossible to get information about economic, social, and political indicators and
statistics. Thus, three national universities combined efforts to generate statistical
data on the situation which is developing in the country. In 2014, the Simón Bolívar
University, the Central University of Venezuela, and the Andrés Bello Catholic
University jointly developed a series of surveys. The goal was to obtain information
about the economic, social, personal security, food, and education issues in Vene-
zuela. They also worked on labor, health, and migratory situation of the country.
Therefore, the ENCOVI project was born in 2014 (Encuesta de condiciones de vida)
(Ojeda González and Rodríguez Orosz 2021).
Contextualizing the most relevant issues in Venezuela is not possible without
talking about petroleum and economic success. In its 2016 annual report, the
Organization of the Petroleum Exporting Countries (OPEC) certified that oil
reserves in Venezuela were 300.88 billion barrels (Puente and Rodríguez 2021).
This amount exceeds that of Saudi Arabia and officially ranks Venezuela as the
country with the largest oil reserves in the world, representing 25.5% of the OPEC-
proven crude oil at the end of 2018 (OPEC 2021). In recent years, and particularly
since 2004, Venezuela has experienced the most prominent revenue boom in the
economic history of the country (elaborated by the authors based on data from the
Balance of Payments from the Venezuela Central Bank and the OPEC). From 1999
to 2020, Venezuela received more than 1 trillion dollars in oil exports. The prices of
the Venezuelan oil basket rose from an average of US$ 14.6/barrel in 1999 to US$
32.75 in the fourth quarter of 2020. The average price in the period 1999–2020 was
more than US$ 50 per barrel. In other words, Venezuela once again experienced an
oil price boom that generated an extraordinary income associated with the oil
“miracle.” Paradoxically, however, the country experienced the most acute economic
and social crisis.
It is difficult to explain the current collapse of the Venezuelan economy. In 2020,
according to the World Economic Outlook elaborated by the International Monetary
Fund (IMF 2021), Venezuelan Gross Domestic Product fell by 25.0%. At the end of
2020, it experienced the worst crisis in magnitude and duration in its economic
history. Venezuela lost 75.29% of its total GDP in 7 years (2014–2020) (elaborated
by Puente and Rodríguez 2021 with data from IMF 2021). Venezuela’s inflation rates
have also been among the ten highest globally. By 2020, the IMF projected at
6500%, making it the only hyperinflation in the world and the second in the
twenty-first century, after Zimbabwe (Puente and Rodríguez 2021), an economy
that was also suffering from high levels of shortages of goods and services. The
social side of the economic collapse is even more devastating. Poverty rose from
45% in 1998 to 94.5% in 2020. Nearly three-quarters of its population has lost
weight, on average 11.4 kilos per person, due to falling real incomes and severe
shortages of essential goods, including food and medicine. Likewise, the homicide
rate grew exponentially during the “Bolivarian Revolution,“becoming one of the
highest in the world in 2017, with 89 homicides per 100,000 inhabitants (ENCOVI
2017). Against this backdrop, the following questions arise: How could such an
economic and social collapse have occurred in the country with the largest oil
reserves worldwide? What does this very negative economic and social performance
mean in historical and comparative terms?
To focus on the situation, the macroeconomic performance of Venezuela is
reviewed, using IMF global data for 1980–2020 for 192 countries and data from
the Central Bank of Venezuela for 1950–2020 (IMF 2021; Puente and Rodríguez
2021). The analysis will emphasize the period of the Bolivarian Revolution
(1999–2020) and the current “macroeconomic collapse” (Puente and Rodríguez
2021). This is done to understand the current situation in Venezuela and generate
some answers to the questions posed in a globalized world pursuing a more
sustainable environment for everyone everywhere.
This work reflects the situation in Venezuela, where it comes from and, above all,
where it is going. According to the sustainable development goals of the United
Nations, it examines the different problems that Venezuela faces. After this intro-
duction, central SDGs in Venezuela are presented, and a general overview is given.
The economic performance of the country and its consequences on society are
detailed in the third section. The fourth section reflects on the policies implemented
and the situation in terms of well-being. Finally, this work presents its main
conclusions and recommendations for sustainable development for an equitable and

inclusive society in Venezuela.
Sustainable Development Goals and the Situation in Venezuela:

From Past to Present
From Prosperity to Collapse
A comparative analysis allows us to appreciate the magnitude of the Venezuelan

crisis, synthetically reflected in the performance of the worst growth rates in seven
consecutive years in the world; for this, reference is made below the period
1980–2020.
Table 1 shows the world ranking of the highest cumulative economic contraction
rates in seven years, that is, the percentage of reduction of the GDP. Countries are
presented according to the following geographical distribution: four (4) Latin Amer-
ican, (3) European, and two (2) African. The current situation in Venezuela was
fundamentally generated by a misguided economic model that has deepened its
dependence on its main primary source of income: oil. It led the country to the worst
crisis in its contemporary history. It should be noted that, with the exception of
Libya, Venezuela, and Zimbabwe, all other countries only experienced high rates of
decline in seven consecutive years during the 1980s and 1990s. The world has not
experienced more than a 50% cumulative decrease in seven consecutive years.
Venezuela and Zimbabwe (with extensive EU and US sanctions for recurrent
human rights violations) have experienced a cumulative rate of decline in 7 years
in the twenty-first century (IMF 2021; Puente and Rodríguez 2021).
Table 1 Countries with the highest cumulative economics contraction rates in seven consecutive
years worldwide (1980–2020)
Rank Country Period GDP change (%) Region
1 Venezuela 2013–2020 75.29% Latin America
2 Ukraine 1992–1999 50.36% Europe
3 Bulgaria 1988–1995 38.08% Europe
4 Zimbabwe 1998–2005 36.74% Africa
5 San Marino 2007–2014 29.43% Europe
6 Trinidad and Tobago 1982–1989 28.71% Latin America
7 Cameroon 1986–1993 24.92% Africa
8 Nicaragua 1983–1990 20.19% Latin America
9 Puerto Ricoa 2004–2011 8.79% Latin America
Source: Elaborated by the authors based on Data from the International Monetary Fund (IMF 2021),
World Economic Outlook Databases (IMF 2020)
a
Territory
Impact on the Well-being of the only Hyper-inflation Worldwide
The economic policies adopted by the countries in the region, and the independence
of their central banks have allowed price stability to become the norm in Latin
America. It has happened to the point that several countries that suffered hyperin-
flation in the past (e.g., Bolivia, Brazil, and Peru) (Puente and Rodríguez 2021) have
managed to reduce it to single digits in a short period. Currently, the inflation rate in
the continent (calculated as an average of all Latin American countries, with the
exception of Venezuela) is below 5% per year (Puente and Rodríguez 2021). In this
sense, the high and persistent inflation in Venezuela can be attributed to different
factors, including the mismanagement of economic policy in recent years (notably
exchange rate, fiscal and monetary policy), the institutional weakness of the Vene-
zuela Central Bank (BCV), price controls, and the fall in production of multiple
items.
According to the IMF, the variation rate of the National Consumer Price Index in
Venezuela was 130,060% in 2018 (IMF 2021; Puente and Rodríguez 2021). It was
the highest in the world and thousands of times the average for the continent. This
performance resulted from an ill-advised economic policy. It increased liquidity
more than proportionally. The Venezuelan Central Bank (BCV) issued inorganic
money to finance public spending programs and established price controls that
discouraged the production and an expansionary fiscal policy that drove demand
for goods and services. In short, Venezuela has among the ten highest inflation rates
in the world during the last 14 years, causing very negative impacts on the income of
economic agents, a drop in consumption patterns, impoverishment, and loss of well-
of being the population.
A Face of Poverty: The Wages
Some authors, such as Ojeda González and Rodríguez Orosz (2021), consider that
the more worrying issue is the gap between salary increases and price increases,
where the latter occurs every week. This issue is possibly even worse than the high
number of people below the poverty line. Additionally, salary increases occur only in
the formal sector of the economy. In addition, a proper measure of poverty should
use an index that allows knowing how much of that poor population is recent and
how much is permanent or chronic. However, if the current trends of hyperinflation
continue, the people will go from recent poverty to chronic poverty, which is more
difficult to overcome.
The high and persistent inflation of the last decades and the devaluations of the
currency made the real minimum wage in Venezuela at the end of 2020 the lowest
value registered in the previous 30 years and the lowest in Latin America. The
minimum wage in Venezuela for June 2020 was equivalent to US$ 2.42 per month,
calculated at the “parallel” exchange rate that governs most transactions in the
economy (Puente and Rodríguez 2021). In other words, more than a significant
number of Venezuelans live on less than US$ 0.08 per day. Paradoxically, this is
500 476.2 471.9 120

450.0
100
400 371.7
360.1
80
285.9 284.6
300
238.4
60
205.6 204.9
188.4
200 177.0 184.8
167.3
148.2 149.0 154.4
141.3 137.4 40
120.6 113.4
94.5 97.8
88.5
100
51.9 48.6 53.1 20
42.1 40.2
4.7 6.4 1.3

