literature review on sustainable management

A systematic literature review of food sustainable supply chain management (FSSCM): building blocks and research trends

The TQM Journal

ISSN : 1754-2731

Article publication date: 6 December 2021

Issue publication date: 19 December 2022

The purpose of this paper is to explore the increased research attention gained by sustainability in food supply chain management. Although previous review studies have focused on aspects such as traceability, food safety, and performance measurement, sustainability has rarely been considered as a means of integrating these issues.

Design/methodology/approach

The paper presents a comprehensive review of the literature on food sustainable supply chain management (FSSCM). Using systematic review methods, relevant studies published from 1997 to early 2021 are explored to reveal the research landscape and the gaps and trends.

The paper shows the building blocks and the main research directions in FSSCM, particularly considering the opportunities in “neglected” emerging countries. Insights are provided into the various elements of the sustainability supply chain in the food industry, which have previously been analysed separately.

Originality/value

Systematic literature review
Food sustainable supply chain management (FSSCM)
Food industry
Global supply chain
Emerging countries
Sustainability

Palazzo, M. and Vollero, A. (2022), "A systematic literature review of food sustainable supply chain management (FSSCM): building blocks and research trends", The TQM Journal , Vol. 34 No. 7, pp. 54-72. https://doi.org/10.1108/TQM-10-2021-0300

Emerald Publishing Limited

Published by Emerald Publishing Limited. This article is published under the Creative Commons Attribution (CC BY 4.0) licence. Anyone may reproduce, distribute, translate and create derivative works of this article (for both commercial and non-commercial purposes), subject to full attribution to the original publication and authors. The full terms of this licence may be seen at http://creativecommons.org/licences/by/4.0/legalcode

1. Introduction

The debate over the approach to sustainability has become central to most businesses, as a proper sustainability perspective holistically considers all of a company's functions and business relationships along supply chains, which are increasingly interconnected globally ( Carter and Rogers, 2008 ; Solér et al. , 2010 ). Managing the integration of sustainable environmental, social and economic criteria along the multiple aspects of the supply chain represents a major challenge for manufacturers and producers ( Massaroni et al. , 2015 ).

Supply chain management (SCM) has been defined as “the configuration and operation of efficient and effective production and logistics networks and the intra- and inter-organizational management of supply, transformation and delivery processes” ( Brandenburg and Rebs, 2015 ). A revolution in SCM has occurred in recent years, which has been noted by many scholars and researchers, as its focus has shifted from economic performance to an integrated social and environmental approach ( Seuring and Müller, 2008 ; Ahi and Searcy, 2013 ; Khan et al. , 2020 ).

Exploring the intersection between sustainability and SCM involves considering different viewpoints, as SCM is based on both downstream and upstream flows of goods ( Cosimato and Troisi, 2015 ; Fahimnia et al. , 2015 ; Maditati et al. , 2018 ). The downstream flows of goods (towards the final customer) has been traditionally viewed as involving responsibility and ethical issues ( Seuring and Müller, 2008 ), while upstream flows of products/services (towards the supplier) are explored from manufacturing, product recovery and reverse logistics perspectives ( Feng et al. , 2017 ), and thus more concerned with environmental issues, such as energy and waste reduction ( Naik and Suresh, 2018 ; Kumar et al. , 2020 ; Kumari et al. , 2021 ). There is general agreement that the sustainable management of a supply chain requires an integrated approach to social, environmental and economic goals ( Carter and Rogers, 2008 ; Hassini et al. , 2012 ; Juettner et al. , 2020 ). Thus, the means by which SCM can develop sustainable features and follow the path of sustainable development have been considered ( Manning, 2013 ; Zhu et al. , 2018 ). This can be challenging in industries such as food, in which the SCM can have a strong effect on not only the final consumer but also other stakeholders in the value chain ( Matopoulos et al. , 2015 ; Ghadge et al. , 2017 ; Mangla et al. , 2019 ).

A food supply chain (FSC) is particularly complex, as it connects different sectors of the economy (agriculture and the food-processing industry and distribution sector) in a market dominated by rapidly changing customer preferences ( Beske et al. , 2014 ). Food types can affect the natural environment, due to the food production systems, transport distances from producers and consumers, waste management, and workers' conditions in the sectors involved ( Beer and Lemmer, 2011 ). The situation is even more complicated in the agri-fresh food sector due to the perishability of products and the short shelf-life ( Siddh et al. , 2017 ). Thus, examining sustainable development in the FSC is extremely complex due to the high level of unpredictability in terms of demand and cost, the fragile nature of food and consumers' increased awareness of risks and safety issues associated with diets and eating disorders ( Siddh et al. , 2018 ). Finally, many firms in the FSC are small or medium-sized enterprises (SMEs) ( Beer and Lemmer, 2011 ; Ghadge et al. , 2017 ) that may find it difficult to address sustainability challenges and implement practices. The various FSC duties and tasks are often perceived as more demanding when sustainability is applied to enrich conventional profit-oriented models ( Allaoui et al. , 2018 ). Studies in this area have addressed issues such as the triple bottom line, ethics and corporate social responsible principles in their analyses ( Siddh et al. , 2018 ; Allaoui et al. , 2018 ), but few have provided an integrated overview of the phenomenon.

Only a few researchers have systematically reviewed the literature or taken a bibliometric approach in their analyses to provide an overview of the current trends and links between sustainability and food supply chain management (FSCM). However, many articles have applied specific methods to explore particular themes or typical processes. These themes and processes include sustainable sourcing ( Ghadge et al. , 2017 ), food traceability ( Bosona and Gebresenbet, 2013 ), approaches for enhancing sustainability in SCM ( Sharma et al. , 2017 ; Dania et al. , 2018 ), sustainable supply chain strategies and tactics ( Beske et al. , 2014 ; Zhong et al. , 2017 ), food safety ( Siddh et al. , 2018 ), controls of the level of sustainability ( Sharma et al. , 2017 ), measurements of sustainable items ( Sharma et al. , 2021 ) and the circular economy ( Corallo et al. , 2020 ).

Bosona and Gebresenbet (2013) , for example, presented a literature review that focussed mainly on food traceability, which highlights several features, definitions, items and measurements of the food traceability system. The bibliometric approach was also taken by Beske et al. (2014) , who described how sustainable supply chain management tactics allow organizations to manage their supply chain while putting into practice dynamic capabilities. Zhong et al. (2017) used the bibliometric approach to review the FSCM, and considered it in terms of systems and implementations. Siddh et al. (2017) explored the agri-fresh food supply chain quality features and definitions, by collecting and analysing relevant academic papers. Using the same method, Sharma et al. (2017) analysed the performance indicators and sub-indicators of green SCM implementation. Dania et al. (2018) proposed a systematic review of sustainable agri-food supply chains to assess and manage collaborative performances, while Govindan (2018) focused on the influence of stakeholders in the food industry.

Thomé et al . (2020) recently provided several insights into food supply chains and short food supply chains based on a bibliometric analysis, while Kamble et al. (2020) proposed a framework for managers in the agri-food supply chain based on an extensive literature review, to increase supply chain visibility and resources. Finally, Sharma et al. (2020) applied a systematic literature review of machine learning applications in agricultural supply chains.

These studies demonstrate the pressing need to examine the “green” side of SCM in the food sector. They show that the number of empirical papers in this area is increasing, but that there is a lack of an integrated perspective for holistically linking recent trends and facets of the FSCM. The focus is on very specific viewpoints rather than a broader exploration. To increase our understanding of the intellectual progress and knowledge structure of food sustainable supply chain management (FSSCM), a comprehensive analysis is required. Thus, in the present paper, we aim to outline a comprehensive framework of the research and current trends in the FSSCM, and to identify specific research gaps that must be addressed.

To achieve this, earlier review analyses of FSSCM and broad research trends are identified objectively and systematically, by providing an analysis of the evolution of FSSCM over the past years, exploring the international research, studying the mainly empirical FSSCM research, examining the research tools applied, identifying any issues that arise, and by identifying the main gaps and directions for future research in the field of FSSCM.

The remainder of this paper is organized as follows. Section 2 presents the methodology used for the literature review. Section 3 provides the results and analyses of the selected papers. Sections 4 and 5 present the findings, a discussion and the implications in terms of FSSCM that can enrich further research. Finally, a conclusion and limitations are presented in Section 6 .

2. Methodology

As other studies take various specific perspectives, we applied a comprehensive analysis of the literature focussing on the link between sustainability and FSCM. This offers a complete view and several insights for further studies in various emerging business contexts.

Unlike other conventionally structured literature reviews, a systematic review was selected as this can be effective in managing the exploration of a huge number of academic publications and enables the development of a complex framework for the research subjects ( Garcia-Buendia et al. , 2021 ). The method can also help researchers and scholars explore the literature by considering its bibliographic elements ( Xu et al. , 2020 ). This analytical approach also helps in terms of recognizing the main features and definitions of specific research field(s), identifying the main research questions and gaps, identifying the theoretical area in which the analyses will have an effect, understanding the theoretical concepts and their terminology, providing a list of the relevant resources available, and highlighting the research designs, methodologies and approaches that can be applied ( Soni and Kodali, 2011 ; Fahimnia et al. , 2015 ; Feng et al. , 2017 ).

Time horizon: The first step is the selection of a time period. The exploration period for academic and research articles is between 1997 and early 2021, as SCM and corporate social responsibility (CSR) were implemented in the food industry to a greater extent after 1997 ( Henk and Hans, 1997 ). We end our paper collection in early 2021.

Selection of publications: Only papers written in English were selected, and the articles were selected in Scopus. This database is commonly used by management science researchers (or in related fields) for bibliometric analyses or systematic literature review methods in SCM ( Soni and Kodali, 2011 ; Fahimnia et al. , 2015 ). The Scopus database has greater coverage than the Web of Science, and it was deemed more appropriate for exploring complex research areas that are constantly changing and developing ( Feng et al. , 2017 ).

The keywords used for the selection of the publications: The keywords chosen for developing the search of the main publications in Scopus were “supply”, “food”, and “sustainabl*”. In total, after using the “title, abstract, keywords” search in the Scopus, 1,930 papers were found by searching with these keywords. “Sustainabl*” involves environmental, economic, and social facets, and thus papers identified by searching for “sustainabl*” and “supply” were examined. The papers resulting from the searches were then analysed for information including title, author(s), affiliation(s), source title, number of citations, keywords, abstract and references.

The categorization of academic publications according to the Association of Business Schools (ABS) 2018 list: The number of papers was further reduced by selecting only academic and well-referred journals that were considered in this list. Of the 1,930 papers, some were non-referred publications appearing in 0-star journals, magazines and conference proceedings that did not follow a rigorous scientific editorial approach. Chapters of books and whole books were also not selected for the analysis. After deleting these, 733 articles remained and were filtered from the total number of downloaded publications.

Categorization of academic publications: After reading the abstracts and the complete papers, the number was further reduced by considering the relevance of the publications. The sample size was condensed in this phase to create a representative data set. The rule for selecting the articles was that they had to be related to the food sector, supply chain management and sustainability. Thus, 176 papers remained.

Systematic classifications of the papers: The articles were then categorized according to leading journals in FSSCM research and journal name per number of published articles; number of published articles in FSSCM research per field; number of publications; trending articles about the food sustainable supply chain; geographical locations by region of the first author's affiliation; the methodology used; theoretical frameworks; tool/research methods; data collection; the entity of analysis and sustainability issues.

3. Results and analysis

All of the identified papers are presented, discussed and analysed in the following sections in terms of their various aspects and features.

3.1 Year-based classification of number of publications

The number of articles about FSSCM has increased, probably due to the increased interest and awareness of managers and academics in the area of sustainability and SCM. The annual number of published articles has increased in recent times (2017–2020) to three times that of the 2015–2016 period (in fact, in 2017, 26 papers were published; in 2018, 29 articles were proposed; while in 2019 and 2020, 23 and 27 studies were focused on the selected topics).

3.2 Journal-based categorization of papers

This categorization illustrates the frequency of papers presented in various leading academic journals. Many of these appear to be very interested in issues and problems related to FSSCM. These include Business Strategy and the Environment (BSE), the British Food Journal (BFJ), Corporate Social Responsibility and Environmental Management (CSREM), Food Policy (FP), Industrial Management and Data Systems (IMDS), International Journal of Production Economics (IJPE), International Journal of Production Research (IJPR), Journal of Cleaner Production (JCP), Journal of Manufacturing Technology Management (JMTM), Production Planning and Control (PPC), and Supply Chain Management – An International Journal (SCM-IJ).

In total, 176 papers that focused on SCM definitions and features in the food industry from the perspective of sustainability were selected. This demonstrates that a considerable number of papers were published in the relevant fields of study. Table 1 shows the number of total articles published (PSC) and average global citations received per paper (AGC), and most are from JCP (49 PSC, 28.24 AGC), followed by IJPE (18 PSC, 94.56 AGC), PPC (7 PSC, 4.14 AGC), SCM-IJ (7 PSC, 17.29 AGC), and BSE (6 PSC, 21.67 AGC). Considering the average global citations received per paper (AGC), the journals with the highest are IJPE (18 PSC, 94.56 AGC), IJPR (5 PSC, 81.60 AGC), FP (4 PSC, 75.50 AGC), CSREM (4 PSC, 41.25 AGC) and JCP (49 PSC, 28.24 AGC).

Moreover, the distribution of published articles in FSSCM research per field (economics; ethics-csr management; international business and area; information management; marketing; operations research and management science; organizational studies; regional studies; sector; social studies), based on how they are ranked in the ABS Journal Guide of 2018 was analysed.

It was highlighted that, especially, in the fields of “Operations Research and Management Science” and “Sector”, there were many articles published in 2018, 2019 and 2020 in the realm of FSSCM.