0 0
Minimum Wage (USD) Oil Price Basket
Fig. 1 Evolution of the minimum wage in US$ with official exchange rates (1989–2020). Current
prices in US$ of every year. (Note: Both primary and secondary axes are measured on US$. Source:
Own elaboration with Central Bank of Venezuela data (2022) and OPEC (2021))
happening in the country with the largest oil reserves in the world and, therefore, it
has one of the most significant economic potentials on the continent. Similarly, it is
shown (Fig. 1) that in the last 7 years, Venezuelan workers have experienced a
significant decrease in their purchasing power and an unprecedented loss of wealth.
It went from US$ 471.9 at the end of 2013 to only US$ 8.0 in June 2020,
representing 1.69% of the income of 2013, taking into account the minimum wage
in dollars at official exchange rates. The cost of the basic basket, defined as the
combination of foods sufficient to satisfy the caloric needs of an average household
of four people, could be covered in Venezuela in 2012 with a little more than one
minimum wage. In 2017, 22 minimum wages were needed to afford it (Ojeda
González and Rodríguez Orosz 2021).
Agenda 2030 and the Concerns of Venezuelans
When the Agenda 2030 was launched, the study by Cuberos Mejía (2017) about data
sources and citizenship concerns in Venezuela was undertaken, and became a
valuable starting point and a reference to compare the situation nowadays. One
exciting output of such research is the ranking of concerns of Venezuelans about the
SDG was provided by Cuberos Mejía (2017), who placed in the first place
Venezuelans’ priorities avoiding hunger (SDG2), followed by the inurement of
inclusive and equalitarian education, with opportunities for everyone, the third
concern was related to the inclusive and sustainable economic growth (that is
SDG8); other issues that people concerned about were avoiding poverty (SDG1),
get clean water and sanitation (SDG6), good health and well-being (SDG3), have a
nice life on land (SDG15), and face actions to preserve climate (SDG13),
constructing sustainable cities and communities (SDG11) (ranked from four to
nine), and, lastly, they pointed to the importance of sustainable energy (SDG7)
sources and good and innovative industry and infrastructures (SDG9), which are
numbers ten and eleven.
On the other hand, the non-priority goals indicated by Cuberos Mejía (2017) were
related to consumption and production patterns, that is, responsible consumption and
production (SDG12), the sustainability of marine resources or submarine life and
oceans (SDG14) and constructing peace, justice, and strong institutions, by promot-
ing peaceful and inclusive societies for sustainable development, providing access to
justice for all and building effective, accountable, and inclusive institutions at all
levels (SDG16), reducing inequalities within and among countries (SDG10), gender
equality (SDG5), and partnership for sustainable development (SDG17).
In the calculus of the poverty line in Venezuela, ENCOVI (2017) established that
households with a per capita income below the per capita basic food basket are
classified as poor. Families with less per capita income than the per capita food
basket are extremely poor. According to ENCOVI (2017), in Venezuela, poverty has
increased from 2014 to 2017. In 2014, the general poverty level was 48.4%, and in
just three years, in 2017, 87% of the population was below the poverty line. The
purchasing pattern has been reduced in Venezuela in recent years regarding food.
The information collected and processed by ENCOVI (2017) establishes that, in the
latest times, it has been one of the hardest-hit areas. The frequency of weekly food
purchases has decreased considerably among Venezuelan families (Ojeda González
and Rodríguez Orosz 2021).
The total number of people with low-calorie intake problems in Latin America
and the Caribbean has increased, according to the Pan American Health Organiza-
tion (PAHO). It draws a reversing tendency for decades of progress. While the food
situation in 21 countries of the region has improved, the number of hungry people
has increased. There are only three countries worldwide where the number of people
with eating problems increased percentage-wise in the last decade. One of them is
Venezuela.
In the last years, the number of undernourished people in Venezuela has increased
dramatically due to the terrible economic crisis and hyperinflation that has led a
significant number of the population to “hunger” because of rapid economic con-
traction and a failed social policy. Over time the sad image of people “feeding” on
garbage bags in the streets has become more common in the country (Avila
Hernández 2022; FAO 2022). Consequently, it is understandable that most
Venezuelans give priority to this variable “End hunger, achieve food security and
improve nutrition.”
For a society experiencing a humanitarian emergency, the efficient management
of our shared natural resources and the way we dispose of toxic waste and pollutants
are not important priorities (Table 2). Achieving economic growth and sustainable
development requires urgently reducing our ecological footprint by changing how
we produce and consume goods and resources. Still, most Venezuelans do not
understand how they could have come to this situation, which drove them to the
social, humanitarian, and migratory crises which changed their priorities.
Table 2 Ten most inflationary economies in the world, 2006–2020 (inflation rates in percentages)
Year &
position 1 2 3 4 5 6 7 8 9 10
2006 Zimbabwe Iraq Myanmar Myanmar Sao Tome Haiti Malawi Venezuela Ethiopia Angola
1281.1 53.2 34.7 26.3 23.1 14.2 13.9 13.7 13.6 13.3
2007 Myanmar Myanmar Iraq Guinea Venezuela Sao Tome Iran Ethiopia RD Azerbaijan
Congo
66,212.0 32.9 30.8 22.9 18.7 18.6 18.4 17.2 16.7 16.6
2008 Zimbabwe Ethiopia Seychelles Sao Tome Venezuela Mongolia Burundi Iran Ukraine Rep Kyrgyz
23,115,088.0 44.4 37.0 32.0 30.4 26.8 26.0 25.4 25.2 24.5
2009 RD Congo Eritrea Seychelles Venezuela Ghana Pakistan Sao Tomé Egypt Samoa Angola
46.2 33.0 31.7 27.1 19.3 17.6 17.0 16.2 14.6 13.7
2010 Venezuela RD Sierra Guinea Angola Nigeria Sao Tome Sudan Eritrea Mozambique
Congo Leone
28.2 23.5 17.8 15.5 14.5 13.7 13.3 13.0 12.7 12.7
2011 Belarus Ethiopia Venezuela Iran Yemen Vietnam Uganda Sudan Surinam RD Congo
53.2 33.2 26.1 21.5 19.5 18.7 18.7 18.1 17.7 15.5
2012 South Sudan Sudan Iran Ethiopia Malawi Venezuela Tanzania Guinea Uganda Eritrea
45.1 35.5 30.6 22.8 21.3 21.1 16.0 15.2 14.1 12.3
Economic, Social, and Humanitarian Crisis in Venezuela and. . .
2013 Venezuela Sudan Syria Iran Malawi Belarus Eritrea Central Yemen Guinea
Africa
56.2 47.7 42.6 42.5 24.2 15.3 12.3 12.0 12.0 11.8
2014 Venezuela Sudan Iran Malawi Belarus Ghana Mongolia Eritrea Ukraine Liberia
68.5 38.0 19.8 19.6 18.6 15.7 14.1 12.3 11.4 11.4
2015 Venezuela Ukraine South Yemen Argentina Malawi Belarus Sudan Iran Angola
Sudan
180.9 45.8 25.0 20.0 19.3 18.7 16.9 15.5 14.0 13.9
(continued)
1591
1592
Table 2 (continued)
Year &
position 1 2 3 4 5 6 7 8 9 10
2016 South Sudan Venezuela Suriname Angola Sudan Libya Mozambique RD Yemen Malawi
Congo
479.7 274.4 52.4 41.9 30.5 29.9 24.6 22.9 22.0 19.5
2017 Venezuela Sudan Argentina Iran Zimbabwe South Liberia Turkey Angola Sierra Leone
Sudan
862.6 25.2 24.8 8.3 3.4 117.7 13.9 11.9 23.7 15.3
2018 Venezuela Sudan Argentina Iran Zimbabwe South Liberia Turkey Angola Sierra Leone
Sudan
130,060 72.9 47.6 47.5 42.1 40.1 28.5 20.3 18.6 17.5
2019 Venezuela Zimbabwe Argentina Sudan South Islamic Liberia Haiti Angola Uzbekistan
Sudan Republic of
Iran
9585.5 182.9 57.3 56.9 35.9 31.1 20.6 19.8 17.0 15.6
2020 Venezuela Zimbabwe Sudan Lebanon Suriname Yemen Iran Haiti Libya Angola
6500.0 495.0 198.9 144.5 104.9 45.4 35.0 25.0 22.3 22.2
Source: Elaborated by the authors based on Data from the Central Bank of Venezuela and the International Monetary Fund World Economic Outlook Databases.
IMF (2021)
I. Novo-Corti et al.
Table 3 Population indicators related to several SDGs for Venezuela

Population and migration
Indicator Data Unit
Population (mid-year estimates) 28.52 Millions (2019)
Share of population 65 years of age and over 11.58 Percent (2019)
Share of the population under 15 years of age 27.40 Percent (2019)
Share of urban population 88.24 Percent (2019)
Life expectancy at birth 73.07 Years (2015)
Population growth 1.12 Percent (2015)
Total fertility rate 2.40 Children per woman
(2015)
International migrant stock as a percent of the total 4.46 Percent (2017)
population
Number of refugees and people in refugee-like 122,874.00 2018
situations
Number of asylum seekers, including pending cases 644.00 2018
Source: Own elaboration with data from United Nations (2022a)
Table 4 Economic and labor indicators related to SGD for Venezuela

National accounts and labor market
Indicator Data Unit
GDP in current prices 255,092.53 Millions of US
dollars (2017)
GDP per capita 7977.36 US dollars (2017)
Labor force participation rate 62.10 Percent (2019)
Share of agriculture, hunting, forestry, and fishing in total 5.73 Percent (2017)
gross value added
Share of industry in total gross value added 36.49 Percent (2017)
Share of services in total gross value added 57.79 Percent (2017)
Tourism expenditure 546.00 Millions of US
dollars (2016)
Unemployment rate 7.73 Percent (2019)
GDP real growth rate 14.00 Percent (2017)
Source: Elaborated by the authors based on data from United Nations (2022a, b)
Main Social, Economic, and Environmental Indicators for Venezuela
The indicators discussed above with reference to Venezuela help to interpret Tables 3,
and 4, which deals with the social, economic, labor, international accounts, and
environmental information, respectively. Despite the differences in the timing of data
collection, they help understand the evolution and, at the same time, the grade of
achievement of the SDGs.
The Venezuelan crisis has generated obvious patterns (Table 3). The enormous
migratory flow in Latin America has two most important implications: the loss of a
large part of the young people with technical-academic training, and a substantial
reduction in life expectancy at birth.
Venezuela lost 75.29% of its GDP between 2014 and 2020 (as shown in Table 1).
It has led to a worsening of all its economic indicators in recent years (Table 4), as
analyzed in the sections above. Nowadays, in 2022, there is the possibility that the
economy will grow by about 3–4% according to different projections such as those
made by ECLAC (ECLAC 2022), which implies that the economy would go from
25 to 26% compared to the year 2014. Suppose the correct leadership chooses
suitable economic policy options. In that case, Venezuela can have a future, but
there is no magic, quick or without sacrifice solutions.
In recent years, Venezuela has experienced intense deficits in its Balance of
Payments: capital account, current account, and financial account, and incredibly,
being the country with the largest oil reserves on the planet and a large installed
capacity for fuel refining and gasoline production, it has suffered a net energy
imports balance which shows once again its mismanagement of economic and oil
policy in recent years.
To contextualize the situation in Venezuela it is interesting to focus on the main
points identified by Arrow et al. (2012). These issues are central to the analysis of
well-being concerning other countries and are proven using the information they
have elaborated on and gathered in Table 5.
By the year 2020, according to IMF (2021), Gross Domestic Product fell by
25.0%, which means that by the end of that year, three quarters(75.29%) of total
Gross Domestic Product of Venezuela would have been lost (between 2014 and
2020). The country has also spent a decade among the ten highest inflation rates
globally, and for 2017, it was projected at 1133%. The social side of the economic
collapse is even more devastating: poverty increased from 45% in 1998 to 94.5% in
2021, nearly three-quarters of its population has lost weight, on average 11.4 kilos
per person, due to falling real incomes and severe shortages of essential goods,
including food and medicine. Far from moving toward compliance with SDG8, these
circumstances have substantially moved away from it and affected compliance with
other SDGs, such as SDI1: impoverishing the people and the country. Likewise, the
homicide rate has grown exponentially during the Bolivarian Revolution, being in
2017 one of the highest in the world: 89 per 100,000 inhabitants. Paradoxically,
Venezuela is experiencing an economic and social collapse only 7 years after
receiving a tremendous oil shock in the magnitude and duration of its history.
Using IMF global data for 1980–2020 for 192 countries, a historical and compara-
tive analysis of the macroeconomic performance of Venezuela was carried out. It
emphasized the period of the Bolivarian Revolution (1999–2020) and the current
situation of “macroeconomic collapse” (2014–2020).
Table 5 Growth rates (%) of per capita comprehensive wealth, adjusted for technological change
Growth rates (%) of per capita comprehensive wealth, adjusted for technological change
(6) Per
capita
(3) Per capita comprehensive (4) TFP (5) Per capita comprehensive GDP
(1) Comprehensive (2) Population wealth growth rate, accounting for growth wealth growth rate, accounting for growth
Country wealth growth rate growth rate population growth rate [(1) – (2)] rate TFP growth rate [(3) þ (4)] rate
United 1.39 1.17 0.22 1.48 1.70 2.93
States
China 3.86 0.94 2.92 2.71 5.63 7.60
Brazil 1.49 1.50 0.01 0.15 0.14 0.50
India 2.60 1.74 0.86 1.84 2.70 3.99
Economic, Social, and Humanitarian Crisis in Venezuela and. . .
Venezuela 1.15 1.98 0.79 2.12 2.94 1.20

Note: TFP ¼ total factor productivity
Source: Elaborated by the authors based on data from Arrow et al. (2012)
1595
Performance in Venezuela According to Priorities of Venezuelans
According to Cuberos Mejía (2017), the priority for Venezuelans in 2015 was ending
hunger, achieving food security, improving nutrition, and promoting sustainable
agriculture. Then, SDG-2 (No hunger) is the first issue to analyze. Data from the
United Nations (2022a, b) show that the evolution of the prevalence of undernour-
ishment (in percent) was increasing since 2015 (14%), it rose to 31.4% in 2018 (the
most updated data available), and it was 20.8% and 27.3% in 2016 and 2017,
respectively. Regarding the agricultural export subsidies, at constant prices, this
was 2.72 million dollars in 2015 and showed a sustained decline until 2018, when
it was 0.07 million dollars. Even so, the undernourishment prevalence more than
doubled in four years. It started from a situation in which Venezuelans considered
this the main problem of performance in Venezuela, as the number of people
suffering from malnutrition went from 3.7 million people in 2001 to 9.1 million in
2018 while there was reduction of agricultural export subsidies by 97% (United
Nations 2022a).
The worsening of the quality and coverage of education and desertion are central
problems that do not allow Venezuela to achieve the educational objective and
mobility through good education and health for the humblest. Hence, the perception
of many Venezuelans is that SDG 2, the most valued by them as a priority, seems to
be far from being fulfilled. It is evident that using different indicators, the SDGs are
not met and that Venezuela seems to be getting worse. Governance and the quantity
of public policy must improve to impact development objectives and achieve the
goals for 2030 positively (Cuberos Mejía 2017).
SDG 4 (Quality Education) was shown as the second main concern of
Venezuelans. The most up-to-date information available according to the United
Nations (2022a, b) states that the completion rate of lower secondary education
increased from 86.3% in 2000 to 94.1% in 2014. The total official flows received for
scholarships rose from 0.1 million dollars at constant 2018 prices in 2006 to
1.5 million dollars in 2018.
As argued in previous sections, in the last 7 years, Venezuela had the worst
performance in terms of growth in the world, at least in the previous four decades.
Consequently, it is a serious problem that the third concern of Venezuelans refers to
decent work and economic growth. However, neither the situation in the labor
market nor the evolution of GDP (with sustained falls) seems to respond to the
concerns of the citizens.
The summary information compiled by the United Nations on the achievement of
the SDGs provides some diverse data, as reflected below (United Nations 2022a).
About SDG1 No poverty, the population living below the extreme poverty line
increased from 5.0% in 1992 to 10.0% in 2006. On clean water and sanitation,
related to SDG6, 2017 data stated that 23.8% of the population used a “safely
managed” sanitation service. In 2005 the rate was 28.59%. Furthermore, the total
gross disbursements of official development assistance received for water supply and
sanitation reached USD 6.69 million in 2007 and USD 0.1 million in 2018 (both at
2018 constant prices) (United Nations 2022a).
SDG3, about good health and well-being, gives terrible values for the maternal
mortality ratio. It raised from 116.0 in 2012 to 125.0 deaths per 100,000 live births in
2017; the number of infant deaths increased from 10,553.0 in 2000 to 11,299.0 in
2018, and the mortality rate of children under five years of age increased from 21.6
deaths per 1000 live births in 2000 to 24.5 deaths per 1000 live births in 2018.
Nevertheless, the universal health coverage (UHC) service coverage index increased
from 47.0 in 2000 to 74.0 in 2017 (United Nations 2022b).
SDG15, life on land, shows that land area covered by forest declined from 55.7%
in 2000 to 52.4% in 2020 (United Nations 2022b). The data are not very encouraging
in terms of biodiversity. The total amount of aid received for biodiversity has
decreased from USD 1.6 million in 2002 to USD 0.2 million in 2018. A similar
situation is recorded regarding SDG13, Climate actions, as, in 2015, there were a
total of 18.0 deaths and missing persons attributed to the effects of disasters.
The situation in cities and communities, addressed by SDG11, reports that the
urban population living in slums increased from 32.0% in 2005 to 44.1% in 2018,
which can, in no way, be compatible with sustainable development. A similar
undesired performance was registered in SDG7, affordable and clean energy. The
balance of the people with access to electricity was 100.0% in 2017, and interna-
tional financial flows in support of pure energy research and development and
renewable energy production, including in hybrid systems, increased from 0.8 mil-
lion constant 2017 dollars in 2000 to 4.3 million in 2014 (United Nations 2022b).
The industry, innovation, and infrastructure concerned by SDG9 are also not very
encouraging since the share of small-scale industries with a loan or line of credit
increased from 20.4% in 2006 to 45.3% in 2010 (United Nations 2022b).
On the other hand, Venezuelans indicated as less important SDGs, in their
opinion, SDG12, Responsible consumption and production; SDG14, Life underwa-
ter; SDG16, Peace, justice, and strong institutions; SDG10, Reducing inequalities;
SDG5, Gender equality; and SDG17, Partnerships for the goals. It is striking that
concerns for gender equality in Venezuela are not more profound, as this is a cross-
cutting issue that affects 50% of the population. The gender parity index for
participation rate in formal and non-formal education and training declined from
1.5 in 2009 to 1.4 in 2012. Nevertheless, the proportion of seats held by women in
single or lower houses of parliament increased from 12.1% in 2000 to 22.2% in
2020. In 2012, 33.6% of managerial positions were held by women, while in 2009,
they were 30.33% (United Nations 2022b).
It is also surprising that Venezuelans are not very concerned about looking for
Peace and Justice and Strengthening Institutions when the country is in a fragile
social and humanitarian situation. The bribery prevalence rate was 11.2% in 2006.
Moreover, the UN reported that 64.3% of the prison population was detained and
held in prison without a sentence in 2018. 64.3% of the overall prison population
were un-sentenced detainees in 2018, and where the proportion of firms experienc-
ing at least one bribe payment request increased from 3.8% in 2006 to 10.3% in 2010
(United Nations 2022b).
According to the IMF data (IMF 2021), for 2020, GDP contracted by 25.0%
compared to the previous year. Thus, Venezuela continued for the seventh
18.3%
20% 11.7%
11.6%
10.3%
9.7%
9.6%
9.7%
9.9%
9.0%
8.9%
8.8%
8.8%
7.9%
7.6%
7.3%
6.9%
6.7%
6.5%
6.5%
6.4%
6.3%
6.2%
6.1%
6.1%
6.1%
6.1%
5.9%
5.6%
5.2%
5.2%
5.1%
5.3%
10%
4.2%
4.2%
4.0%
4.0%
4.0%
3.3%
3.7%
4.8%
3.4%
3.1%
2.6%
2.3%
2.1%
1.3%
1.3%
1.3%
0.9%
0.3%
0.3%
0%
-0.2%
-1.3%
-1.5%
-2.0%
-2.4%
-3.2%
-3.9%
-6.0%
-6.2%
-10%
-7.8%
-8.9%
-9.9%
-13.9%
-15.7%
-20%
-17.0%
-19.6%
-25.0%
-30%
-35.0%
-40%
1951
1954
1957
1960
1963
1966
1969
1972
1975
1978
1981
1984
1987
1990
1993
1996
1999
2002
2005
2008
2011
2014
2017
2020
Fig. 2 GDP growth rates from 1951 to 2020 in Venezuela. (Note: the vertical axe is measuring the
percentage GDP growth. Black bars are showing positive values and the gray and underlined bars
are showing the GDP contraction. Source: Elaborated by the authors based on data from Central
Bank of Venezuela (2022) and International Monetary Fund (IMF 2021))
consecutive year in a recessionary cycle. Since the first quarter of 2014, the Vene-
zuelan economy has experienced 28 consecutive quarters of declining economic
activity. By 2020 the Gross Domestic Product will have fallen by 25.0%, which
would mean that three-quarters (75.29%) of the total production of goods and
services in the Venezuelan economy will have disappeared. Only African economies
(which have suffered from armed conflict) show a similar macroeconomic collapse.
The social and political unrest that Venezuela experienced in 2020 led to a
deterioration of forecasts, which can be described as a “self-fulfilling prophecy” in
terms of macroeconomic performance for the country.
The variation in GDP since 1950 is shown in Fig. 2. 1950 was the year from
which the VCB recorded information in its statistical databases on economic per-
formance of Venezuela. It can be observed that the Venezuelan economy grew
uninterruptedly for 29 years (1950–1979) at an average rate of 6.3%, being one of
the most stable and best-performing economies in the world. However, during
1980–1998, the average growth rate dropped to only 1.7%, showing solid contrac-
tions in 1983 and 1989, years in which the “Black Friday” and the “Caracazo”
occurred, respectively (Puente and Rodríguez 2021). During this period, the econ-
omy experienced cumulative growth of 30%.
During the Bolivarian Revolution 1999–2020, GDP of Venezuela was character-
ized by high volatility, experiencing years of growth (18.3%) in 2004 and a decline
(35%) in 2019. Despite having experienced the most significant and most pro-
longed oil boom in its economic history. It is evident of a very incoherent economic
policy, among other factors. Similarly, in 1999–2020, GDP recorded an average
growth rate of 0.26%, representing less than an eighth of that recorded in
1980–1998, and a negative cumulative growth rate of 1.97%. It means almost
2,500
2,195.47
2,026.47
2,000 2,003.13
1,820.47
1,500 1,578.57
1,437.76
1,334.06
1,000
500
452.12
0
1951
1953
1955
1957
1959
1961
1963
1965
1967
1969
1971
1973
1975
1977
1979
1981
1983
1985
1987
1989
1991
1993
1995
1997
1999
2001
2003
2005
2007
2009
2011
2013
2015
2017
2019
Fig. 3 Evolution of GDP per capita in Venezuela from 1951 to 2020 (Bolivars at 1997). (Note:
macroeconomic aggregates: GDP at current and constant prices. Series since 1950 (Annual).
Measured in constant Bolivars at 1997. Source: Elaborated by the authors based on data from the
Central Bank of Venezuela (2022) and the International Monetary Fund (IMF 2021) and Venezuela
National Statistics Institute Population projection 2000–2050) Instituto Nacional de Estadística de
Venezuela (2022)
two decades lost in terms of economic growth and a setback compared to 1998.
Moreover, it falls into a profoundly decimated productive apparatus and has little
capacity to generate wealth. In other words, this is clear evidence of the poor
economic performance in terms of growth that the country has had during the
Bolivarian Revolution. Finally, Venezuela never experienced seven consecutive
years of economic recession, as it did from 2014 to 2020, as discussed in previous
sections.
After almost five decades, from 1980 to 2020, the country has not shown
significant progress in producing goods and services to cover consumption needs
and improve population welfare. It even presents lower levels of economic activity
than those registered in 2003 and 1989, years in which the nation experienced
economic crises and high levels of political and social conflict. In short, the Vene-
zuelan economy has “not grown” in the last four decades. Figure 3 gives an idea of
the evolution in a broad period (from 1951 to 2020) (IMF 2021; Puente and
Rodríguez 2021).
It is crucial to notice that negative performance of Venezuela in terms of eco-
nomic activity started in the first and second quarters of 2014. Economic crisis in
Venezuela started before the fall of the main export commodity of Venezuela, oil.
Paradoxically, the oil price was still very high at 94.1 dollars per barrel on average
for that year.
In this sense, the fall of the most volatile commodity in 2014–2020 certainly
exacerbated the macroeconomic imbalance (Puente and Rodríguez 2021). However,
this was not the origin of the collapse. Instead, an ill-advised development model
implemented over 18 years was its cause, particularly:
1. An inconsistent economic policy, with inflexible and multiple exchange rates,