3.3 Categorization of publications based on the geographical location of first authors

Publications are classified based on the first authors' affiliated regions and include developed and emerging economies. This classification clearly shows that most papers are from developed countries in Europe (63%), Asia (18%) and North America (8%), with less attention paid to FSSCM in developing areas such as South America (5%) and Africa (1%), although many countries in these regions are still mainly agrarian.

3.4 Categorization of trending articles in the field of FSSCM

Several of the papers achieved a remarkable number of total citations. The data presented in Table 2 show that two papers gained more than 300 total citations, four achieved over 200, and the remaining four publications gained more than 100 total citations.

3.5 Categorization based on methodology and tools/research methods

FSSCM papers can be analysed according to the methodology (approach) applied. Most publications utilized a qualitative approach (78%) and only 22% take a quantitative approach.

Table 3 shows that theoretical and empirical explorations of SCM sustainability in the food sector have been conducted ( Pohlmann et al. , 2020 ; Yakavenka et al. , 2020 ; Khan et al. , 2021 ).

Case study analysis is the most used (26%: 46 papers) followed by statistical analysis (22%: 38 papers), conceptual analysis and/or frameworks (19%: 34 articles), mathematical models (13%: 23 articles), quality tool (11%: 19 articles) and finally bibliometric analysis and/or literature review (9%: 16 papers). Examples of the methodologies and tools applied to this complex concept include the following: Taghikhah et al. (2020) used several mathematical models to explore the relation between consumer preferences and environmental factors related to food production. Morley (2020) used case studies to analyse the impact of public procurement on various food company strategies. Thomé et al . (2020) used a structured literature review to examine studies of short food supply chains. Sharma et al. (2020) statistically analysed aspects of food and other industries during the coronavirus disease 2019 (COVID-19) pandemic.

3.6 Research publications categorization on the basis of data collection

We first examine the data collection (data sources) applied in the FSSCM papers and find that the majority of the publications use primary data (i.e. survey, experiment, interviews, focus groups, observation, etc.) (56%: 99 papers). Secondary data (i.e. archival, content extraction, bibliometric records, etc.) are used in 46 papers (26%), a combination of primary and secondary data is used in 10 (6%), and 21 papers (12%) do not use data collection as they are based on conceptual analyses, viewpoint research, etc.

3.7 Research publications categorization based on issues of FSSCM

We then categorize the papers based on the FSSCM issues addressed, as shown in Figure 2 . FSSCM involves multiple sustainability issues, and the majority of articles focused on “supplier management” (20%: 36 papers). “Sustainable development” was the next most common (17%: 30 papers), followed by “collaboration and coordination management” in 25 (14%), “performance management” in 17 (10%), “circular economy” in 15 (9%), “logistic management” in 14 (8%), “strategic management” in 11 (6%), “innovation” in 10 (6%), “agriculture” in 6 (3%), a “comprehensive view” (involving more than one issue) in 5 (3%), “quality management” in 4 (2%), and “other issues” were analysed in 3 papers (2%).

Thus, “supplier management”, “sustainable development” and “collaboration and coordination management” were the most common issues, covered by over half of the total selected publications. Other issues are also significant in the area of FSSCM, but not to the same extent, while others are mainly neglected (i.e. “agriculture” and “quality management”)

3.8 Research publications categorization on the basis of theoretical framework

The theoretical framework applied to develop the selected papers was then explored. Nearly two-thirds (114) of the articles did not follow any specific theoretical approach. The stakeholder approach was considered in 11 articles, 8 papers were based on the triple bottom line, 8 took the life cycle approach, 7 the circular economy approach, 6 applied resource-based view (RBV) and knowledge-based view (KBV) frameworks, 6 the institutional theory, 4 applied the resource dependency theory and 2 the decision theory-based framework. Other approaches (i.e. country of origin, TOE, critical success factors, etc.) were taken in ten articles.

3.9 Publications categorization on the basis of entity of analysis

Finally, we examined the main perspectives taken when exploring FSSCM issues.

Many research publications use the supply chain as the entity of analysis (EOA) (70 papers). However, a significant number (23) consider the whole supply network or the manufacturer's point of view (21); 18 are mainly conceptual; 10 are based on the distributor's perspective; 10 take a dyadic view (more than 1 EOA); 9 take the suppliers'/farmers' perspectives; the logistic industry is examined in 7; consumers in 5; and the remaining 3 papers do not use any of these EOA.

4. Discussion: main themes and trends in FSSCM

The increase and evolution of FSSC studies suggests that supply chains in the food sector are moving towards a sustainable approach. Several new trends have emerged in the field, which focus on both intra- and inter-firm dimensions ( Figure 3 ).

Increasingly, the multiplicity of stakeholders in FSSCM and the collaboration/coordination challenges this brings have been explored throughout the food supply chain phases. These include the sustainable purchasing relationships of food retailers ( Chkanikova, 2016 ); increasing legitimacy in the food industry ( Czinkota et al. , 2014 ); strategies for reducing food waste within the circular economy framework ( Dora, 2019 ); and tools for increasing collaboration and coordination throughout the food supply chain ( Vodenicharova, 2020 ). Collaboration has gained the attention of researchers exploring the competitive advantages derived from a sustainable approach by leveraging environmental information along the supply chain ( Solér et al. , 2010 ), the alignment of sourcing with marketing and branding strategies ( Croom et al. , 2007 ), and dynamic capabilities ( Beske et al. , 2014 ).

“Collaboration and coordination management”, “supplier management” and “sustainable development” are the most common issues, covered by over half of the total publications. These include collaboration with partners along the supply chain ( Pakdeechoho and Sukhotu, 2018 ), the criteria for selecting suppliers ( Wilhelm et al. , 2016 ), the alignment of supplier-producer procedures ( Vodenicharova, 2020 ), the overall efficiency of the supply chain ( Danny and Priscila, 2004 ), and collaborations adopting mandatory and voluntary standards when assessing environmental, social and economic performances ( Glover et al. , 2014 ; Touboulic and Walker, 2015 ; Govindan, 2018 ). Other recent emerging challenges include more general sustainability-related aspects, such as innovation and the circular economy. On the other hand, the inclusion of quality management in the field of FSCM seems to be scarce in academic literature ( Ting et al. , 2014 ; Siddh et al. , 2018 ; Feng et al. , 2020 ), even though, there are several authors who tried to build a more centred approach in reviewing quality issues inside the analysis of sustainable supply chain. For example, Manzini et al. (2014) highlighted the existing connection between food quality and environmental sustainability of supply chain strategies and tactics, while Winter and Knemeyer (2013) explored how sustainability can be included in supply chain quality and, Ilbery and Maye (2005) presented a list of important sustainable food standards linked with environmental quality, socially inclusiveness and other relevant items.

Besides, the findings suggest that an integration of intra- and inter-firm processes can be crucial for the effective sustainable performance of organizations, as if FSSCM is based on sustainability it can have a positive effect on all stages of the supply chain ( Erol et al. , 2011 ; Kahi et al. , 2017 ). Unlike traditional performance measurements, sustainable performance involves comprehensively considering social, economic, and environmental factors ( Sharma et al. , 2017 ; Siddh et al. , 2018 ). Pullman et al. (2009) focussed on how to improve the quality performance of the food supply chain, which in turn improves cost performance. Raut et al. (2019) analysed operational/technology-based and human resource-based performance indicators of the sustainable value chain that help those in the food sector minimize their effect on the environment while boosting their economic performance. Thus, when proposing new “green” performance measurements, food industry researchers should include the bases of sustainability in their analyses of FSSCM.

The development of these new FSSCM trends suggests that this field of research will continue to grow as many scholars and academics explore the specific features and perspectives applicable to developed countries. The literature review shows that few studies consider less developed countries, with just 1% having African authors. Developing economies, such as those in Asia, have however had more attention in recent years. Some studies show that a lack of infrastructure or inefficient logistics could result in more food waste and inefficient processes ( Naik and Suresh, 2018 ; Kumar et al. , 2020 ). This is a major issue in FSSCM, as it is expected that 90% of the global population will live in developing countries by 2050 ( PRB, 2020 ). Sustainability is therefore vital in the food global supply chains of these countries, which are characterized by strong interdependencies along the north-south axis.

Most scholars investigating the sustainability of the food supply chain directly collect their data using tools such as surveys, experiments, interviews, and focus groups. The case study is the most common method for these explorations, as indicated in previous research ( Ashby et al. , 2012 ; Massaroni et al. , 2015 ). This emphasis on case studies indicates the novel and fast-changing nature of the field, and that more in-depth investigations are required to identify its boundaries and foundations. However, modelling-based studies are increasing in number (e.g. Chen et al. , 2018 ) as they address the need for a more integrated understanding of sustainable supply chains ( Brandenburg et al. , 2014 ). In addition, the lack of specific theoretical frameworks in two-thirds of the studies indicates that the research field is still emerging, and thus extensive opportunities for research that bridges the gap between theory and practice are presented.

5. Implications and research directions

This systematic literature review offers several implications for practitioners, and insights for further research in the field of FSSCM.

Food supply chains make a significant contribution to the global economy and sustainable development, as they involve suppliers and other stakeholders from various industries working together so food can reach the final consumer ( Joshi et al. , 2020 ; Kamble et al. , 2020 ; Thomé et al. , 2020 ). Kamble et al. (2020) suggest that better economic performance and social wellbeing can be achieved by food suppliers, retailers and others only if critical post-harvest losses can be avoided by applying new methods linked with supply chain visibility and sustainable resources. Thus, the focus should be on the upstream of the supply chain, particularly in many under-developed and developing nations where agriculture is still the essential basis of the economy ( Taghikhah et al. , 2020 ). Some studies were identified as being conducted in developing geographic areas, but more should be encouraged due to the greater potential FSSCM can bring.

The specific directions identified include those of Kumar Sharma et al. (2019) , who stated that the circular economy and sustainability are complex and must be managed by decision makers and practitioners in both developed and developing nations. They proposed a model that can inform the implementation of circular economy-driven sustainability FSC activities in emerging and under-developed economies, particularly in India.

Asian et al. (2019) examined how the increasing costs of logistics, lower yields, and strategic barriers have a negative impact on the level of competitiveness of farmers in developing countries. The authors proposed an algorithm to help key decision makers address the challenges of the FSC and sustainable development. Further studies can also develop theories and practical tools based on specific features, as these geographic areas can support the food industry through new sustainable strategies and tactics.

Such strategies and tactics are high on the agendas of many types of companies, but the business models of start-ups differ from those of other organizations and thus affect their creation and implementation. Larger companies may be able to better sustain the impact of the evolving trends of FSSCM, but they may also be less flexible than start-ups in finding opportunities and innovating ( Suchek et al. , 2021 ).

As suggested in previous sections, researchers must also focus on assessing the reliability and trustworthiness of FSSCM theories, as we found that many papers focussed on theory building. However, these theories generally address specific facets and thus the results cannot be easily generalized. Our study enriches the research by reviewing the most common theoretical approaches (e.g. the stakeholder approach, triple bottom line, the life cycle approach), and others that are less used (i.e. RBV and KBV, institutional theory, resource dependency theory, decision theory-based framework, etc.). This requires further exploration as a need to build a more solid conceptual framework for FSSCM research has also emerged.

In terms of FSSCM measurement and control, our analysis reveals an increase in the development of standardized constructs, which can be used to monitor and control how companies involved in the FSC achieve a successful level of sustainable development ( Folkerts and Koehorst, 1998 ; Yakovleva et al. , 2012 ; Sharma et al. , 2017 ). This is required as most aspects of FSSCM are associated with government regulation, incentive policies, stakeholders' approval of pioneering “green” products/services and the associated cultural and social consequences, and entrepreneurs' inclinations to follow ground-breaking sustainable principles. These trends are often related to the market, and involve accessibility, the costs of raw materials, and new technology, which require specific knowledge and thus may incur huge costs that many companies cannot afford.

In terms of the EOA, we suggest that future empirical research should focus on intra-functional and intra-firm exploration at corporate and network levels, or on dyads that reveal the relationships between pairs of organizations (i.e. farms, manufacturers, distributors, etc.). Similarly, Siddh et al. (2017) also emphasized that empirical research should focus on exploring intra-firm and intra-functional relations, as integration between companies should be encouraged before sustainability at different levels of the FSC is achieved. Finally, the role of end consumers in the FSSCM is still largely unexplored but important, as they can prompt organizations, dyads and networks to adopt more efficient and effective methods of introducing sustainable innovations and identifying new niche opportunities in this area.

6. Conclusion

In this paper we provide a literature review of papers focussed on the various facets of the FSSCM. We identify relevant papers published over the past 23 years (1997 to early 2021), with the aim of informing academics and practitioners about the research landscape, gaps, and current and future trends in the FSSCM. The literature review considers 176 influential peer-reviewed articles using accurate selection procedures and content investigation.

The majority of the selected papers were published in the last eight years (2014–2021), probably due to the increased awareness of environmental problems and of the need to reduce hunger globally (Zero Hunger is Goal Two of the Sustainable Development Goals of the 2030 Agenda), the increased food risks, an awareness of the benefits of decreasing food wastage, health management and of the well-being of people in all geographical areas (Goal Three: Good Health and Well-being).

FSSCM research is undoubtedly increasing, but few studies succeed in combining the various sustainability constructs with the main elements of the FSCM, particularly in the context of developing/under-developed countries. Thus, there are opportunities to increase our understanding of the integrative factors, particularly in less-developed regions of the world.