together with exchange controls produced a strong appreciation of official
exchange rates (and which generated an import boom and the destruction of the
tradable apparatus of the economy).
2. An environment of hyper-regulation (price controls, exchange controls, interest
rate controls, labor controls, etc.).
3. A systematic expropriation and nationalization, which contracted the productive
apparatus and generated the lowest national and foreign direct investment flow in
its history.
4. A total public debt experiencing a significant increase from 2004 to 2014. It was
contracted at low prices and in high volumes, thanks to the favorable environment
generated by high oil prices. Furthermore, there was a total depletion of resources
saved in the Macroeconomic Stabilisation Fund (MEF).
All of this left the country with no possibility to conduct a counter-cyclical fiscal
policy during the oil price slump.
Public Policies and Economic Performance
Economics and the State
Public policies are an essential factor for the economy and social welfare. Current
growth must be respectful of future growth and consider the effects of technological
innovation and institutional changes as aspects that directly influence economic
growth and its sustainability. Technological innovation is a significant driver of
productivity and economic growth. At the same time, it can produce imbalances
by generating new jobs while others disappear. This scenario sometimes requires
institutional actions that commit to specific changes in the pre-innovation trend, in
the context proposed by Arrow et al. (2012).
Economic Well-being and Social Conditions of the Population
Venezuela has other important socioeconomic issues that need to be addressed and
measured (in addition to SDG concerns). According to the Venezuelan National
Survey of Living Conditions, these could be measured, as reflected in Table 6. Some
of the aspects that most concern Venezuelans are classified according to different
headings in Table 6. It is verified that many of the points indicated reflect improvable
living conditions and that they should be achieved progressively if the country was
involved in achieving the proposed goals for the SDGs.
Table 6 Other socioeconomic concerns in Venezuela

Problem Content
Housing and services Predominant wall, roof, and floor materials; type of
dwelling; source of water supply and frequency of
supply through the aqueduct; access to electricity and
interruptions in service provision; availability of
sanitary service
Identification of households and Identification of persons sharing market expenses;
characteristics of their members appliances and services owned by the household;
ownership of the dwelling; rooms used for sleeping;
availability of exclusive-use bathroom; relationship to
the household head; age; sex; marital status
Health and mortality Affiliation to a health insurance scheme; chronic
degenerative disease status; the number of children
born alive and surviving; the number of household
members who have died in the five years before the
study, age and sex of each; vaccinations of children
under two years old
Household food security, food Weekly food purchases; daytime feeding; sufficiency
consumption, nutritional deficiencies of income for food purchases; variety in daily diet;
variation in food quantity for children and adults;
weight and height of children under five years old
living in the household
Poverty and social programs Poverty measurement with different approaches
(poverty line, unsatisfied basic needs, integrated
method, multidimensional); social stratification (based
on the asset index constructed from data on equipment
and education of the head of household); identification
of beneficiaries of social programs; frequency of
distribution of CLAP boxes
Labor Activity status; occupation; occupational category;
branch of activity; the size of the enterprise;
remuneration; type of contract; the number of hours
worked; change of job in the last year; unemployment;
last time you made arrangements to work
Pensions Pension or retirement beneficiaries, type of pension,
institution from which the retirement and retirement is
received and monthly amount, contribution to any
pension funds
Education Educational level; years of schooling; school
attendance; type of school; regular attendance and
factors preventing it; causes of non-attendance;
functioning of school feeding programs; gaps in
attendance by age, gender, social stratum, geo-social
settings
Citizen security Feeling of fear of being mugged or robbed; restrictions
to avoid being a victim of violence; victimization of a
household member, reporting crime, rating of
institutions; the decision to arm oneself; rating of
government action against insecurity and crime, trust in
institutions and neighbors.
Source: Own elaboration based on data from the ENCOVI (2021a, b)
50,000 100%
45,000 90%
40,000 80%
35,000 70%
30,000 60%
25,000 50%
20,000 40%
15,000 30%
10,000 20%
5,000 10%
0 0%
2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020
Asylum requests Spain/EU Asylum requests in Spain Asylum requests in the EU
Fig. 4 Asylum requests in the EU and Spain from Venezuela from 2008 to 2020. (Source: Own
elaboration from EUROSTAT 2022)
700% 1.60%
600% 1.40%
500% 1.20%
400% 1.00%
300% 0.80%
200% 0.60%
100% 0.40%
0% 0.20%
-100% 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 0.00%
Asylum request growth rate Populaon growth rate
Fig. 5 Growth rates for asylum requests in Spain and population. (Source: Own elaboration from
EUROSTAT 2022)
Another indicator of the extreme situation in Venezuela is the number of asylum

requests. This is analyzed with reference Spain as it is the closest developed country
in relation to culture and language. Data from Eurostat (2022) about the migratory
flows and asylum applications in the European Union and its member States show
the intensification of migratory flows from Venezuela and, particularly, asylum
requests. According to its relative wage in the EU context, Spain assumes a relevant
role. It deserves to be underlined since it hosts the most significant part of migrants
and asylum petitioners, achieving 90% in 2019, the year previous to the pandemic
(see Figs. 4 and 5). In Fig. 4, data on left axis are the number of asylum request, both
in Spain (black line) and in the European Union (dotted line), and in the right one are
the percentages of asylum request in Spain compared to the European Union,
represented by vertical bars. Figure 4 represents the importance of Spain for hosting
Venezuelan since its relative importance in the EU is increasing, and it is close to
90% of the whole.
Figures 4 and 5 show another perspective of the people forced to leave Venezuela.
Specifically, it can be seen how asylum applications in the European Union increase
and are related to Spain due to linguistic and cultural affinities. In addition, Fig. 5
shows the host country’s population evolution, when the country is experiencing
significant population aging and needs a young workforce. These two figures help
understand the global context in which Venezuelans consider the future and show
that more people choose to go to Europe. The data is affected in the section
corresponding to 2020 due to the impact of the pandemic. In Fig. 5, the vertical
axis on the left shows the percentage of growth of the asylum request in Spain
compared to the previous year. Since it is a growth rate, it can be positive or negative
despite there are a positive number of asylum requests (it will be negative when the
asylum request has diminished compared to the previous year). The vertical axe on
the right is representing population rate of growth of Spanish population. Both rates
are calculated compared to the total Spanish population. This figure, despite that
there is not a causal relationship between the two variables in the graph, helps to
contextualize the migration from Venezuela to Spain in the context of the decreasing
population growth in Spain, which could be an attraction effect for workers and their
families.
Official United States statistics indicate that since Chávez took power in 1999,
172,000 Venezuelans entered the country as permanent residents. Four hundred
thirty-eight thousand entered as temporary workers, 11.1 million had entered on
non-immigrant visas, and 18,000 were granted political asylum, with a sharp
increase of 5500 between 2017 and 2018. The statistics reflect that since 1999 the
inflow of Venezuelans has been characterized as a skilled migrant population,
including highly qualified, educated professionals. Let us compare the immigrant
groups with the native population. South Americans and a higher proportion of
Venezuelans present the highest concentration of professionals with Masters and
PhD degrees with 20.6%, and university professionals with 34.8% in 2016. Com-
paring these proportions with the natural population group and other migrant groups
demonstrates that the best prepared human capital in Venezuela migrated to the
United States in the decades early years (Sánchez and Massey 2021).
On the other hand, the information resulting from the application of the LAMP
(2016) survey, applied to highly qualified Venezuelan immigrants in the United
States, shows the causes of migration of highly skilled professionals are linked
with criminal violence (91.2%) and political violence (82.4%) appearing as the
most significant. Equal proportions were linked to seeking new horizons (89.7%),
which in one way or another is associated with the needs of migrants to overcome the
problem by joining the destination society. Other causes of migration were linked to
family members, victims of criminal violence (16.2%), economic crisis (44.1%), and
service crisis (29.4%). The international migration of highly qualified professionals
from Venezuela is only due to unfavorable circumstances in the country of origin,
such as insecurity, violence, political conflicts, and authoritarian regimes. Sánchez
and Massey (2021) argue that these have been increasingly essential in promoting
exit strategies. The radicalization of politics, increased criminal actions, increased
violence, and the deterioration in quality of life have forced many Venezuelans to
leave the country.
The imposition of totalitarian and authoritarian regimes changed what was once
the unrestricted mobility of highly skilled professionals into a pressured and hurried
migration. The catalysts of these flows were the disagreement between free markets
and competitive economies. The political atmosphere of persecution, with free
thought and science attacks, contributed to this change.
Maintaining authoritarianism gives rise to prolonged and massive outflows for
highly vulnerable population. Such is the case of Venezuelans who have left their
country, mainly for the rest of the continent. However, the recent exodus of these in
extreme vulnerability and poverty conditions has shaped a migration characterized
by many in refugee status and difficult insecurity situations (Sánchez and Massey
2021).
With the emergence and global expansion of COVID-19, Venezuela has entered a
stage of exponential catastrophe and the closure of borders. Many Venezuelan
migrants (outgoing or returning) have been left without any protection and remain
exposed to the risks of violence and exploitation by criminal groups and human
traffickers. According to UNHCR, displaced persons and refugees worldwide grew
by 9 million in 2019, reaching 79.5 million. According to the same source, Vene-
zuela appears as the second largest population of displaced persons and refugees
with 5 million people, after Syria with 6 million (UNHCR 2020). On the other hand,
the pandemic in Latin America has more intensely affected the most economically
vulnerable migrants linked to the informal sectors of the economy. So, as Sánchez
and Massey (2021) underlined, this has repercussions on their living conditions and
the impossibility of fulfilling their obligations in the destination countries, forcing
them to rethink a possible return to Venezuela.
The Main Problems and How to Face Them. Are Venezuelan Policies
Working in the Right Direction?
Venezuela has been facing a severe shortage of foreign currency since 2013. It has
left the national industry without the raw materials and machinery necessary to
continue production. Besides, this produced a scarcity of imported final goods to
be sold and supplied to the market, which generates substantial restrictions to satisfy
an essential part of consumer demand. This situation, coupled with irrational price
controls, largely explains the high shortages registered in recent years, reaching
29.4% in March 2014. Although the Central Bank of Venezuela has stopped
producing data on shortages, the Chambers that bring together the different com-
mercial activities continue to produce some data. It can be verified that today the
level of shortages of essential items for life, such as medicines, may be over 30%
(Palma 2021).
The Venezuelan economy has always been highly dependent on oil, but during
the Bolivarian Revolution, this dependence was exacerbated. Oil generates more
than 96% of the foreign exchange needed to import goods and services. Conse-
quently, practically everything that is imported is done with oil dollars. In other
words, oil generates the funds the country needs to import the goods it consumes and
uses to buy the imported inputs to produce domestically. Hence, the foreign currency
drought has negatively impacted product supply levels. In addition, the prices of the
Venezuelan oil basket are now one-third of what they were during the best moments
of the oil price boom between 2004 and 2014, a situation that has reduced the cash
flow in foreign currency of the country and compromised the strength of its Inter-
national Reserves, whose value at the end of June 2020 stood at only USD 5.8 billion
(Puente and Rodríguez 2021).
It is essential to add that the strong appreciation of the exchange rate generated a
“boom” in imports. Still, at the same time and because of the same phenomenon, this
appreciation caused a fall in non-oil exports. It deepens the crisis in the tradable
sector of the economy, and it shows signs of what the economic literature knows as
the “Dutch disease” (Puente and Rodríguez 2021). By the end of 2015, the latest
official figure available, non-oil exports were lower than in 1999. Particularly in the
last 20 years, there has been a sharp contraction in the “non-oil” export sector. It was
possible to maintain this appreciation of the official exchange rate for extended
periods due to the high oil prices favoring the Venezuelan economy for years. This
situation demonstrates the role of oil revenues in sustaining the external balance of
the economy despite persistent capital account deficits, the significant fall in non-oil
exports, and the systematic decline in oil production. Particularly in the oil sector, the
contraction of oil activity since 2001 has implied a downward trend in oil produc-
tion. It indicates sustained operational and managerial deterioration and falling
investment in the oil industry. According to OPEC Annual Statistical Bulletin
2021, the production level of Venezuela in 2021 was 630,000 barrels per day. It
represents a decrease of more than 2,490,000 barrels from the production level of the
country in 1998 (3,120,000 b/d) just before the Bolivarian Revolution took office.
This reduction in oil production levels and the absolute concentration of oil in
exports (96% of total exports in 2015) makes the economy much more vulnerable
to fluctuations in oil prices.
Another expression of the incoherent macroeconomic management and the
adverse business environment generated by the implemented development model
is the low levels of foreign direct investment. As evidenced by data from the
Economic Commission for Latin America and the Caribbean (ECLAC 2021),
Venezuela has ceased to be a significant recipient of foreign direct investment in
recent years. It places the country among the lowest recipients of foreign investment
on the continent. These nationalizations and price controls and the low level of
national private investment due to a very negative business environment made the
production of many goods and services unviable. Moreover, it has led to very
adverse conditions for the development of private business activity in the country,
and it exacerbated the economic dependence on the flows of public investment that
oil could generate.
Social Impact of Economic Collapse: Falling Real Wages

and Impoverishment
Due to the high and persistent inflation of the last decade and the substantial
devaluations of the exchange rate, the real minimum wage for 2020 was the lowest
in the last 30 years and the lowest in Latin America. This process of falling real
incomes and the impoverishment of Venezuelans is very clearly evidenced by the
poverty study carried out by three national universities through the ENCOVI living
conditions survey (2021a, b). This survey quantifies the living conditions of
Venezuelans. It shows that by the end of 2021, the level of poor people in Venezuela
was 94.5%, compared to 45% in 1998, the year before the Bolivarian Revolution
government took office. After 22 years and more than US$1 trillion in revenues from
oil exports, Venezuela is a poorer and more disadvantaged country than when the
Bolivarian political project began.
All social indicators paint a bleak picture of current situation of Venezuela.
Poverty has increased exponentially, and nearly three-quarters of its population has
lost weight in the last year. On average, 64.3% of the population has lost 11.4 kilos
per person due to falling real incomes and severe shortages of essential goods,
including food and medicine (ENCOVI 2017). Similarly, the homicide rate, another
critical indicator of the quality of life, had grown exponentially during all the years
of the Bolivarian Revolution, being by 2017 one of the highest in the world: 89 per
100,000 inhabitants when in 1998 it was 20 per 100,000 inhabitants (ENCOVI
2017). It is important to note that a large proportion of these homicides occur in the
poorest areas of Venezuela. The “probability of being murdered” is unequally
distributed in Venezuela. The poorest are the most likely victims of this terrible
fatality. A new governance and a package of public policy measures are needed,
ranging from economic to social policies, which are broadly supported by the
population.
Some Conclusions and Recommendations: Looking