Our research has various limitations, like most studies. First, we used the specific keywords “supply”, “food”, and “sustainabl*” to select the articles from the Scopus database. While this identified nearly 2000 articles, using different keywords may have a different outcome. Additionally, only one database was used, so researchers can explore others such as Web of Science and compare their findings to ours, and although many analyses were identified, other methods of bibliometric analysis and systematic literature review may offer different insights into the specific context. Thus, we suggest that researchers apply different bibliometric methods when addressing this research domain.

literature review on sustainable management

Steps of the systematic literature review

Main sustainability issues in the field of FSSCM

Trends in FSSCM research

Leading journals in FSSCM research

	Ranked by PSC				Ranked by AGC
Rank	Journal	PSC	AGC	Rank	Journal	PSC	AGC
1	JCP	49	28.24	1	IJPE	18	94.56
2	IJPE	18	94.56	2	IJPR	5	81.60
3	PPC	7	4.14	3	FP	4	75.50
4	SCM-IJ	7	17.29	4	CSREM	4	41.25
5	BSE	6	21.67	5	JCP	49	28.24
6	IJPR	5	81.60	6	BSE	6	21.67
7	IMDS	4	20.50	7	IMDS	4	20.50
8	BFJ	4	16.50	8	SCM-IJ	7	17.29
9	CSREM	4	41.25	9	JMTM	3	17.00
10	FP	4	75.50	10	BFJ	4	16.50

PSC = number of total articles published (min. 3), AGC = average global citations received per paper (Scopus)

Authors	Year	Cited by	Purpose	Type of activity	Sustainability issues	Theoretical underpinnings	Perspective	Method	Author keywords
Beske P., Land A., Seuring S.	2014	321	Analyse how sustainable supply chain management tactics aid organizations in controlling their dynamic capabilities.	Link sustainable supply chain management and dynamic capabilities	Strategic management	Resource-based view and the knowledge-based view	Supply chain	Qualitative	Dynamic capabilities; food industry; literature review; sustainable supply chain management
Govindan K., Jafarian A., Khodaverdi R., Devika K.	2014	301	Analyse the effect of supply chain operations on environment, profit and people/society when creating a sustainable supply chain.	Integrate sustainability in decision-making, in the field of distribution in food supply chain management	Sustainable development	NA	Supply chain	Qualitative	Food supply chain; greenhouse gases emissions; perishable foods; robust multi-objective meta-heuristic; sustainability; sustainable supply chain design; two-echelon location-routing problem
Pullman M.E., Maloni M.J., Carter C.R.	2009	285	Analyse in the food industry, how sustainability impacts on environmental and society	Enhance quality performance and related cost performance	Performance management	NA	Manufacturer	Qualitative	Path analysis; social responsibility; supply chain management; survey methods; sustainability
Genovese A., Acquaye A.A., Figueroa A., Koh S.C.L.	2017	279	Integrate environmental issues into organizations' strategies, reducing negative effects of production and consumption processes	Highlight that integration of circular economy within sustainable supply chain management offers benefits from an environmental perspective	Circular economy	Circular economy	Supply network	Qualitative	Circular economy; decision support; environmental sustainability; green supply chain management; product life cycle analysis
Walker H., Jones N.	2012	246	Analyse what factors affect sustainable supply chain management	Explore sustainable supply chain management implemented by organizations leaders in their sector	Sustainable development	NA	Supply chain	Qualitative	Case studies; corporate responsibility; multiple retailers; supply chain management; sustainable development; sustainable supply chains; the United Kingdom
Van Der Vorst J.G.A.J., Tromp S.-O., Van Der Zee D.-J.	2009	216	Analyse food quality change, efficiency and responsiveness needs	Bond food quality and sustainability	Logistic management	NA	Conceptual	Qualitative	Food quality; logistics; simulation; supply chain; sustainability
Grimm J.H., Hofstetter J.S., Sarkis J.	2014	182	Analyse factors that aid to overcome challenges of sub-supplier management	Explore sustainability and critical success factors of sub-supplier management	Strategic management	Critical success factors	Supply chain	Quantitative	Corporate sustainability standards; field study; food industry; sub-supplier management; sustainable supply chain management; theory of critical success factors
Notarnicola B., Sala S., Anton A., McLaren S.J., Saouter E., Sonesson U.	2017	171	Analyse the challenges for life cycle assessment due to the complexity of food systems	Assess and improve food supply chain performance	Circular economy	Life cycle approach	Conceptual	Qualitative	Agri-food products; food lca; food supply chains; food waste; sustainable production and consumption
Erol I., Sencer S., Sari R.	2011	169	Analyse sustainability performance of supply chains	Evaluate and compare company performances in terms of sustainable supply chain.	Performance management	NA	Supplier/farmer	Quantitative	Fuzzy arithmetic; multi-criteria decision-making; performance analysis; sustainable supply chain
Georgiadis P., Besiou M.	2008	158	Analyse the effect of ecological motivation and technological innovations on the long-term behaviour of a closed-loop supply chain with recycling activities	Focus on closed-loop supply chain	Innovation	NA	Conceptual	Qualitative	Closed-loop supply chains; electronic and electrical equipment; recycling; sustainable development; system dynamics

Applied tools/research methods in the field of FSSCM

Tool/research methods	No. of articles (%)	Type
Case study analysis	46 (26%)	Case studies, multiple case studies, Delphi, focus groups, thematic analysis, etc.
Statistical analysis	38 (22%)	Regression analysis, structural equation models, econometric analysis, cluster analysis, analysis of variance (ANOVA/MANOVA), factor analysis, descriptive statistics, etc.
Conceptual analysis and/or frameworks	34 (19%)	Sustainability criteria, traceability, etc.
Mathematical models	23 (13%)	Algorithms, fuzzy, analytical tool, Decision making trial and evaluation laboratory (DEMATEL) method, simulation, etc.
Quality tool	19 (11%)	Integrated quality management system, life cycle approach, transaction cost approach, etc.
Bibliometric analysis and/or literature review	16 (9%)	Bibliometric analysis, co-citation analysis, structured and unstructured literature review, etc.

Ahi , P. and Searcy , C. ( 2013 ), “ A comparative literature analysis of definitions for green and sustainable supply chain management ”, Journal of Cleaner Production , Vol. 52 , pp. 329 - 341 .

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Ashby , A. , Leat , M. and Hudson-Smith , M. ( 2012 ), “ Making connections: a review of supply chain management and sustainability literature ”, Supply Chain Management , Vol. 17 No. 5 , pp. 497 - 516 .

Asian , S. , Hafezalkotob , A. and John , J.J. ( 2019 ), “ Sharing economy in organic food supply chains: a pathway to sustainable development ”, International Journal of Production Economics , Vol. 218 , pp. 322 - 338 .

Beer , S. and Lemmer , C. ( 2011 ), “ A critical review of ‘green’ procurement: life cycle analysis of food products within the supply chain ”, Worldwide Hospitality and Tourism Themes , Vol. 3 No. 3 , pp. 229 - 244 .

Beske , P. , Land , A. and Seuring , S. ( 2014 ), “ Sustainable supply chain management practices and dynamic capabilities in the food industry: a critical analysis of the literature ”, International Journal of Production Economics , Vol. 152 , pp. 131 - 143 .

Bosona , T. and Gebresenbet , G. ( 2013 ), “ Food traceability as an integral part of logistics management in food and agricultural supply chain ”, Food Control , Vol. 33 No. 1 , pp. 32 - 48 .

Brandenburg , M. and Rebs , T. ( 2015 ), “ Sustainable supply chain management: a modeling perspective ”, Annals of Operations Research , Vol. 229 No. 1 , pp. 213 - 252 .

Brandenburg , M. , Govindan , K. , Sarkis , J. and Seuring , S. ( 2014 ), “ Quantitative models for sustainable supply chain management: developments and directions ”, European Journal of Operational Research , Vol. 233 No. 2 , pp. 299 - 312 .

Carter , C.R. and Rogers , D.S. ( 2008 ), “ A framework of sustainable supply chain management: moving toward new theory ”, International Journal of Physical Distribution and Logistics Management , Vol. 38 No. 5 , pp. 360 - 387 .

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Cosimato , S. and Troisi , O. ( 2015 ), “ Green supply chain management: practices and tools for logistics competitiveness and sustainability. The DHL case study ”, The TQM Journal , Vol. 27 No. 2 , pp. 256 - 276 .

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Czinkota , M. , Kaufmann , H.R. and Basile , G. ( 2014 ), “ The relationship between legitimacy, reputation, sustainability and branding for companies and their supply chains ”, Industrial Marketing Management , Vol. 43 No. 1 , pp. 91 - 101 .

Dania , W.A.P. , Xing , K. and Amer , Y. ( 2018 ), “ Collaboration behavioural factors for sustainable agri-food supply chains: a systematic review ”, Journal of Cleaner Production , Vol. 186 , pp. 851 - 864 .

Danny , P.C. and Priscila , B.D.O.C. ( 2004 ), “ Coordinating B2B cross-border supply chains: the case of the organic coffee industry ”, The Journal of Business and Industrial Marketing , Vol. 19 No. 6 , pp. 405 - 414 .

Dora , M. ( 2019 ), “ Collaboration in a circular economy: learning from the farmers to reduce food waste ”, Journal of Enterprise Information Management , Vol. 33 No. 4 , pp. 769 - 789 .

Erol , I. , Sencer , S. and Sari , R. ( 2011 ), “ A new fuzzy multi-criteria framework for measuring sustainability performance of a supply chain ”, Ecological Economics , Vol. 70 No. 6 , pp. 1088 - 1100 .

Fahimnia , B. , Sarkis , J. and Davarzani , H. ( 2015 ), “ Green supply chain management: a review and bibliometric analysis ”, International Journal of Production Economics , Vol. 162 No. c , pp. 101 - 114 .

Feng , Y. , Zhu , Q. and Lai , K.H. ( 2017 ), “ Corporate social responsibility for supply chain management: a literature review and bibliometric analysis ”, Journal of Cleaner Production , Vol. 100 No. 158 , pp. 296 - 307 .

Feng , H. , Wang , X. , Duan , Y. , Zhang , J. and Zhang , X. ( 2020 ), “ Applying blockchain technology to improve agri-food traceability: a review of development methods, benefits and challenges ”, Journal of Cleaner Production , Vol. 260 , 121031 .

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Garcia-Buendia , N. , Moyano-Fuentes , J. , Maqueira-Marín , J.M. and Cobo , M.J. ( 2021 ), “ 22 Years of lean supply chain management: a science mapping-based bibliometric analysis ”, International Journal of Production Research , Vol. 59 No. 6 , pp. 1901 - 1921 .

Ghadge , A. , Kaklamanou , M. , Choudhary , S. and Bourlakis , M. ( 2017 ), “ Implementing environmental practices within the Greek dairy supply chain drivers and barriers for SMEs ”, Industrial Management and Data Systems , Vol. 117 No. 9 , pp. 1995 - 2014 .

Glover , J.L. , Champion , D. , Daniels , K.J. and Dainty , A.J. ( 2014 ), “ An institutional theory perspective on sustainable practices across the dairy supply chain ”, International Journal of Production Economics , Vol. 152 No. C , pp. 102 - 111 .

Govindan , K. ( 2018 ), “ Sustainable consumption and production in the food supply chain: a conceptual framework ”, International Journal of Production Economics , Vol. 195 No. C , pp. 419 - 431 .

Hassini , E. , Surti , C. and Searcy , C. ( 2012 ), “ A literature review and a case study of sustainable supply chains with a focus on metrics ”, International Journal of Production Economics , Vol. 140 No. 1 , pp. 69 - 82 .

Henk , F. and Hans , K. ( 1997 ), “ Challenges in international food supply chains: vertical co-ordination in the European agribusiness and food industries ”, Supply Chain Management: An International Journal , Vol. 2 No. 1 , pp. 11 - 14 .

Ilbery , B. and Maye , D. ( 2005 ), “ Food supply chains and sustainability: evidence from specialist food producers in the Scottish/English borders ”, Land Use Policy , Vol. 22 No. 4 , pp. 331 - 344 .

Joshi , S. , Singh , R.K. and Sharma , M. ( 2020 ), “ Sustainable agri-food supply chain practices: few empirical evidences from a developing economy ”, Global Business Review , Vol. 1 No. 24 .

Juettner , U. , Windler , K. , Podleisek , A. , Gander , M. and Meldau , S. ( 2020 ), “ Implementing supplier management strategies for supply chain sustainability risks in multinational companies ”, The TQM Journal , Vol. 32 No. 5 , pp. 923 - 938 .

Kahi , V.S. , Yousefi , S. , Shabanpour , H. and Saen , R.F. ( 2017 ), “ How to evaluate sustainability of supply chains? A dynamic network DEA approach ”, Industrial Management and Data Systems , Vol. 117 , pp. 1866 - 1889 .

Kamble , S.S. , Gunasekaran , A. and Gawankar , S.A. ( 2020 ), “ Achieving sustainable performance in a data-driven agriculture supply chain: a review for research and applications ”, International Journal of Production Economics , Vol. 219 , pp. 179 - 194 .

Khan , S.A.R. , Yu , Z. , Golpîra , H. , Sharif , A. and Mardani , A. ( 2020 ), “ A state-of-the-art review and meta-analysis on sustainable supply chain management: future research directions ”, Journal of Cleaner Production , Vol. 278 , 123357 .

Khan , S.A. , Mubarik , M.S. , Kusi‐Sarpong , S. , Zaman , S.I. and Kazmi , S.H.A. ( 2021 ), “ Social sustainable supply chains in the food industry: a perspective of an emerging economy ”, Corporate Social Responsibility and Environmental Management , Vol. 28 No. 1 , pp. 404 - 418 .

Kumar , A. , Mangla , S.K. , Kumar , P. and Karamperidis , S. ( 2020 ), “ Challenges in perishable food supply chains for sustainability management: a developing economy perspective ”, Business Strategy and the Environment , Vol. 29 No. 5 , pp. 1809 - 1831 .

Kumar Sharma , Y. , Mangla , S. , Patil , P. and Liu , S. ( 2019 ), “ When challenges impede the process: for circular economy driven sustainability practices in food supply chain ”, Management Decision , Vol. 57 No. 4 , pp. 995 - 1017 .

Kumari , S. , Raghuram , P. , Venkatesh , V.G. and Shi , Y. ( 2021 ), “ Future perspectives on progressive farming with adoption of virtual reality technology for sustainable quality in agriculture ”, The TQM Journal , Vol. ahead-of-print No. ahead-of-print , doi: 10.1108/TQM-06-2021-0191 .

Maditati , D.R. , Munim , Z.H. , Schramm , H.J. and Kummer , S. ( 2018 ), “ A review of green supply chain management: from bibliometric analysis to a conceptual framework and future research directions ”, Resources, Conservation and Recycling , Vol. 139 , pp. 150 - 162 .

Mangla , S.K. , Sharma , Y.K. , Patil , P.P. , Yadav , G. and Xu , J. ( 2019 ), “ Logistics and distribution challenges to managing operations for corporate sustainability: study on leading Indian diary organizations ”, Journal of Cleaner Production , Vol. 238 , 117620 .

Manning , L. ( 2013 ), “ Corporate and consumer social responsibility in the food supply chain ”, British Food Journal , Vol. 115 No. 1 , pp. 9 - 29 .

Manzini , R. , Accorsi , R. , Ayyad , Z. , Bendini , A. , Bortolini , M. , Gamberi , M. , Valli , E. and Toschi , T.G. ( 2014 ), “ Sustainability and quality in the food supply chain. A case study of shipment of edible oils ”, British Food Journal , Vol. 116 No. 12 , pp. 2069 - 2090 .

Massaroni , E. , Cozzolino , A. and Wankowicz , E. ( 2015 ), “ Sustainability in supply chain management-a literature review ”, Sinergie Italian Journal of Management , Vol. 33 , pp. 331 - 355 .

Matopoulos , A. , Barros , A.C. and van der Vorst , J.G.A.J. ( 2015 ), “ Resource-efficient supply chains: a research framework, literature review and research agenda ”, Supply Chain Management: An International Journal , Vol. 20 No. 2 , pp. 218 - 236 .

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Naik , G. and Suresh , D.N. ( 2018 ), “ Challenges of creating sustainable agri-retail supply chains ”, IIMB Management Review , Vol. 30 , pp. 270 - 282 .

Pakdeechoho , N. and Sukhotu , V. ( 2018 ), “ Sustainable supply chain collaboration: incentives in emerging economies ”, Journal of Manufacturing Technology Management , Vol. 29 No. 2 , pp. 273 - 294 .

Pohlmann , C.R. , Scavarda , A.J. , Alves , M.B. and Korzenowski , A.L. ( 2020 ), “ The role of the focal company in sustainable development goals: a Brazilian food poultry supply chain case study ”, Journal of Cleaner Production , Vol. 245 , 118798 .

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Acknowledgements

Although the views and ideas expressed in this article are those of Maria Palazzo and Agostino Vollero; “sections 1; 3; 3.1; 3.2; 3.6; 3.8; 4” are attributed to Maria Palazzo; while “sections 2; 3.3; 3.4; 3.5; 3.7; 3.9; 5; 6” are attributed to Agostino Vollero.

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DOI: 10.55908/sdgs.v12i6.1567
Corpus ID: 270679117

SUSTAINABLE ORGANIZATIONAL PERFORMANCE IN HEALTHCARE: A LITERATURE REVIEW

Dewi Rizki Nurmala , A. Sidin , +5 authors Emilya Tanry
Published in Journal of Law and… 21 June 2024
Medicine, Business

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Sustainable leadership: A literature review and prospects for future research

The various social issues that accompany economic development pose new challenges for leaders to integrate economic benefits, social responsibility, and environmental protection. In this context, various new leadership styles have emerged. Among them, sustainable leadership reveals the key role of leaders in balancing the triple goals of economy, society and environment, and has become an important part of leadership theory research in recent years. We searched the literature related to sustainable leadership in databases such as Web of Science, EBSCO and CNKI. Based on the existing literature, we systematically review the origins, connotations, analytical perspectives, measurement methods, and conceptual comparisons of sustainable leadership. And we also construct an integrated analytical framework of sustainable leadership on the premise of sorting out and summarizing the antecedents and consequences of sustainable leadership. Finally, we provide an outlook on the future research areas of sustainable leadership in order to further promote research of sustainable leadership.

Introduction

Whether philosophical thinking—“harmonious coexistence between man and nature” or environmental protection in the era of industrial civilization, the concept of sustainable development has always played an important role in guiding global actions ( Piwowar-Sulej et al., 2021 ). In particular, the promulgation of “transforming our world: 2030 agenda for sustainable development” in 2015 has ushered in a new era of global sustainable development. Meanwhile, to strengthen human responsibility for sustainable development, in 2015, 193 ONU member states approved 17 Sustainable Development Goals (SDGs). These goals require countries, organizations and individuals to take action for sustainable development ( Cesário et al., 2022 ). Sustainable development is a highly diverse and dynamic system ( Dos Santos and Ahmad, 2020 ), which is not only aimed at solving the challenges related to climate change and environmental degradation, such as the pollution of air, water and soil, overfishing and species extinction but also related to health, wellbeing and the elimination of inequality and poverty. Due to the close relationship between the organizations and the sustainable development of social economy, some scholars pointed out that this goal can be achieved when enterprises fully accept the challenge of sustainable development, take it as an opportunity for business development, and change their business models ( Tideman et al., 2013 ). At the same time, scholars from different disciplines agree that although enterprises are one of the key perpetrators of these problems, they also play an important role in solving these problems ( Piwowar-Sulej et al., 2021 ). There is no doubt that enterprises have become the basic unit to ensure the implementation of sustainable development. But, for a long time, it has been difficult for enterprises to embed the concept of sustainable development into their own business operations and instead perform their social responsibilities in the form of charitable donations or public welfare activities, resulting in the concept of sustainable development becoming a mere form of social responsibility. However, it should be emphasized that the implementation of these activities of sustainable development is uncertainty. If the enterprise does not have high performance, it is impossible to give better consideration to sustainability ( Suriyankietkaew and Avery, 2016 ). To solve this problem, scholars are actively seeking solutions, and find that introducing the concept of sustainable development into leadership is the key to change the situation and build a sustainable organization ( Gerard et al., 2017 ). Based on this, sustainable leadership, which promotes enterprises to advance toward sustainable development, has attracted increasing attention ( Dalati et al., 2017 ; Piwowar-Sulej et al., 2021 ). Sustainable leadership is the product of the integration of sustainable development and leadership, which is a kind of leadership and management behavior that aims to meet the needs of stakeholders and develop the core business of the enterprise, so as to create long-term value for all stakeholders. It goes beyond the green transformational leadership and responsible leadership, and emphasizes the balanced development of economy, society, and environment. At the same time, it is conducive to helping enterprises achieve profitable growth and sustainability, and has become one of the hotpots of current leadership research ( Avery and Bergsteiner, 2011a , b ).

The existing research on sustainable leadership has made progress, and some scholars have found that sustainable leadership have a positive impact on employees’ organizational commitment, employees’ job satisfaction ( Suriyankietkaew and Avery, 2014 ), employees’ organizational trust ( Dalati et al., 2017 ), organizational sustainable performance ( Burawat, 2019 ; Iqbal et al., 2020a , b ), organizational financial performance ( Kantabutra and Thepha-Aphiraks, 2016 ; Suriyankietkaew and Avery, 2016 ) and organizational resilience ( Avery and Bergsteiner, 2011b ). However, the research of sustainable leadership is still in infancy, and there is a lack of systematic review in this field, which is in sharp contrast to the calls for sustainable leadership. In order to better promote the theoretical research and management practice of sustainable leadership, we searched the literature related to sustainable leadership in databases such as Web of Science, EBSCO and CNKI. We also sort out the existing literature on sustainable leadership, and systematically review, comb and comment on its origin, connotation, analytical perspective, antecedents and outcomes, construct an integrated research framework for sustainable leadership, and prospects for future research.

The concept of sustainable leadership

The origin of sustainable leadership.

The concept of sustainable development into the field of organizational management was introduced by Brundtland committee. They pointed out that sustainable development is a way of development that meets current needs without harming future generations’ needs. Later, this concept has aroused intense discussion in the academic circles and is still under extensive research. For example, Pearce and Turner (1990) put forward the circular economy model, emphasizing the interdependence between economy and environment. Weale (1992) believed that sustainable development challenges the mutually exclusive relationship between economy and environment, which makes the conflict between them conceptualized again. On this basis, Elkington and Rowlands (1999) proposed a triple bottom line framework for sustainable development, indicating that social, environmental (ecological) and financial (economic) indicators are the balance methods to measure enterprise business performance. That is, enterprises should not only pay attention to the profit and loss account, but also consider their own impact on the environment and social responsibility, which means that enterprises need to reduce the negative impact of economic growth to enhance the continuity of development. At the same time, existing studies have shown that the process of seeking sustainable development for enterprises that can carry out sustainable entrepreneurship has also won new opportunities for them ( Kumar and Kiran, 2017 ).

However, with the increasing social and environmental problems arising from economic development, there is a serious imbalance between economic benefits, social responsibility, and environmental protection in the process of enterprise operation. How to overcome this imbalance and achieve the goals of improving performance, resilience and sustainability has become a focus topic of common concern in the practical and theoretical circles. In order to better take into account a wider range of stakeholders, leaders need to establish the concept of sustainable development, embed it into the organization, and implement sustainable leadership behavior as the leader is the key to the enterprise transformation ( Avery, 2005 ). Hargreaves and Fink (2004) and Avery (2005) combined the concept of sustainable development with leadership and put forward the concept of sustainable leadership. Since then, many scholars have explored its connotation based on different context.

The connotation of sustainable leadership

Hargreaves and Fink (2004) developed a model of sustainable leadership based on the educational organization, and proposed that sustainable leadership in education refers to the ability to maintain and promote in-depth and extensive learning (depth); make plans and preparations for succession in order to ensure long-term development (sustainability); emphasize dialogue, common development and shared decision-making (breadth); actively share knowledge and resources with neighboring schools or communities to improve the environment (justice); avoid consistency and standardization of policies, curricula, assessments and training to promote diversity (diversity); provide incentive and reward policies to attract talents, and establish a network to enhance mutual learning and support (resourcefulness); respect the past experience of leadership behavior and learn from it in pursuit of creating a better future (maintenance).

With the deepening of theoretical research, Avery (2005) introduced the concept of sustainable leadership into the field of enterprise management for the first time, and proposed a new concept of sustainable leadership based on comparing the differential impact of the two development models of capitalism—the British American model and the Rhine model on the leadership style of organizational managers, and summarized 19 elements. Avery (2005) pointed out that sustainable leadership means having long-term decision-making ability, promoting systematic innovation, cultivating a loyal staff team, and providing high-quality products, services and solutions. Its purpose is to balance the relationship between people, profits and the earth, and promote the sustainability of the enterprise through corresponding management practices. These management practices cover management systems, principles, processes and values, and can form a self-reinforcing leadership system within the organization, involving CEO role change, decentralized decision-making, ethical behavior, high social responsibility and high environmental responsibility. Based on this study, Avery and Bergsteiner (2011a , b) identified four additional practices (self-management, trust, innovation, and job involvement) and integrated them with the initial 19 elements to finally form a sustainable leadership framework including 23 elements. The framework is arranged in the form of a pyramid, reflecting the development concept of mutual support and interdependence. When lower level practices are in place, they will promote and support the emergence of higher-level practices, and higher-level practices in turn rely on the existence of these basic elements.

In general, the 23 practices of sustainable leadership are divided into three levels: basic practice, high-level practice and key performance drivers. Basic practice is at the bottom of the pyramid, including 14 basic practice activities, such as continuously developing every employee within the organization, seeking cooperative labor relations, long-term perspective and a wide range of stakeholder responsibilities; High level practice is at the second level of the pyramid, covering the creation of self-management employees, the use of team strength and knowledge sharing; The key performance drivers are the third layer of the pyramid, including innovation, emotional input and high quality, which essentially improve the customer experience and promote the development of organizational performance. Therefore, at the top of the pyramid is its possible performance results, such as brand and reputation, long-term value to multiple stakeholders, etc.

The analytical perspective of sustainable leadership

In the process of the continuous development of the research by scholars such as Hargreaves and Fink (2004) , other scholars followed them but put forward supplementary definitions or new definitions based on different situations ( Lambert, 2012 ; Tideman et al., 2013 ; Gerard et al., 2017 ). Some scholars also focused on the individual characteristics and personal behaviors of sustainable leadership and analyzed its connotation ( Casserley and Critchley, 2010 ). Others explained its concept from a cross-layer perspective ( Armani et al., 2020 ). Based on these scholars’ researches of sustainable leadership, we analyze sustainable leadership from three levels and five perspectives, as shown in Table 1 .

The connotation and analytical perspective of sustainable leadership.

Level	Perspective	Key features	Specific performance
Individual level	Individual characteristic	Sustainable consciousness and values; How to cultivate sustainable consciousness and values	Moral values and principles, develop people; Action reflection (learning while doing), mental intelligence (clear goals, situational awareness), physical health (stress management, self-care); Environment shapes sustainable leaders
Organizational level	Organizational culture	Emphasize the importance of leadership to a sustainable organizational culture	Encourage a green, innovative and sustainable organizational culture; Cultivate a strong and widely shared organizational culture;
	Strategic orientation	Emphasize that leadership helps to promote the formation of sustainable development strategies of organizations	Promote leadership → enterprise strategic orientation → sustainable organization/performance Expand the value chain of strategic decision-making to the social environment
	Human resource development	Human resource development through Sustainable Leadership	Regard employees as one of the stakeholders of the enterprise to cultivate their ability to continuously develop themselves
Cross level	Interaction between individual and organization	Emphasize leadership integration and promote the correlation between multiple individual and organizational factors	Integrate personal practices with organizational initiatives Context, awareness, continuity, connection, creativity and collective leadership

The author collates according to relevant literature.