for Sustainable Development
It was shown that Venezuela experienced the worst economic crisis during the latter
period. Similarly, the erroneous economic policies carried out during the Bolivarian
Revolution managed to position the country with the lowest cumulative growth rate
in the region(2%) during the period 1999–2020. Additionally, analyzing
1980–2020, Venezuela has had the highest accumulated economic contraction for
seven consecutive years globally. These growth rates, together with instability,
seriously compromise the achievement of sustainable growth, and the ability of
the Venezuelan population to obtain decent jobs, making the objective of reaching
SDG8 seem increasingly distant.
The exhaustion of the development model is based on the injection of petrodollars
into the economy. It is not a good reference for sustainable economic growth as the
SDG8 pursues. A growth model stimulated by increases in public spending, thanks
to temporarily high oil prices, a high rate of indebtedness, disbursements from the
FEM, and increased consumption that was not backed by increased private produc-
tion and investment. A highly inconsistent economic policy that increased govern-
ment control over the economy and the implementation of a development model that
ultimately rejected private investment led the Venezuelan economy to
macroeconomic collapse. Venezuela, then, is a good primer on all the “don’ts” of

economic policy.
Oil can create such economic paradoxes and create the conditions for political
projects completely devoid of a minimum of economic wisdom to govern for a long
time. Even these political projects can delay the timing of adjustments. All countries
must accept the consequences of their macroeconomic policies and their erroneous
development model adopted, sooner or later, even an oil economy with abundant
natural resources. Unfortunately or fortunately, the time has come to “pay the bill”
for the Venezuelan economy.
By the end of 2020, the situation in Venezuela continues to accentuate the
collapse. Crisis and conflict, where the majority of the population is suffering the
humanitarian catastrophe with no resources to “escape” it, press for a continued exit
from the region. At the time, 6 million Venezuelans were said to have left, approx-
imately 16% of the original population. Many Venezuelans living outside the
country, often in conditions of significant vulnerability, are refugees without legal
documents that would allow them to integrate with the host country.
There are four possible proposals and a final synthesis that would lead to
sustainable development and allow compliance with the SDGs, at least SDG
8: Decent work and economic growth.
The first proposal deals with the necessary political agreement since political
consensus is needed to normalize political life. Surprisingly, SDG16 has been little
valued by Venezuelans since it currently consists of a fundamental point for socio-
economic progress. A democratic, inclusive, egalitarian, and sustainable society
compatible with the SDGs requires solid institutions, trust in political leadership,
and good governance.
Venezuela needs a minimum of stability and political consensus to advance
economically and socially. Without political stability, there will be no real economic
and social improvements. Consequently, Venezuela needs to create a significant
national agreement to call for clean and competitive elections. The goal is to generate
a government with the political strength that has the political mandate to implement
the economic reforms that the country has been requesting for decades.
Once political and social stability has been achieved, the reforms should be
“strategically” implemented, in sequence in three different stages:
This second and fundamental strategic point should be implementing a human-
itarian emergency social program. Despite its relationship with other recommenda-
tions, it deserves to be pointed out as a specific target. In this case, direct subsidies
targeted at the poorest 30–40% of the population could be the first step to attending
to the social and humanitarian emergency.
The third recommendation pointed to the stabilization program with international
assistance. At this point, the theory and the international experience suggest that a
comprehensive reform program should contain at least the following measures:
– Search for financial resources to strengthen the external sector of the economy
and finance the “emergency social program.”
– Focus on a reduction in monthly inflation until it converges with the inflation of

the rest of the Latin American countries of one digit.
– Build the foundations for the recovery of economic growth in the medium term.
– Comprehensive tax reform. Fiscal balance is a fundamental foundation for
macroeconomic stability. Generate equity and progressiveness in the system by
converting income tax into the basis of the tax system.
– Eliminate price controls. Only some could be maintained for basic food and
medicine.
– Dismantling of exchange control and transition to an exchange system with a
“single competitive” exchange rate or the officialization and legalization of the
dollarization that Venezuela is experiencing de facto.”
– Creation of an “effective” Macroeconomic Stabilization Fund.
– Re-construction of the oil industry and search for investments in the area to
recover or increase oil production.
– Restructuring, re-profiling of external debt.
– An aggressive wage recovery policy and increased targeted social spending.
Finally, Venezuela needs structural and institutional changes to succeed in eco-

nomic and social terms. It needs to boost a program of structural and institutional
changes to “escape” from the curse of natural resources and to be able to “switch on”
three or four alternative engines of economic growth other than oil. These measures
are essential for sustainable and sustained economic growth at high rates in the
coming decades.
According to the above indications, an appropriate economic policy should
promote policies acceptable to the population and economic agents. A country rich
in natural resources, such as Venezuela, has to achieve the welfare of its citizens by
distributing this wealth among the population, generating good quality jobs and
promoting sustainability. Non-redistributive policies, which lead to inequalities and
impoverishment of the people, will not be able to take Venezuela on the path to
socioeconomic prosperity and economic development. Thus, Venezuela would
properly perform the fulfillment of SDG8 together with the main goals of the
SDGs would be vigorously promoted.
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Social Action as an Instrument
for Implementing SDG12: Southern Brazil
Leila Dal Moro , Luciana Londero Brandli , Alcindo Neckel ,

and Dieisson Pivoto
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1612
The Successful Case of Sustainable Bags at Carazinho, Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1614
Final Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1619
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1619
Abstract
An increase in consumerism and the use of plastic severely affect the faunal
diversity of the planet due to the lack of proper disposal techniques. Inserted in
the discussion of SDG 12, ensure sustainable consumption and production
patterns, this chapter aims to analyze strategies and the environmental impact of
the use of reusable bags in direct sales systems between farmers and consumers,
through literature review and success case. The SDGs were addressed by the UN
in the 2030 Agenda with goals and indicators that contemplate society and the
environment. One month later, this action resulted in approximately 20% less use
of plastic bags at the producer’s fair. It has brought a vision of sustainability to the
activity, and in parallel to this, it broadened the farmers’ and consumers’ knowl-
edge about production and consumption. The social action also disseminated the
importance of using returnable bags.
L. Dal Moro (*) · D. Pivoto
Graduate Program in Management, Business School, Atitus, Passo Fundo, Brazil
e-mail: leila.moro@atitus.edu.br; dieisson.pivoto@atitus.edu.br
L. L. Brandli
Graduate Program in Engineering, UPF, Passo Fundo, Brazil
e-mail: brandli@upf.br
A. Neckel
Graduate Program in Architecture, Atitus, Passo Fundo, Brazil
e-mail: alcindo.neckel@atitus.edu.br

https://doi.org/10.1007/978-3-031-16017-2_85
1612 L. Dal Moro et al.
Keywords
Social action · Sustainable Development Goals · Sustainable production and
consumption · Returnable bags
Introduction
The union of scientific knowledge with the needs of the population is essential to
help public authorities and civil society to make effective decisions in terms of
policies and actions to improve the quality of life and conservation of the environ-
ment (Neckel et al. 2020; Charreire and Langlais 2021; Dal Moro et al. 2021). In this
context, through knowledge and intensive research work, higher education institu-
tions promote learning and critical engagement approaching global challenges
(Berchin et al. 2018; Lima et al. 2021). These institutions have a great social
responsibility in promoting the population’s learning (Pedersen 2017; Berchin
et al. 2018). Consequently, there is an immense need for research discussing the
urgency of measures and actions to explore and reach the SDGs (Olabi et al. 2022).
New investigations to understand and manage the impacts of local actions on a
global level could be developed (Leal Filho et al. 2018; Kynčlová et al. 2020;
Nishitani et al. 2021; Partzsch et al. 2021).
The sustainability challenges are linked, but they are not limited to climate
change, loss of biodiversity, and food wastage (Aditika et al. 2022). They cover
local to global levels (Kozar et al. 2019; Dal Moro et al. 2021). Different countries
are making several efforts to promote the selective collection and reuse, recycle, and
replace plastic (Bui et al. 2022). Australia, for example, has installed several
drinking fountains in its cities to reduce the use of plastic bottles while providing
free access to high-quality water (Global Enviroment Facility 2017).
Through these initiatives sustainability-oriented, it is also possible to verify
positive changes in consumption behavior through information programs that pro-
mote awareness in society, eco-labeling, reuse, and public purchases with ecological
bags (Barbale et al. 2021; Wang et al. 2021). Rising consumers’ awareness can affect
sustainable circularity in the economy and can effectively change their behavior
(Akkalatham and Taghipour 2021; Wang et al. 2019).
However, the prolonged life of some products reduces the environmental impact
on the consumption pattern (Zamani et al. 2017). The consumer is who decides to
replace a product (Hong et al. 2021). That is why knowledge and motivation drive
substitution and become an effective strategy to preserve the environment, thus
acquiring sustainability (Van Nes and Cramer 2006; Singh et al. 2021; Dal Moro
et al. 2021). Consumers hardly care about sustainable products but rather look for
products with lower prices (De Canio and Martinelli 2021; Sánchez-Bravo et al.
2021). This way, even with the change in purchasing behavior for ecologically
correct products and other additional efforts, there is still a concern about this
behavioral performance of the consuming population over time (De Canio and
Martinelli 2021; Sánchez-Bravo et al. 2021; Singh et al. 2021; Wang et al. 2019).
Social Action as an Instrument for Implementing SDG12: Southern Brazil 1613
It is relevant to mention the promotion of circular economies at regional level