At the individual level, sustainable leadership mainly relies on the sustainable individual characteristics of leaders to create sustainable organizations. Sustainable leadership from the characteristic perspective refers to the values of sustainable development possessed by leaders and their sustainable consciousness embodied in their work. In organizations, some leaders are more likely to adopt a responsible attitude toward sustainable initiatives and activities, which largely depends on the leader’s personal characteristics ( Waldman and Siegel, 2008 ). For example, Renwick et al. (2013) emphasized the importance of individual characteristics of leaders, such as moral values and principles, in implementing sustainable measures in enterprises. Casserley and Critchley (2010) pointed out that leaders’ attention to their own psychological and physical health needs is a prerequisite to ensure the effectiveness of their sustainable development leadership. On this basis, leaders would create a sustainable organizational environment, establish sustainable organizational goals and play a responsible role to protect the ecological environment. In addition, the level of sustainable development awareness of leaders also plays a key role in helping them cope with the complex economic, social and environmental situations, and make changes when necessary, so as to promote the sustainable innovation of organizations ( Macke and Genari, 2019 ).

At the organizational level, sustainable leadership is understood as a leadership activity that is embedded in the whole organization and forms a self-reinforcing system within the organization through relevant practices, so that enterprises can maintain economic, social and environmental balance in the whole life cycle, while helping organizations achieve long-term sustainable development. The literature on sustainable leadership at the organizational level can be analyzed from three perspectives: organizational culture, strategic orientation and human resource development. First, from the perspective of organizational culture, sustainable leadership is the key promoter of an organizational culture that focuses on innovation and sustainability within an organization ( Avery and Bergsteiner, 2011b ). At the same time, this organizational culture is an important factor in shaping sustainable leadership ( Amar, 2019 ). Therefore, under the relevant interaction and matching of them, the organization’s sustainable development goals can be achieved. For example, some scholars pointed out that senior leaders’ encouragement of a green, innovative and sustainable organizational culture is conducive to enabling employees to have the same environmental and social goals, thus having a positive impact on the sustainable development of the organization ( McCann and Sweet, 2014 ). Focusing on the long term, “doing the right thing”, promoting sustainable shared value creation and innovating sustainable business models are all basic skills and practices of sustainable leadership, which are conducive to improving organizational culture ( Tideman et al., 2013 ). In particular, Avery and Bergsteiner (2011b) clearly put forward that cultivating a strong and shared organizational culture is one of the high-level practices of sustainable leadership, and regarded it as a goal to be pursued in a longer time after anchoring basic elements. Second, from the perspective of strategic orientation. Sustainable leadership can not only consider the complex interrelationship between individuals, business communities, natural environment and market demand, but also expand it to the value chain of enterprises based on strategic decision-making to obtain long-term achievements, while caring about social welfare, and protecting ecosystems ( Burawat, 2019 ). Third, from the perspective of human resource development. Organizations can implement human resource development through sustainable leadership. Sustainable leadership includes all aspects of people-oriented management, regards employees as one of the stakeholders of the enterprise, and then regards it as the responsibility to cultivate a loyal and highly engaged staff team ( Avery and Bergsteiner, 2011b ). Sustainable leaders attach importance to and develop employees, and in return, employees support leaders and can show sustainable behaviors similar to leaders ( Iqbal et al., 2020b ). Therefore, sustainable leadership not only enables employees to develop themselves, but also makes this development sustainable ( Gilley et al., 2011 ). In addition, the encouragement and support of sustainable leadership also helps to promote the growth of human resource developers, making them more patient and caring for employees.

In terms of cross level, sustainable leadership emphasizes that on the basis of understanding the new paradigm of economics and business trends, leaders can integrate their sustainability vision into the development of the organization more easily by combining the organizational perspective with the individual perspective, so as to promote the transformation of the organization to sustainable business, and also contribute to the construction of a sustainable economic system ( Armani et al., 2020 ). Relevant studies can be analyzed from the perspective of interaction between individuals and organizations. The concept of interaction between individual and organization mainly believes that sustainable leadership not only covers the individual characteristics, organizational culture and strategy of leaders, but also has some intersections that can integrate them. For example, Armani et al. (2020) pointed out that interpersonal skills and change direction belongs to the leader’s individual characteristics, focus on stakeholders, seek sustainability in strategic and specific business outlook is related to the organization, and pay attention to sustainability, and coordinated organization culture and moral values and principles in the intersection, can into the personal practice and organizational measures. Tideman et al. (2013) pointed out that sustainable leadership is a kind of leadership behavior generated from the current situation of leaders and organizations under the background of recognizing the disruptive and transformational changes in current business and society. Whether it can promote the sustainable business transformation within the organization depends on the interaction of leadership awareness and situation in time and space.

Concept comparison and measurement of sustainable leadership

Comparison between sustainable leadership and similar leadership styles.

The proposal of sustainable leadership provides a way to interpret the concept of sustainable development from the perspective of leadership. In recent years, some scholars have compared sustainable leadership with other similar leadership styles ( Tideman et al., 2013 ). Comparing it with transformational leadership, green transformational leadership, responsible leadership and moral leadership in terms of structural dimension, principle, mode of action and motivation is conducive to a better understanding of the connotation of sustainable leadership (shown in Table 2 ).

The comparison of leadership style.

Leadership type	Construct dimension	Principle	Mode of action	Motivation
Green transformational leadership	Green personalized care, green intelligence stimulation, green charisma, green Charm	Instill green values and environmental goals into followers and motivate them to exceed the expected level of environmental performance	Rely on leaders’ Environmental Protection examples and the transmission of green values	Enhance the green innovation of the organization, stimulate the green creativity and green behavior of employees, and achieve excess environmental performance
Moral leadership	People oriented, moral consciousness (moral quality and behavior), the formulation of moral standards and principles, and transparent decision-making style, etc.	Code of ethics	Set an example and moral rewards and punishments for followers through the moral exemplary role of leaders	Formation of employees’ moral behavior
Responsible leadership	Effectiveness, ethics and sustainability	Normative principles	Democratic consultation and active dialogue with stakeholders	Promote the long-term development of the organization by focusing on social responsibility and business ethics
Sustainable Leadership	Focus on the situation, show moral courage and high self-awareness, long-term vision, meet the needs of stakeholders, create sustainable shared value, and collective influence	Continuous learning, long-term success, maintaining others, social justice, development, developing environmental diversity and actively participating in environmental protection	Rely on the interaction of leaders’ leadership consciousness and situational consciousness in time and space	Pursue the balance of economic, social and ecological goals while achieving high performance, resilience and sustainability

The author collated according to relevant literature.

Green transformational leadership

Transformational leaders mainly show four skills or talents: cultivating the internal motivation of their followers (personalized care), being good at taking risks and improving their creativity by stimulating their independent thinking ability (intellectual stimulation), conveying their vision and instilling a sense of purpose and significance (charisma), and setting an example of honesty, reliability and morality for their followers (charm) ( Bass et al., 1987 ). And green transformational leadership is the behavior that can motivate followers to achieve environmental goals and encourage them to exceed the expected level of environmental performance ( Chen and Chang, 2013 ). If a transformational leader happens to have green values and can enhance the green creativity and green behavior of his subordinates through personalized care, intellectual stimulation, vision transmission and charisma, then this transformational leadership behavior is green transformational leadership ( Wang et al., 2018 ). Therefore, the essence of green transformational leadership is still transformational leadership, and its dimensions, principles, modes of action and influence motivation are still consistent with transformational leadership, but green value orientation is added on the basis of the four dimensions of transformational leadership ( Taşçı and Titrek, 2019 ). Although the green transformational leadership brings into the transformational leadership behavior the consideration of environmental issues, the attention to the product life cycle and the social and environmental impact of the whole supply chain, its goal is limited to passing on the values of green environmental protection, promoting green innovation, green environmental protection behavior and green product development. The breadth and depth of its connotation are still lower than that of sustainable leadership.

Ethical leadership

Ethical leadership means that leaders can not only show ethical behavior within the organization, but also promote followers to form an ethical behavior through decision-making and the process of interaction and communication with followers ( Brown et al., 2005 ). The composition of ethical leadership revolves around ethical norms, involving people-oriented, ethical consciousness (ethical quality and behavior), the formulation of ethical standards and principles, and transparent decision-making style. Its focus is still limited to the binary relationship between leaders and followers, aiming to set an example for followers through the ethical exemplary role of leaders, so as to form an ethical atmosphere within the organization, such as public-private distinction, integrity, kindness and integrity, respect and tolerance, and further affect the behavior of followers. Some scholars also pointed out that ethical leadership can also affect the behavior of followers through moral rewards and punishments. Sustainable leadership also practices ethical principles, but it emphasizes the moral principles centered on the environment and community, which goes beyond the scope of moral leadership. In addition, sustainable leadership means cooperation rather than leading others, so it generally does not affect followers through rewards and punishments ( Brown et al., 2005 ).

Responsible leadership

Maak and Pless (2006) put forward the concept of responsible leadership in the research of social responsibility integration leadership, which refers to the ability to establish and maintain trust and common collaborative relationships with stakeholders, and pursue common business vision. Some scholars also understand responsible leadership as the behavior of leaders practicing social responsibility. Both sustainable leadership and responsible leadership extend the relationship between leaders and followers to stakeholders inside and outside the organization, and have similarities in paying attention to social responsibility. However, responsible leadership emphasizes that leaders can promote the development of the organization by paying attention to social responsibility and business ethics. The key of sustainable leadership is not only embodied in ethical, social and responsible business behavior, but also rooted in the triple bottom line of economy, society and environment. Its purpose is to create long-term wellbeing and lasting value for all stakeholders, not just social and environmental responsibility. Sustainable leadership seeks to maintain an appropriate balance between economy, society and ecology while achieving high performance, resilience and sustainability ( Burawat, 2019 ), and goes beyond the concept of green and social responsibility in enterprises. Although responsible leadership has expanded its focus from the relationship between leaders and followers to stakeholders, it still takes the current situation of organizations as the starting point ( Tideman et al., 2013 ). In addition, responsible leadership implements democratic consultation with stakeholders, while sustainable leadership transcends its own interests by playing a beneficial role in society, which in turn enables it to achieve performance growth, resilience and sustainability, thus ensuring the balance of economy, society and ecology.

The measurement of sustainable leadership

The measurement of sustainable leadership is primarily found in two areas: education and business management. There are many researches within the field of education. In terms of qualitative analysis, based on a comparison of different approaches to sustainable and unsustainable leadership in schools, Hargreaves and Fink (2004) summarized sustainable leadership around sustainable learning, environmental protection, and social justice. Burns et al. (2015) examined sustainable leadership in terms of observation and self-awareness, reflection, exploration of ecological and diversity perspectives, and learning from experience and community. Later, Taşçı and Titrek (2019) delved into sustainable leadership affecting lifelong learning in education, observing and asking questions about organizational vision improvement, social responsibility implementation and ethical standard setting. In terms of quantitative research, Farooq and Ibrahim (2017) developed a 25-item sustainable leadership questionnaire with 4 dimensions (staff capacity building, diversity, maintenance, and strategic leadership allocation) through an exploratory factor analysis of 300 administrative and academic staff questionnaires from 6 universities, sample item: “My university provides training opportunities for staff in leadership development programs.” Çayak (2021) developed a 36-item questionnaire with 4 dimensions (administration, economy, culture, and social sustainability) to measure the level of sustainable leadership of principals, sample item: “My principal tells his teachers about his sustainability practices.” In addition, leadership behaviors that promote sustainability in schools have also been investigated through a combination of qualitative and quantitative methods, such as Lambert (2012) who developed a sustainable leadership framework for colleges of continuing education through interviews and questionnaires to collect data consisting of 6 factors, including developing staff capacity, strategy and partnership building, developing long-term goals from short-term goals, diversifying workplace and curriculum development.

Current research within the field of business management has mainly used quantitative analysis, such as Avery and Bergsteiner (2011a) who designed a set of sustainable leadership questionnaires including 57 measures based on 23 practices of sustainable leadership. Later, Suriyankietkaew and Avery (2014) confirmed the validity of this questionnaire with a sample of 1,152 employees in Thai SMEs. Dalati (2015) developed a 10-item sustainable leadership questionnaire, sample item: “I have a good understanding of leadership.” Lee (2017) measures sustainable leadership in 5 dimensions: cohesive diversity, organizational justice, employee development, advancement orientation and work-life balance, with each dimension measured by 2 questions, sample item: “My supervisor works well with employees from diverse backgrounds.” McCann and Holt (2010) developed and empirically tested a sustainable leadership questionnaire based on sustainable leadership thinking and the ten pillars of sustainable leadership (e.g., social and environmental awareness, adaptability, patience), including 15 questions, sample item: “My leader cares about how sustainability affects employees.” This questionnaire has since been widely used in many studies such as McCann and Sweet (2014) , Al-Zawahreh et al. (2019) , Iqbal et al. (2020b) , and Javed et al. (2020) . Although there are more questionnaires for measuring sustainable leadership, the 15-item questionnaire developed by McCann and Holt (2010) has been more recognized and applied by scholars.

The antecedents and consequences of sustainable leadership

The antecedents of sustainable leadership.

Previous scholars have discussed less on the antecedents of sustainable leadership, and the relevant studies are mainly in two aspects: individual and organizational contextual factors. In terms of individual factors, Taşçı and Titrek (2019) and Armani et al. (2020) pointed out that developing managers’ self-awareness can enhance sustainable leadership, because the development of sustainability relied on the way managers view the world and the importance they placed on certain organizational behaviors that involved ethical issues. Cheng et al. (2021) pointed out that many individual characteristics, such as humility, cognition, and integrity, can positively influence sustainable leadership, but this promotion was more likely to occur in highly ethical organizations. In terms of organizational contextual factors, Shaaban (2020) discussed the concept of responsible leadership and sustainable leadership and empirically tested it with a sample of 250 employees and leaders from 18 companies in Egypt, confirming the facilitative effect of responsible leadership on sustainable leadership.

The consequences of sustainable leadership

Although previous scholars have noted that the consequences of sustainable leadership can manifest at the individual, team, organizational, and societal levels, existing empirical analyses have focused primarily on the individual and organizational aspects.

Individual level

The impact of sustainable leadership on employees is mainly reflected in two aspects: cognition and behavior. On the cognitive side, Suriyankietkaew and Avery (2014) stated that 20 out of 23 practices of sustainable leadership can significantly improve employees’ job satisfaction. Similarly, Lee (2017) identified several sustainable leadership practices as important predictor variables of employee satisfaction, such as work-family balance. Çayak and Çetin (2018) examined the impact of school principals’ sustainable leadership behaviors on teachers’ organizational commitment and job satisfaction and found that sustainable leadership could predict high levels of teachers’ organizational commitment and job satisfaction. Dalati et al. (2017) also examined the influence of sustainable leadership with teachers and found that sustainable leadership can increase the level of trust of employees in the organization. In terms of behavior, Shaaban (2020) argued that sustainable leadership improved employees’ behavior thus making them responsible employees. Moreira et al. (2022) believed that sustainable leadership enables employees to feel that the organization cared about them and valued their competency development, thus reducing their willingness to leave.

Organizational level

At the organizational level, the consequences of sustainable leadership are mainly reflected in performance-related variables, and the relationship of them has received more attention from scholars. For example, Avery and Bergsteiner (2011b) stated that sustainable leadership produced 5 performance-related outcomes, namely reputation, customer satisfaction, finances, shareholder value, and long-term value for multiple stakeholders. They also pointed to the ability of sustainable leadership to improve organizational resilience. An empirical analysis by Suriyankietkaew and Avery (2016) with a sample of Thai SMEs confirmed a significant positive relationship between 16 of the 23 sustainable leadership practices and corporate financial performance. Studies by Lee (2017) , Sezgin-nartgun et al. (2020) also pointed out that sustainable leadership can enhance organizational effectiveness. Recently, empirical analyses by scholars have mainly linked the outcomes of sustainable leadership to organizational sustainability. Burawat (2019) and Iqbal et al. (2020a , b) examined the effects of sustainable leadership in numerous SMEs in different countries, and found that sustainable leadership had a positive impact on sustainable performance. In addition, Fatoki’s (2021) analysis with a sample of hotel companies confirmed the positive relationship between sustainable leadership and sustainable performance. Empirical studies by Javed et al. (2020) and Iqbal et al. (2020a) based on many SMEs in Asian coastal countries had shown that sustainable leadership had a significant positive effect on environmental performance. Moreover, scholars have further explained the mechanism of the effect of sustainable leadership on performance-related consequences through mediating variables and moderating variables. Based on the above research, we develop a research framework for sustainable leadership (shown in Figure 1 ). And the research framework also contains related content in the research prospects.

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The analysis framework for sustainable leadership. Solid arrows and “•” represent pathway relationships and variables explored by existing studies, dashed arrows and “°” represent pathway relationships and variables proposed by research outlooks, and (−) indicates negative correlations.

Research prospects

Deepening the conception of sustainable leadership.

Although the number of sustainable leadership research is limited, scholars still differ greatly in their understanding of its connotation, dimensional delineation, and measurement, and have yet to reach a consensus, which has seriously hindered the further development of sustainable leadership. In terms of connotation and dimensional division, most scholars agree that sustainable leadership is multidimensional ( Gerard et al., 2017 ), but there are many overlaps of the dimensional division between sustainable leadership and transformational leadership, ethical leadership, and responsible leadership in existing studies, resulting in numerous questions on sustainable leadership dimensions and measurement questionnaires, which not only affects the theoretical development of sustainable leadership, but also limits the related empirical analysis. Therefore, future research can further clarify the unique structure of sustainable leadership, identify its similarities and differences with other leadership styles, and develop a practical measurement questionnaires based on this.

Enriching the antecedents of sustainable leadership

Future research could explore its potential antecedent variables from a dynamic perspective. The focus of research on sustainable leadership ignores the fact that sustainable leadership behavior may change or fluctuate over time, and thus tapping into its antecedent variables at only one point in time clearly fails to capture changes in sustainable leadership behaviors. Based on existing research, the dynamics of sustainable leadership behavior can be of two kinds, namely, transformation and growth of leadership behavior ( McClean et al., 2019 ). In terms of the study of antecedent variables in the perspective of sustainable leadership transformation, we hypothesize that the main factors that trigger sustainable leadership include experiences, interactions, and conditional triggers. Experiential triggers refer to discrete, work-related experiences of the leader that may cause the leader to face new challenges in the workplace and thus trigger a change in the leader’s behavior; interactive triggers refer to interactive factors that can change the leader’s behavior, such as feedback. Sustainability feedback, social responsibility feedback, etc. may improve sustainable leadership; conditional triggers refer to triggers that are conditional on other factors, such as specific conditional events. In terms of antecedent variables from a sustainable leadership growth perspective, we hypothesize that the triggers for sustainable leadership include experience, relationship building, and traits and orientations. Because sustainable leadership requires leaders to have a broad focus, not only on developing people and teams and improving organizational operations, but also on social wellbeing, socially responsible outputs, and environmental protection, the formation of sustainable leaders is hardly abrupt, but rather evolves over time, with experience leading to higher levels of skills and competencies, and the participatory behaviors of more experienced and established leaders being more effective, making it more likely that the accumulation of experience will shape high-level sustainable leaders over time. In addition, certain traits of leaders, such as self-monitoring, self-efficacy, boldness, commitment, and charisma, may inspire sustainable leadership.

Uncovering the moderators of sustainable leadership

We speculate on the possible weighting factors affecting sustainable leadership formation from the perspectives of structural empowerment theory, resource conservation theory, and institutional theory. First, structural empowerment theory states that power sharing, such as the granting of rights and the delegation of tasks, can enhance individual engagement ( Wang et al., 2022 ). Since sustainable leadership is a rich leadership behavior that requires leaders to balance economic, social, and environmental aspects, it means that leaders need to have a lot of information and resources, and even continuous development opportunities, etc. In a high structural empowerment work environment, leaders are more likely to have access to rich information, support, and resources, thus creating a good working environment for their sustainable leadership behavior. Second, according to resource conservation theory, leaders have limited resources available to them, and the resources they consume to engage in an activity affect their resource investment in other activities. When the workload at work is high, overload reduces the likelihood that leaders will exhibit sustainable leadership behaviors because their need to handle high loads reduces leaders’ perceived progress toward their goals and also causes them to prioritize economic tasks, which leads them to reduce sustainable leadership behaviors. Finally, as open systems, managers’ leadership behaviors are also influenced by external contextual factors. In social contexts, managers’ perceived external normative pressures influence their sustainable leadership behaviors, and in order to gain sustained social support and legitimacy, managers will act to respond to public expectations in a timely manner and position themselves as key contributors to social sustainability, thereby assuming greater social and environmental responsibility. Therefore, future research could also explore the moderating effects that normative pressures play in the formation of sustainable leaders based on institutional theory.

Exploring the mediators of sustainable leadership

While studies on the mechanisms of sustainable leadership have focused on the organizational level, this paper seeks to suggest possible mediating variables between sustainable leadership and its outcomes at the individual level with the help of relevant theories. Specifically, this paper applies AMO theory, similar attraction theory, and social learning theory to propose corresponding perspectives. First, AMO theory states that employees’ behavior or performance is determined by their abilities, motivation and opportunities, and that leaders’ leadership behaviors can have an impact on employees’ abilities, motivation and opportunities. Based on this, sustainable leadership is used as a starting point to explore the mechanisms underlying the influence of sustainable leadership on employees’ sustainability behaviors, in which AMO factors necessarily play a mediating role. First, the inherent explanatory mechanism centered on competencies. In sustainable activities, employees need to possess certain sustainable competencies, i.e., the mental and cognitive abilities of employees related to effectively engaging in a sustainable activity, including knowledge and skills related to sustainable activities, etc. Sustainable leaders enhance the sustainability of their employees by setting sustainable role models for them in their daily management process, and they also provide the necessary resources to enhance sustainability, such as enhanced coaching and training, and the creation of a positive environment. Second, with motivation as the core explanatory mechanism, internal motivation is the most favorable motivating factor that drives employees to engage in an activity. In sustainable activities, internal motivation that can inspire sustainable behaviors carries the same sustainability, reflecting sustainable behaviors implemented by employees out of their love for sustainable activities. Sustainability leadership uses organizational culture to promote sustainability concepts, values, and goals within the organization to induce internal motivation for sustainability. Third, opportunity-centered explanatory mechanisms, in general, refer to factors in the work environment that can promote individual behavior, such as organizational policies and working conditions. In sustainability activities, the opportunities that can drive employee behavior are primarily sustainability opportunities, i.e., a set of policies, conditions, elements, etc. that are conducive to improving employee sustainability behavior. Sustainable leadership can provide opportunities for employees to implement sustainable behaviors, such as providing relevant training and development opportunities and shaping a sustainable organizational culture.

Author contributions

YL contributed to conducting the literature review, designing the research, collecting some of the data, analyzing the data, drafting the manuscript, meanwhile, repeatedly revised, and refined the content of the manuscript.

This research was supported by the Zhejiang Province Social Science Planning Project “Research on the Mechanism and Implementation Path of High-quality Urban and Rural Integrated Development in Zhejiang Province under the Background of Rural Revitalization” (Project Number. # 22NDJC341YBM).

Conflict of interest

The author declares that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.

Publisher’s note

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Environmental considerations and sustainable solutions for outdoor advertising banners.

1. Introduction

2. advantages, disadvantages, and environmental impact of banners, 2.1. overview of the outdoor advertising industry, 2.2. flex banners and the environmental impact, 3. models and strategies for extending banner lifespan and promoting the circular economy, 3.1. rethink, reduce, 3.2. upcycling, reuse, repurpose, 3.3. remanufacturing, 4. case study—transforming a banner into a raincoat, 5. discussion.

MCost—Material cost, the cost of the main material per square meter (in local currency). In our case, it is the recycled banner.
MC—Material consumption, calculated with Formula (3) M C = ( L × W ) + ∑ i = 1 n A i (3) where length (L) and width (W) of the material needed for one raincoat (in meters) and A—Quantity and types of accessories required (e.g., zippers, snaps, drawstrings)
AC—Accessories Cost: cost of accessories per piece (in local currency)
LC—Labor Cost per hour (in local currency)
WT—Work Time: total work time for one raincoat (in hours). It is calculated with Formula (4) WT = MCut + AS + F (4) where:
MCut—Material Cutting: time needed to cut the material (in minutes)
AS—Assembly: time needed to assemble the pieces (in minutes)
F—Finishing: time for final touches and inspections (in minutes)

6. Conclusions

Author contributions, institutional review board statement, informed consent statement, data availability statement, conflicts of interest.

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Cuc, S.; Secan, C. Environmental Considerations and Sustainable Solutions for Outdoor Advertising Banners. Sustainability 2024 , 16 , 5366. https://doi.org/10.3390/su16135366

Cuc S, Secan C. Environmental Considerations and Sustainable Solutions for Outdoor Advertising Banners. Sustainability . 2024; 16(13):5366. https://doi.org/10.3390/su16135366

Cuc, Sunhilde, and Cristina Secan. 2024. "Environmental Considerations and Sustainable Solutions for Outdoor Advertising Banners" Sustainability 16, no. 13: 5366. https://doi.org/10.3390/su16135366

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Open access
Published: 28 June 2024

A scoping review on the associations between early childhood caries and sustainable cities and communities using the sustainable development goal 11 framework

Morẹ́nikẹ ́Oluwátóyìn Foláyan 1 , 2 ,
Elisa Maria Rosa de Barros Coelho 3 , 4 ,
Carlos Alberto Feldens 1 , 3 ,
Balgis Gaffar 1 , 5 ,
Jorma I Virtanen 1 , 6 ,
Arthur Kemoli 1 , 7 ,
Duangporn Duangthip 1 , 16 ,
Ivy Guofang Sun 8 ,
Ray M. Masumo 1 , 9 ,
Ana Vukovic 1 , 10 ,
Ola B. Al-Batayneh 1 , 11 , 12 ,
Tshepiso Mfolo 1 , 13 ,
Robert J Schroth 1 , 14 &
Maha El Tantawi 1 , 15

BMC Oral Health volume 24 , Article number: 751 ( 2024 ) Cite this article

Metrics details

Early childhood caries (ECC) is a multifactorial disease in which environmental factors could play a role. The purpose of this scoping review was to map the published literature that assessed the association between the Sustainable Development Goal (SDG) 11, which tried to make cities and human settlements safe, inclusive, resilient and sustainable, and ECC.

This scoping review followed the Preferred Reporting Items for Systematic Reviews and Meta-Analyses Extension for Scoping Reviews (PRISMA-ScR) guidelines. In July 2023, a search was conducted in PubMed, Web of Science, and Scopus using tailored search terms related to housing, urbanization, waste management practices, and ECC. Studies that solely examined ECC prevalence without reference to SDG11 goals were excluded. Of those that met the inclusion criteria, a summary highlighting the countries and regions where the studies were conducted, the study designs employed, and the findings were done. In addition, the studies were also linked to relevant SDG11 targets.