(Silvestri et al. 2020; Chen et al. 2021). In some cases, industries and other
organizations exchange their waste and its by-products to be reused, resulting in
social, economic, and environmental benefits for both parties (Steenmans 2021).
Sustainable consumption is also achieved with the circular economy because it is
considered an effective way to achieve Sustainable Development Goals (Silvestri
et al. 2020; Chen et al. 2021).
The concern about the generation of plastic waste is increasing worldwide, and
the European Union seems to be moving fast to achieve a plastic-free environment
(Pimentel Pincelli et al. 2021; Andeobu et al. 2021). Several sectors, including
agriculture, generate this waste (Koul et al. 2022). Bags and bottles of fertilizers,
for example, create big problems if improperly disposed (Andeobu et al. 2021;
Debnath et al. 2021; Koul et al. 2022).
The increased use and mismanagement of plastic has become a dangerous
practice for the environment (Kedzierski et al. 2020; Akan et al. 2021). Some
materials like plastic bottles can be used for numerous purposes (Siragusa and
Arzyutov 2020; Yaddanapudi et al. 2021). In parallel to this great concern with
consumption and the generation of waste, there are other challenges concerning
sustainable production (Liu et al. 2021). For this reason, supporting the development
of small-scale farms is recommended (Dal Moro et al. 2021). This success will
depend on strategic alliances, which will implement actions aimed at collective
sustainability aimed at preserving the environment (Partzsch et al. 2021; Olabi
et al. 2022).
Inserted in the discussion of SDG 12, ensure sustainable consumption and
production patterns, this chapter aims to analyze strategies and the environmental
impact of the use of reusable bags in direct sales systems between farmers and
consumers, through literature and field data. The SDGs were addressed by the UN in
the 2030 Agenda with goals and indicators that contemplate society and the envi-
ronment. This important global pact was signed by 193 member countries of the UN
that committed themselves to promote sustainable development with practical ini-
tiatives until 2030 (United States 2015).
The family farming is an important tool within the SDGs that contributes to food
security (Berchin et al. 2019; Dal Moro et al. 2021). This tool is based on the
opportunity to market fresh food and contributes to the food security of the regions
(Berchin et al. 2019; Singh et al. 2021). Also, it favors an increase in farmers’
income and allows them to have a better quality of life in the countryside (Singh et al.
2021). Production and marketing through ecological producer’s fair contribute to the
consumption of regional and healthy products (Brandli et al. 2019; Yurui et al.
2021).
Generally, in producer’s fair, products from family farming are the foundation
food sources in a country (Schnurr and Dowd-Uribe 2021). This activity has a
significant role in supplying and feeding millions of people worldwide considering
the number of people has grown rapidly over the past 50 years (Ghosh et al. 2019).
Food production is an activity that can be carried out not only in rural areas but also
in and around cities, strengthening local trade, and favors the income generation of
farmers and the preservation and diversity of urban environments (Sroka et al. 2019;
Yurui et al. 2021).
The food production and its commercialization at the producer’s fair favor society
needs concerning the environmental, social, and economic aspects (Loureiro et al.
2016). However, it is necessary to establish actions to change society behavior to
minimize negative impacts on the environment and social inequalities (Loureiro et al.
2016). Producer’s fair are important distribution channels for municipalities because
they value family farming (Ndlovu et al. 2021). It is a sector of great economic, social,
and environmental importance that offers consumers fresh and affordable products
(Sroka et al. 2019; Yurui et al. 2021). At producer’s fair, there is diversity, fresh food,
which is usually organic and affordable (Ndlovu et al. 2021). The chapter developed by
Morel et al. (2015) shows that the majority of the seek a lower price and contact with
farmers. Through practical actions, it is possible to recognize the strong interdependence
between economic, social, environmental, cultural, and spatial aspects and the need for
a holistic view in the regional development process (Ndlovu et al. 2021).
Although researchers have been researching to favor SDG 12, practical and
implemented studies still lack to contribute effectively to the 2030 Agenda. Conse-
quently, it carried out actions to promote returnable bags, plastic reduction, and the
population empowerment concerning relevant themes directed to sustainable
development.
Transforming actions in the food system are crucial to contribute to the achieve-
ment of the SDGs. These actions are relevant in food systems to assist other SDGs as
well. The SDG 13 actions that reduce emissions, for example, have positive impacts
on SDG 12 (Campbell et al. 2018; Olabi et al. 2022). This chapter presents, in
addition to the literature, case study in southern Brazil.
The Successful Case of Sustainable Bags at Carazinho, Brazil
The municipality of Carazinho sits in the north of the state of Rio Grande do Sul-
Brazil. It has approximately 60,000 inhabitants and is in a region where agribusiness
is one of the main major income sources (Fundação de Economia e Estatística 2015).
The municipality was chosen as the object of study because after 10 years, it resumed
its Farmer’s Fair in 2018 and today it is a great source of income for family farmers.
The project Conduzir participants were farmers of the producer’s fair; consumers;
local entities such as unions, Grain, Dairy, and Credit Cooperatives; and public
agents such as the Secretariat of Agriculture. It is relevant to mention that society
supported the project through sponsorship, advertising, and diffusion. The structure
of the fair includes healthy foods produced with family labor.
Through contact with public officials, farmers, and consumers at the producer’s
fair, the partnership to implement the social action was established. This action
promoted the market economically, socially, and environmentally. It aimed at meet-
ing production and sustainable consumption, promoting the awareness of the actors
involved. This social action was born out of the actors and the University interest in
making the producer’s fair more sustainable.
The expectation was to disseminate and engage the parties involved and to
promote the understanding of the marketers that were part of this project. The action
sought to raise awareness of the actors involved in the role they play in sustainable
production and consumption at the producer’s fair and also to create sustainable
actions in favor of the environment and check the participation of the actors involved
in the market.
The sequence of activities from the presentation of the social action proposal to
the dissemination of impacts was carried out through a report. This report is
presented to the agents involved, such as the Secretary of Agriculture and President
of the producer’s fair, questionnaires to farmers, discussions, presentation of the
project for companies to obtain sponsorships, diagnostics to measure the quantity of
bags used before and after the implementation of the project, and finally, dissemi-
nation of the results and positive impacts of the project on social networks and
scientific events. The social action had a solid structure of objectives, meetings, and
actors involved. So, it was possible to perceive the engagement and participation of
the local community and public authorities (Bellandi et al. 2021).
The producer’s fair has rural and urban farmers who sell their products at Feira da
Praça on Saturday mornings. And once a month, the producer’s fair is held at night
at Passo Fundo University – Campus Carazinho – project that became a reality in
partnership with the Secretary of Agriculture, ASCAR Emater, and farmers of the
market.
Salient features of the farmers’ market are:
• The food sold is fruit, vegetables, honey, cookies, cakes, pasta, and processed
meats, among others.
• Each stall is identified, valuing the origin of the food.
• There is a strong interaction between farmers and consumers at the local.
• The food sold is produced with family labor.
• Some products are originated from urban agriculture.
• Some several young people and women contribute to the production and market-
ing of food.
• There is mutual help with the marketing of food among marketers.
• There is no competition but helpfulness between marketers.
• Marketing at the producer’s fair considers the local product, the appreciation of
agro-industries, the reduction of rural exodus, income, and care for the
environment.
• Plastic bags are used to deliver the food sold at the producer’s fair.
Given these observations made, the implementation of the social action occurred
through training, the fabrication of returnable bags, the event of their delivery, and
their socio-environmental impact.
Activities and the presentation of the bags graphic material took place at the
training course held with the farmers and the public entities. On the defined date, a
presentation about sustainable actions, global impacts, SDGs, production, and con-
sumption, among other relevant topics, was made. Also, the participants carried out
debates and presentations of case studies. The farmers reported some experiences
involving their properties.
Among the debates and exhibitions of the producer’s needs and expectations, it
was possible to perceive the importance of having a producer’s fair to trade products.
Some of the needs mentioned were an adequate environment for farmers and
customers with a parking lot, restrooms, covered area, sidewalk, and easy access
for people with disabilities.
The importance of the local public power participation to promote and support the
activity was another factor mentioned by the farmers. The producer’s fair has been
reengaged, and today, there is a growth in the quantity and diversity of products.
Food production should double to meet the food demands of around billions of
people by 2050. This increase will need to be sustainable to achieve resilient
intensification (Laborde et al. 2020).
Thus, it is necessary to provide discussions and create projects in favor of society
and the environment. In project Conduzir, all stakeholders participated in the
activities and generated great questions about sustainability and justifications for
its implementation. Besides, the need for attention to natural resources was among
the main issues addressed in the project. The depletion and contamination of natural
resources, the deterioration of environmental quality, and the degradation of ecosys-
tems lead to a reconsideration of production and consumption patterns. For most
individuals, the human being’s lifestyle is unsustainable. It is necessary to rethink
society’s activities with practical and immediate actions reducing consumption,
reusing, and recycling (Ulanowicz 2020).
The project took place in the central square next to the producer’s fair to raise
awareness of the actors involved and to deliver the bags. The number of plastic bags
reduced at the market and the dissemination of knowledge of those involved in the
project concerning the SDGs, in particular the SDG 12, were measured.
As a transforming social action at the producer’s fair, we sought the use of
returnable bags and the importance that this initiative would bring. Diagnostics of
plastic bags used were carried out at the producer’s fair using a monthly average per
farmer. The number obtained was an average of 1740 plastic bags dispensed to
consumers monthly.
The excessive use of plastic bags and mismanagement in terms of their ultimate
disposal is a major global concern. While providing solutions at the global stratum is
unfeasible, generating awareness at the local scale regarding the harmful effects of
plastic on the environment can foster global sustainability. The present project
therefore aimed at replacing plastic bags with returnable ones at the farmers’ market.
The bag consists of a large, resistant, and easy-to-wash raffia material. It was also
chosen in green, matching the uniform and gazebos of the fair. The elaboration of the
bags’ layout considered the partners and the project’s name and local sponsors,
highlighting the SDG 12. Facing the decision to make the action at the producer’s
fair reality, it became known that the production, distribution, and consumption of
food remain unsustainable, fragile, and vulnerable. However, to educate farmers to
use fewer pesticides, the consumers to consume locally, reduce the effects of climate
change, ensure more and better access to food, and reduce waste efforts are made
(Borsari and Kunnas 2019).
By delimiting the contributions of the project Conduzir to the goals of SDG 12, it
was possible to detail and mention another benefit that the work provided. The action
developed also aimed at sensitizing society in other municipalities of the region and
the world to initiatives to benefit of people and the environment.
The event to deliver the returnable bags to the producer’s fair took place in
January 2020. On that occasion, along with the street market, several parallel
educational activities were carried out aimed at sustainability.
Some of these activities were a clothesline of dreams with actions in favor of
sustainable production and consumption; the placement of cubes of the SDGs with
their respective goals; interaction with children through drawings and paintings in
didactic material; and the exchange of experiences between farmers and consumers,
which happened through dialogue on how planting and harvesting are carried out, as
well as how processed products such as sausages, honey, and jellies are packed and
labeled.
Three hundred and fifty returnable bags were delivered to marketers and sold for
R$ 10.00 each. On the first day of the producer’s fair, 47 bags were sold, and the
amount would be used to buy more lots of bags. This way the project continues and
plastic reduction increases.
It was possible to perceive the commitment and interest of the consumers to
contribute to the environment. This project is only a first step for the Municipality,
the producer’s fair, and consumers.
On the date of the event, during the delivery of returnable bags to the community
at the producer’s fair, it was possible to analyze how much consumers sought this
sustainable alternative and adhered to the project continuously. At the event, farmers
and the other stakeholders exchanged knowledge with consumers and materials were
also taken to disseminate information about the SDGs. For that, a line of knowledge
containing sustainable actions to assist in the goals of the SDGs was prepared. This
material instigated the curiosity of consumers and the possibility of new
implementations on the place.
The approximate use of plastic bags, per producer’s fair, was measured one
month before the project and one month after. These numbers were obtained from
the municipal Secretariat of Agriculture. The main result of this practical action was
the plastic reduction, and people could notice this effect. The project also served as
an economic factor for farmers because it reduced the need to buy lots of plastic bags
to deliver their products.
The reduction noticed was not only of the bags but consequently of the waste
generated by the activity of the producer’s fair. With 350 fewer plastic bags gener-
ated in a month, if obtained the cost reduction, and less plastic wastage. The
population, when engaged, becomes an important factor for practical initiatives
concerning the reduction of plastic.
In just 1 month of implementation (five meetings), there was a reduction of
approximately 20% in plastic bags that do not impact the environment, the oceans,
and animals. The returnable bags were also used for other purposes, such as
shopping in supermarkets and stores in the municipality.
Sustainable consumption is linked to the use of goods and services that meet
the population’s basic needs. It provides a better quality of life while reduces the
exploitation of natural resources and toxic materials. It is important to reduce the