Ten studies met the inclusion criteria with none from the African Region. Six studies assessed the association between housing and ECC, with findings suggesting that children whose parents owned a house had lower ECC prevalence and severity. Other house related parameters explored were size, number of rooms, cost and building materials used. The only study on the relationship between the prevalence of ECC and waste management modalities at the household showed no statistically significant association. Five studies identified a relationship between urbanization and ECC (urbanization, size, and remoteness of the residential) with results suggesting that there was no significant link between ECC and urbanization in high-income countries contrary to observations in low and middle-income countries. No study assessed the relationship between living in slums, natural disasters and ECC. We identified links between ECC and SDG11.1 and SDG 11.3. The analysis of the findings suggests a plausible link between ECC and SDG11C (Supporting least developed countries to build resilient buildings).

There are few studies identifying links between ECC and SDG11, with the findings suggesting the possible differences in the impact of urbanization on ECC by country income-level and home ownership as a protective factor from ECC. Further research is needed to explore measures of sustainable cities and their links with ECC within the context of the SDG11.

Peer Review reports

Introduction

By 2018, more than half of the global population resided in urban areas, indicating a significant trend towards urbanization [ 1 ]. Projections suggest that this number will further escalate to 6.5 billion by the year 2050 [ 1 ]. The rise in urbanization is accompanied by an increase in the number of mega-cities. Nine out of ten mega-cities will be in developing countries and about 90% of urban expansion is expected to occur in these nations [ 1 ]. Within mega-cities, there are disparities in socio-economic status, with pockets of poverty and deprivation alongside affluent areas often resulting from the growth of urban slums [ 2 ]. Presently, the slum population stands at 828 million individuals and is continuously growing [ 3 ]. This problem is more pronounced in some countries in Africa like Nigeria, where three out of every five people residing in urban regions reside in slums [ 4 ].

These statistics are significant as they highlight the increased risk factor for early childhood caries (ECC) in urban areas. Populations residing in urban slums have challenges accessing adequate oral health services due to structural factors limited availability of dental clinics, shortage of oral health professionals, and long waiting times to access oral health care [ 5 ]. In addition, children may individually deal with issues that increase their difficulties accessing nutritious foods, quality oral care products, and regular dental check-ups, all of which further contributes to their high vulnerability to ECC [ 6 , 7 ]. These factors impede timely preventive and treatment interventions for ECC [ 5 ]. On the other hand, children residing in cities may also have a high prevalence of ECC for different reasons [ 8 ]. In the cities, there is ready access to unhealthy food options and unhealthy lifestyles, which may contribute to the adoption of unhealthy dietary behaviours such as inadequate fruit and vegetable consumption and increased energy intake [ 9 , 10 , 11 , 12 ]. For children living in cities and urban slums, the urban environment can increase their exposure to air pollution, which may also contribute to ECC [ 13 ]. Therefore, there is a complex interplay of urban-related behavioural, social, economic, and environmental factors that may constitute significant risk factors to the occurrence and progression of ECC.

ECC is defined by any cavitated or non-cavitated lesions in primary teeth in the mouths of children < 72 months of age [ 14 ]. The multifaceted risk factors prevalent in urban environments heighten children’s susceptibility to ECC, primarily due to high sugar consumption and exposure to cariogenic diets. Therefore, urban planning must consider the potential impact on children’s oral health, as poor oral health and ECC can impede the achievement of Sustainable Development Goal (SDG) 3. Previous research suggests a correlation between SDG 3 and SDG 11 [ 15 ] and a correlation between ECC and SDG 3 [ 16 ]. The connection between oral health and SDG 11 remains unclear there is currently no clear evidence on the links between oral health and the SDG 11 [ 17 ].

Achieving the SDG 11 may contribute to controlling ECC. The 10 targets of the SDG 11 are focused on improving the quality of life in urban areas, making cities more accessible, safer, and sustainable while mitigating environmental impacts like disasters, ensuring air quality, and waste management. This involves upgrading slums, ensuring basic services and safe transport systems, and creating safe, inclusive, green public spaces. Targets addressing children focus on safe, affordable transport systems and accessible public spaces, benefiting vulnerable groups (SDG 11.2; SDG11.7) [ 18 ]. Sustainable cities may also address concerns like air pollution and access to safe waste collection, which is linked with ECC [ 19 , 20 ], and access to safe waste collection systems, urban green spaces and housing that are also linked to oral health [ 21 , 22 , 23 , 24 ].

The concept of a smart sustainable city is relatively new with numerous methods and indicators to assess whether the city is smart or sustainable. Its conceptualisation is, however, devoid of health as an indicator though the dimensions and components all contribute to healthy living and wellbeing [ 25 ], and possibly oral health. The purpose of this scoping review was to map the evidence in the literature on the association between ECC and targets of the SDG11.

We conducted a systematic search to identify literature on the link between sustainable cities and communities and ECC. Our Scoping Review was done in accordance with the Preferred Reporting Items for Systematic Reviews and Meta-Analyses Extension for Scoping Reviews guidelines (PRISMA-ScR) [ 26 ].

Research question

This review was guided by the question: What is the existing evidence on the association between the SDG11 targets (housing, urbanization, waste management practices, natural disasters) and ECC (prevalence and severity)?

Search strategy

The electronic data searched were PubMed, Web of Science and Scopus, in July 2023. The search terms used are accessible in Appendix 1.

Selection criteria

Literature obtained through database searches was exported to the reference management software Endnote version 20.6 (Clarivate ™ ). Duplicate articles were removed. Title and abstract screening were done independently by two researchers (EMRBC and MOF) using pre-defined inclusion and exclusion eligibility criteria. Full-text reviews of the remaining publications were then done independently by three researchers (EMRBC, CAF and MOF) and reference lists of potentially relevant publications were manually searched. Uncertainty regarding whether publications met the inclusion criteria was resolved through discussion among the three researchers. No authors or institutions were contacted to identify additional sources.

Inclusion criteria

All epidemiological studies with information on the association between housing, natural disaster, urbanization, and community related factors, and ECC were included. Studies were limited to those that recruited children less than 72 months in keeping with the established case definition for ECC. Publications that included children older than 71 months were included if the findings were appropriately disaggregated by age and enabled the extraction of information and data on children less than 72 months. Publications also had to be peer review articles.

Exclusion criteria

We excluded studies that did not report ECC as an outcome and those that made no reference to the targets of SDG 11. We also excluded reviews, editorials, case reports and ecological studies. In addition, there were no language restrictions for the search conducted in the databases.

Data charting

The data extraction process involved gathering specific information from the included publications, such as the first author’s name, publication year, study location, World Health Organization’s (WHO) region where the study was conducted, sample size, age range of the children, study design, and main findings. All relevant information from each publication was compiled and summarized in Table 1 to facilitate a comprehensive analysis. The summarized data was then shared with four experts (MET, BG, JIV and RJS) for their review. Publications were retained only when there was a consensus between the experts and the earlier three reviewers. The final consensus document was also shared with members of the Early Childhood Caries Advocacy Group ( www.eccag.org ) for validation.

Data analysis

We performed a descriptive analysis of the publications included in the review, which involved providing detailed information about various aspects of the studies. These descriptions encompassed the countries where the studies were conducted, study design, journal (whether dental or non-dental), prevalence of ECC, and findings regarding the associations between ECC and the indicators of SDG11, which included housing profiles, urbanization, and the impacts of natural disasters. The countries where the studies took place were classified as the Americas region (AMR), Eastern Mediterranean Region (EMR), African region (AFR), European region (EUR), South East Asian region (SEAR), and the Western Pacific region (WPR).

Role of the funding source

The scoping review was funded by out-of-pocket expenses. This had no role to play in the study design, data collection and analysis, decision to publish, or preparation of the manuscript.

The initial search across three databases yielded 87 potentially relevant publications. After removing duplicates, 65 articles were assessed to determine whether they met the inclusion criteria. Ultimately, only 10 studies were deemed suitable for this scoping review [ 27 , 28 , 29 , 30 , 31 , 32 , 33 , 34 , 35 , 36 ]. The study selection process is depicted in Fig. 1 .

Flow diagram based on the Preferred Reporting Items for Systematic Reviews and Meta-Analyses 2020 flowchart template of the search and selected process

Characteristics of the study

Table 1 shows that the selected studies were conducted between 1976 and 2020, with only one study conducted before 2000 [ 27 ]. Among the 10 studies, five (50.0%) were cross-sectional in design [ 27 , 28 , 30 , 31 , 35 ], four (40.0%) were cohort studies [ 29 , 32 , 33 , 34 ], and one (10.0%) was a case-control study [ 36 ]. In addition, seven of the 10 studies (70.0%) were published in dental journals [ 27 , 28 , 29 , 30 , 31 , 35 , 36 ], while three (30.0%) were published in non-dental journals [ 33 , 34 , 35 ].

These studies were distributed across the five of the six World Health Organization regions. Three studies (30.0%) were from EUR, with one each from Denmark [ 27 ], Greece [ 30 ], and Italy [ 32 ]. There were two studies (20.0%) from WPR, with one from Australia [ 29 ], and one from South Korea [ 31 ]; and two studies (20.0%) were from the AMR, with one from the USA [ 33 ] and one from Brazil [ 35 ]. Additionally, there was one study (10.0%) from the EMR - Iran [ 36 ], and one study (10.0%) from SEAR - Taiwan [ 28 ], and no study from AFR.

The study populations consisted of children aged between 4 months to 2 years [ 28 , 29 , 31 , 32 , 34 ] and children aged 3 years to 6 years [ 28 , 29 , 30 , 31 , 33 , 34 , 35 , 36 ]. Only One study included children older than 71 months in their sample [ 36 ]. Furthermore, two studies had a sample size of less than 350, with one being a cohort study with 50 participants [ 33 ] and the other a cross-sectional study with 122 children [ 27 ].

Associations between ECC and SDG 11

Six studies identified an association between housing and ECC [ 30 , 31 , 32 , 34 , 35 , 36 ] with a study finding suggesting that children whose parents owned a house had lower ECC prevalence [ 36 ] and lower ECC severity [ 30 ]. However, variables such as living in small apartments [ 31 ], low-cost apartments [ 32 ], and non-masonry houses [ 34 ] were associated with higher ECC prevalence. However, one study found no association between living in masonry houses and ECC prevalence [ 35 ] and another showed that children who lived in larger houses had higher ECC severity [ 30 ]. There was no difference in ECC prevalence based on the number of rooms in the house [ 35 ].

Furthermore, five studies identified a relationship between urbanization and ECC [ 27 , 28 , 29 , 33 , 35 ]. One study found no difference in ECC severity based on the size of the residential area [ 27 ], while another showed that children living in smaller municipalities had a higher prevalence of ECC [ 35 ]. Two studies indicated that the remoteness of the residential area was not associated with a higher prevalence of ECC [ 29 , 33 ], while a study showed that children living in low urbanized areas had a higher prevalence of ECC [ 28 ].

In addition, among the studies we reviewed, one study investigated the relationship between the prevalence of ECC and waste management practices [ 35 ]. The study revealed that there was no significant difference in the prevalence of ECC based on the way waste was managed at the household level, whether it was burned/buried, collected, or left uncollected.

The findings on the links between urbanization and ECC were the most diverse. This variation appears to be associated with the income level of the countries where the research was conducted. Studies from high-income countries did not show a significant link between ECC and urbanization [ 27 , 29 , 33 ]. Conversely, the study from low and middle-income countries indicated that ECC prevalence was higher in low urbanized areas [ 28 ]. Based on this analysis, a connection between ECC and SDG11.C is suggested.

There was no study that assessed the relationship between living in slums and ECC, and the relationship between natural disasters such as floods, earthquakes, or hurricanes and ECC.

Figure 2 illustrates our conceptual framework depicting the connection between ECC and SDG11. We identified associations between ECC and SDG11.1 [ 30 , 31 , 32 , 34 , 35 , 36 ]. The studies that explored the association between SDG11.3 and ECC [ 27 , 28 , 29 , 33 , 36 ] suggest that that the influence of SDG11 on ECC risk could vary based on the income levels of different countries. In lower income countries, urbanization may elevate the risk of ECC, whereas in higher income countries, urbanization might not be linked to the risk of ECC. This finding strengthens the argument of a plausible association between ECC and SDG11.C (which pertains to supporting least developed countries in constructing sustainable and resilient buildings utilizing local materials).

The single study linking SDG 11.6 and ECC [ 35 ] found no association between waste management methods and ECC. In addition, we found no study establishing a link between ECC and SDG11.2 (urban transportation access for children), SDG 11.7 (access to safe, inclusive, and accessible, green, and public spaces), SDG11.8 (strengthening national and regional development planning), and SDG11.9 (climate change and disaster management). We did not explore the links between ECC and SDG11.4 (protect and safeguard the world’s cultural and natural heritage) due to the low likelihood of a connection between the two; nor did we explore the link between ECC and SDG 11.5 (economic losses relative to global gross domestic product caused by disasters) because this had been investigated when we explored the link between ECC and SDG8 (decent work and economic growth).

A conceptual framework on the link between ECC and SDG 11

The purple box shows the SDG targets statistically associated with ECC in the current study

11 − 1 safe and affordable housing

11 − 2 affordable and sustainable transport systems

11 − 3 inclusive and sustainable urbanization

11 − 4 protect the world’s cultural and natural heritage

11 − 5 reduce the adverse effects of natural disasters

11 − 6 reduce the environmental impact of cities

11 − 7 provide access to safe and inclusive green and public spaces

11-A strong national and regional development planning

11-B implement polices for inclusion, resource efficiency and disaster risk reduction

11-C support least developed countries in sustainable and resilient building

https://knowsdgs.jrc.ec.europa.eu/sdg/11

This scoping review was performed to map the existing literature on the links between ECC and SDG11. The study findings revealed that there was a limited number of studies investigating the link between ECC and SDG11. Most of these studies were cross-sectional in design, and the results indicated that owning a house was associated with lower risk of having ECC and lower ECC severity. However, it became evident that other housing-related factors such as apartment size, the number of rooms, and construction materials used may also play a role. The relationship between ECC and urbanization was less distinct, although diverse observations seemed to vary based on the income level of the countries under study. Notably, there were no studies from the African Region. Household waste management did not show a significant association with the prevalence of ECC. This scoping review found studies linking ECC and three SDG 11 targets. There were no accessible studies linking ECC and the other seven SDG 11 targets though there was the plausibility of a link between one of these based on the review of the literature.