generation of waste and the emission of pollutants during the product’s life cycle so
that future generations are not at risk (Ministério do Meio Ambiente 2011).
It’s relevant to mention that the population’s purchasing power and freedom,
especially the wealthier ones, contribute to unsustainable lifestyles. Thereby, this
situation contributes to serious environmental problems such as the generation of
plastic. In this sense, efficient practices in waste management go far beyond reuse
and recycling. They can happen, for example, through the replacement of materials
and the possibility of making shared use systems available with fewer environmental
impacts (Mont 2004). Efforts must be made to solve plastic wastage problems in
agriculture while identifying appropriate and quick ways to manage and minimize
negative impacts on the environment (De Lucia and Pazienza 2019).
In project Conduzir, the results obtained are in line with sustainable initiatives and
ecological strategies to reduce the environmental impact of some products and their
frequency of substitution (Van Nes and Cramer 2006).
The impacts of the action support the following pillars of sustainability:
(i) training farmers and consumers to achieve the goals of a local project (social);
(ii) reducing plastic bags (environmental); and (iii) marketing promotion of the
producer’s fair (economic) (Sodiq et al. 2019).
In addition to the sustainability pillars, it is possible to mention impacts aimed at
urban and rural food production, distribution, and consumption. Besides, another
contribution is the reduction of plastic and the training of the actors involved. But it
is also important to train people to avoid wasting raw materials, water, energy, and
emissions, contributing to a cleaner production process.
Global projects and initiatives aimed at avoiding wastage and the distribution of
safe, fresh, and healthy food open the door to various discussions such as the search
for food security. Besides that, public health issues and environmental problems
resulting from the production process and food wastage contributed to discussions
around the topic (Ribeiro et al. 2017). Producer’s fairs are healthier options, are easy
to access, and have a huge diversity of food. However, they still need initiatives to
contribute to sustainable development.
In this context of production and food consumption that involves the SDG 2 and
12, it is apparent that the 2030 Agenda also seeks human rights for all, balancing the
three dimensions of sustainable development. It also seeks to strengthen universal
peace, maintain equality, and enhance the protection of the planet. Consequently,
there is a strong relationship between each SDGs since their objectives are
interconnected (Trindade and Leal 2017; Leal Filho et al. 2018).
This relationship between SDG 12 and the other SDGs generates a cycle of
mutual contribution. To implement these goals, it is necessary to increase agricul-
tural productivity, improve food security, reduce poverty, and build resilience to
climate change (Campbell et al. 2018).
The interconnection between SDG 12 and other Sustainable Development Goals is
seen. Through SDG 1 (Poverty Eradication), the social action contributed by promot-
ing the producer’s fair, mainly by promoting and distributing food at low prices and
with easy access. SDG 2 (Sustainable Agriculture) motivated farmers to produce and
commercialize agroecological foods. SDG 5 (Gender Equality) empowered women

farmers with knowledge at the producer’s fair. Finally, through SDG 17 (Partnerships
and means of implementation), partnerships and participation of public authorities and
civil society were signed. In this sense, with the project carried out, it was possible to
contribute directly to the following targets: 12.5 by 2030, substantially reduce the
generation of waste through prevention, reduction, recycling, and reuse and12.8 by
2030, ensure that people, everywhere, have relevant information and awareness about
sustainable development and lifestyles in harmony with nature.
This work aimed to contribute to the Sustainable Development Goals through a

successful case that culminated in the insertion of returnable bags at a producer’s fair.
A decisive factor to the use of returnable bags was the civil society, public author-
ities, farmers, and consumers’ participation. They collaborated to the implementa-
tion of the returnable bags project and the continuity of the social action.
The training and broadening of knowledge about environmental issues and the
event valuing the actors involved and the sponsoring companies were the major
contribution of this chapter. Another contribution of the chapter was the importance
of strengthening distribution channels. There was an approximate plastic reduction
of 20% with the implementation of the social action at the producer’s fair. And with
the continuity of the project, this index will increase every month. As a suggestion
for future work, the implementation of this action in other fairs is recommended, as
well as the awareness of other agents involved in the Project.
Cross-References
▶ Innovative Approaches in Smallholder Farming Systems to Implement the Sus-

tainable Development Goals
Declaration of Competing Interest The authors declare that they have no known competing
financial interests or personal relationships that could have influenced the work reported in this
chapter.
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Implementing the

UN Sustainable Development Goals –

Walter Leal Filho

Notes on the quality assurance and peer review of this publication

Noé Aguilar-Rivera • Bruno Borsari •

SDGs in the Americas and

With 190 Figures and 140 Tables

Paulo R. B. de Brito Baltazar Andrade Guerra

ISSN 2731-5576 ISSN 2731-5584 (electronic)

Paper in this product is recyclable.

Winter 2023–2024 Walter Leal Filho

energy adoption, conservation initiatives, waste reduction and recycling, climate

Hamburg, Germany Walter Leal Filho

Part I Research Perspectives ............................... 1

Alternative Systems for Water Security in the Brazilian Semiarid

Social Governance of the 2030 Agenda and the SDGs in Brazil . . . . . . 21

Perspectives for Resilience, Social Inclusion, and Sustainable

Analysis of Supply Chain Sustainability and Resilience . . . . . . . . . . . . 75

Amazon 4.0: Ways to Sustainable Development . . . . . . . . . . . . . . . . . . 105

Sustainability Approach at the Chilean Constituent Assembly . . . . . . . 123

Mining Industry and the Sustainable Development Goals in Brazil’s

Reverse Logistics for Post-Consumer Waste in Brazil: SDGs 11 and

Impact of Land Use Cover Change (LUCC) on Floods: Acapulco de

Well-Being at Work and Sustainability in Public Services: Brazilian

Sustainability and Development at Northwestern Municipalities in

State Development Plans in Mexico and Their Contribution to the

Environmental Challenges to Gray Cities Becoming Green Cities . . . . 521

Obesity and 2030 Agenda in Latin America: Prevention and Control

Part II Educational and Communication Perspectives . . . . . . . . . . 571

Climate Change Communication Efforts and Results in Latin America

Climate Change Education at First Sustainable Public School:

SDG6 Progress in Latin America and the Caribbean: COVID

Protecting Our Oceans with Citizen Science: El Astillero,

Perceptions of Sustainability in Chilean Higher Education

Environmental Science and SDGs: Brazilian and International

Part III Business-Related Perspectives . . . . . . . . . . . . . . . . . . . . . . . 795

Alternatives to Fossil Fuel-Based Shipping: An Overview of the

Brazilian Recyclable Waste Pickers and Sustainable Development

Business Contribution Analysis to the Sustainable Development

Foreign Direct Investment and Environment in Latin America:

Informal Circular Economy in Mexico . . . . . . . . . . . . . . . . . . . . . . . . . 891

Orthodox or Sustainable Economic Recovery . . . . . . . . . . . . . . . . . . . . 913

Sustainable Treatment and Reuse of Water Using Decentralized

Innovative Approaches in Smallholder Farming Systems to

Challenges of Female Entrepreneurship to Fostering Sustainable

Circular Economy Intersections with SDGs in the Latin American

Indigenous Sustainable Finance and Development Goals:

Sustainable Tourism in the Southern Santa Catarina and Highland

Sustainable Spatial Development in the Urbanised Amazon:

Corporate Social Responsibility of Humanized Companies

Sustainable Consumption and Production in an Era of

Part IV Linking Theory and Practice . . . . . . . . . . . . . . . . . . . . . . . . 1195

Adaptation to Climate Change in a Metropolitan Region of Global

Spatial Analysis of Fortín, Veracruz, Mexico: Agritourism

Prof. Walter Leal Filho (B.Sc., Ph.D., D.Sc., D.Phil.,

Prof. Noé Aguilar-Rivera (B.Sc., M.Sc., Ph.D.) holds

Prof. Bruno Borsari (D.Ag.Sc., Ph.D.) is a Professor