The results suggest that having adequate, safe, and affordable housing is associated with lower ECC prevalence and severity. Upgrading slums may also have a positive impact on the risk of ECC, as studies among older children and adolescents have already indicated that living in slums increases the risk for caries [ 24 , 37 , 38 ]. The connections between ECC, housing, and living in urban/rural/remote areas may be related to socioeconomic status, as higher socioeconomic status is associated with improved housing [ 39 ], better nutrition and diet [ 40 , 41 ] and better health [ 42 ]. This suggests that the relationship between housing, urbanization and ECC is not causal but rather, housing and urbanization are markers of better socioeconomic status, which is causally linked to ECC risk [ 43 , 44 , 45 ]. It is also possible that housing is a marker of better public policies in a neighbourhood, community, or country, and may explain in part, the connection between the SDG 11 and ECC. However, there might be other pathways through which housing and urbanization are linked to the risk and severity of ECC and this needs to be explored by further studies, including doing the difficult task of measuring the direct impact of public policies on oral health.

Some ecological studies have also provided insight into the possible complexity in assessing the links between ECC and SDG11. One of such studies indicated an inverse relationship between urbanization and ECC among European Union member countries [ 46 ]. A study conducted on Serbia, one of the European member countries, further corroborated this finding by indicating that residence in parts of a country with lower social and health care expenditures per capita, lower population density, lower local self-government budget and a higher unemployment rate – a profile that may be synonymous with living in a rural or remote area - may increase the risk for both ECC and untreated ECC [ 47 ]. It is also possible that urbanization may be linked to higher maternal education, higher income, greater access to information; or it may be a proxy for prompt access to oral health services [ 48 ]. The converse may be observed in low middle income countries where a possible pathway linking SDG11 and ECC may be infant feeding practices. Infant feeding practices differ between the urban and rural areas, with infant feeding practices better in the rural area [ 49 ]. Urbanization may negatively affect breast feeding practices [ 50 ]. These suggest there may be a complex interplay of factors that influence the risk of ECC that housing and urbanization may either moderate or mediate.

In addition, natural disasters may also be linked to the risk of ECC, as they can cause damage to houses including dental facilities and infrastructure such as water and electricity [ 51 ]. This increases the risk of poor access to urgently needed preventive dental care and promotes the consumption of cheap foods with high sugar contents, as well as the deterioration of self-care [ 52 ]. Previous studies have suggested a causal relationship between economic deterioration and housing damage resulting from natural disasters [ 51 ], a decrease in oral health quality of life [ 53 ], and the connection between oral disease and insomnia resulting from natural disasters [ 54 ]. There were, however, no studies on the link between ECC and natural disasters despite this plausibility. Future disaster management studies should explore the possibilities of this link.

Encouraging further research on the link between ECC and the SDG11 targets, along with exploring plausible connections with other SDG11 targets yet to be studied, holds significant potential for effectively addressing the current high global burden of ECC. Particular attention must be given to the African Region, which currently experiences a substantial burden of untreated ECC [ 55 ], high susceptibility to urban migration and the proliferation of slums [ 56 ]. Within Africa, attention should be paid to regions in Africa with the highest rate of urban-slum dwellers in the world [ 57 ]. The rapid growth of the urban population in Africa, driven by rural-urban migration, is accompanied by poor waste management in these slums [ 58 ]. These studies should take into consideration the use of appropriate methodologies including adjustment for socioeconomic status which may diminish the association between the prevalence of caries and urban residency with no impact on the association between caries and semi-urban residency [ 59 ]. Therefore, studies exploring the links between ECC and SDG11 may require differentiation between urban, semi-urban, rural, and slum residency. Likewise, access to fluoridated water can attenuate the impact of risk factors on ECC and therefore may also change the relationship between urbanization and ECC [ 60 ]. The studies on ECC should profile the risk factors for children 0-2-years old differently from those 3–5 years old [ 61 ].

The study had a few limitations. We limited our data extraction to only three databases. As a result, some relevant publications might have been unintentionally excluded. In addition, the scope of our study was restricted to children under six years old, limiting the applicability of our findings to other age cohorts. Despite these limitations, the study underscores plausible connections between ECC and the SDG 11 that warrant empirical exploration in future research especially in Africa.

In conclusion, the findings of this scoping review from the few included studies show there is potential for connections between ECC and SDG11. Firstly, the relationship between housing and the prevalence and severity of ECC indicates a potential mediating role of socioeconomic status. Secondly, studies examining the links between urbanization and ECC were inconclusive, yet hint at possible variations based on country income levels. Thirdly, there were no studies exploring the connections between ECC, living in slums, and natural disasters. Finally, the sole study on waste management practices found no significant association with ECC prevalence. Additionally, the studies were limited to investigating only three of the 10 SDG11 targets. Further research is warranted not only to explore the correlations between ECC and all aspects of SDG11 but also to assess the mediating pathways underlying these connections.

Data availability

The datasets used and/or analysed for the study are publicly accessible. Data used are summarised in the publication.

Abbreviations

Early Childhood Caries

Preferred Reporting Items for Systematic Reviews and Meta-Analyses Extension for Scoping Reviews guidelines

Sustainable Development Goal

Americas region

Eastern Mediterranean Region

African region

European region

South East Asian region

Western Pacific region

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Morẹ́nikẹ ́Oluwátóyìn Foláyan, Carlos Alberto Feldens, Balgis Gaffar, Jorma I Virtanen, Arthur Kemoli, Duangporn Duangthip, Ray M. Masumo, Ana Vukovic, Ola B. Al-Batayneh, Tshepiso Mfolo, Robert J Schroth & Maha El Tantawi

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Elisa Maria Rosa de Barros Coelho & Carlos Alberto Feldens

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M.O.F conceived the study. The Project was managed by M.O.F., C.A.F., B.G. and J.I.V. Data curating was done by I.A., A.N., and E.M. R. de B.C. C. Data analysis was conducted by M.O.F., C.A.F., M.O.F. and M.ET. D.D. and I.G.S. drew the conceptual framework. M.O.F. developed the first draft of the document. E.M. R. de B.C. C., C.A.F, B.G., J.I.V., A.K., D.D., I.G.S., R.M.M., A.V., O.A.A-B., T.M., R.J.S. and M.E.T. read the draft manuscript and made inputs prior to the final draft. All authors approved the final manuscript for submission.

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Duangporn Duangthip is an Associated Editor with the BMC Oral Health. Jorma Virtanen is a Senior Editor Board member with BMC Oral Health. Morẹ́nikẹ́ Oluwátóyìn Foláyan and Maha El Tantawi are Senior Editor Board members with BMC Oral Health. Arthur Kemoli is an Editor Board member with BMC Oral Health. All other authors declare no conflict of interest.

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Foláyan, M., de Barros Coelho, E.M.R., Feldens, C.A. et al. A scoping review on the associations between early childhood caries and sustainable cities and communities using the sustainable development goal 11 framework. BMC Oral Health 24 , 751 (2024). https://doi.org/10.1186/s12903-024-04521-1

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Enhancing watershed management in developing countries: insights from Ethiopia

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Published: 27 June 2024
Volume 5 , article number 131 , ( 2024 )

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Temesgen Argaw Naji 1 ,
Meskerem Abi Teka 1 &
Esubalew Abate Alemu 2

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Natural resource degradation poses a major challenge to the sustainable livelihoods of farmers in developing countries, hindering progress toward achieving sustainable rural development. Watershed development and management practices (WDMPs) are powerful tools for enhancing sustainable rural development in developing countries. These practices have been shown to significantly improve livelihoods and food security. This research examined how WDM programs help achieve sustainable development in rural areas, focusing on examples from Ethiopia. This study used a systematic literature review (SLR) approach following a PRISMA review protocol. The research question was formulated using the CIMO (context, intervention, mechanisms, and outcomes) approach: “Does the watershed development and management (WDM) initiative lead to sustainable rural livelihoods?” Considering this research question, the findings indicated that WDM contributes to the socioeconomic and environmental sustainability of rural communities. It does this by enhancing households’ livelihood in terms of income generation, employment opportunities, agricultural productivity, and improvements in social services and infrastructure, as evidenced by numerous studies, thereby leading to better livelihoods and food security. This research also emphasizes the importance of community participation and supportive policies and legal frameworks for successful WDM. Overall, the systematic literature review highlights the potential of WDMPs in promoting sustainable rural development in developing countries such as Ethiopia while also highlighting the need for a supportive policy and institutional environment.

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1 Introduction

The sustainable use of natural resources is becoming an increasingly urgent concern globally, as many of these resources face the threat of depletion [ 1 , 2 ]. The depletion of natural resources can profoundly affect human beings and jeopardize the sustenance and welfare of those who rely on these resources [ 3 , 4 ]. Indeed, farmers in developing countries’ highlands depend on natural resources for their well-being. Four-fifths of the world’s poor live in rural areas, and most depend on natural resources for their livelihoods [ 5 , 6 , 7 ]. Sub-Saharan Africa in particular faces significant vulnerability regarding the depletion of natural resources [ 8 , 9 ].

The depletion of natural resources is a critical issue in Ethiopia [ 10 ]. The highlands in the country are among the most degraded lands in Africa [ 11 ]; the ecology in many parts of the highlands is considerably damaged, sometimes beyond recovery [ 12 ]. Ethiopia has experienced high rates of land degradation, soil erosion, deforestation, and frequent droughts [ 10 , 13 , 14 , 15 ]; central highlands are among the areas experiencing persistent declines in the potential productive capability of watershed resources [ 16 , 17 , 18 , 19 , 20 , 21 ]. In light of these challenges, both the government and nongovernmental organizations have launched several initiatives aimed at natural resource development and management to alleviate the impact and address these issues. Among these approaches, WDM have evolved significantly over time.

A watershed is a natural land unit that collects water and channels it through a common outlet via a network of drains [ 22 , 23 ]. It is a hydrologic unit and is used as a physical-biological or socioeconomic-political unit for planning and managing natural resources for increasing productivity, generating employment, overall socioeconomic development and, consequently, the well-being of the community [ 22 , 24 , 25 , 26 ]. Watershed development is defined as programs involving targeted technical interventions, such as afforestation, construction of check dams, and soil conservation practices. These interventions aim to enhance the productivity of specific natural resources within the watershed, with the objective of optimizing resource utilization while ensuring sustainable water availability [ 27 , 28 , 29 ]. On the other hand, watershed management refers to the holistic understanding and regulation of hydrological relationships within a watershed. Rather than solely investing in physical interventions, socioeconomic and ecological factors are considered. The emphasis is on safeguarding resources from degradation, with the objective of maintaining ecological balance, preventing resource depletion, and promoting sustainable livelihoods [ 27 , 30 , 31 ].

Recognizing the interdependence between technical interventions and subsequent management efforts, this study adopts the combined term watershed development and management (WDM) to underscore the necessity of integrating both ecological and socioeconomic aspects for effective watershed governance. Initially, the focus was primarily on physical aspects, such as reforestation and soil conservation, which contribute to climate resilience by mitigating the impacts of extreme weather events and maintaining ecosystem services crucial for agriculture [ 32 , 33 , 34 ]. However, this approach has transformed into a holistic perspective integrating social, economic, and environmental dimensions. Today, effective WDM encompasses the coordinated management of land, water, biota, and other resources within a defined geographical area [ 22 , 35 ].

As the world collectively tackles urgent environmental, social, and economic issues, strategic WDM plays a crucial role. This approach, supported by research from various scholars [ 27 , 36 , 37 , 38 , 39 ], is instrumental in achieving sustainable development goals (SDGs). By safeguarding natural resources, promoting sustainable livelihoods, and bolstering resilience, effective WDM contributes significantly to the SDGs. The significance of WDM in achieving sustainable rural development is explored through the lens of the SDGs. The central focus of SDG 6 (Clean Water and Sanitation) and SDG 15 (Life on Land) from the perspective of watershed management lies in conserving natural resources. In the context of SDGs 6 and 15, watershed management serves as a preventive measure against soil erosion, deforestation, and habitat degradation. This approach promotes biodiversity and preserves ecosystem functions. Moreover, watershed management plays a critical role in sustaining freshwater reservoirs, which are essential for human settlements, agriculture, and ecological balance. The scope of SDG 1 (No Poverty) emphasizes the enhancement of livelihoods. Effective watershed management practices lead to increased agricultural productivity, thereby generating livelihood opportunities for rural communities [ 40 , 41 , 42 ].

Furthermore, through the lens of watershed management, SDG 13 (climate action) emphasizes the strengthening of resilience. Proficient watershed management significantly boosts climate resilience and communal well-being. This is evident in SDG 13, where effective watershed management mitigates climate-induced challenges such as floods and regulates water flow, thereby fortifying community resilience against environmental adversities. SDG 8 (Decent Work and Economic Growth) underscores the role of well-managed watersheds in bolstering sustainable livelihoods by ensuring water access for industries, fisheries, and tourism [ 40 , 42 ]. Additionally, within the ambit of SDG 11 (Sustainable Cities and Communities), competent watershed management reduces vulnerability to natural disasters, thereby fostering safer urban environments [ 40 , 41 , 42 ].

WDM are crucial for achieving sustainable rural development, particularly in developing countries; Ethiopia, a developing country, has acknowledged the significance of WDM in tackling challenges and promoting sustainable rural development since mid-1970 [ 17 , 38 , 43 , 44 , 45 , 46 , 47 , 48 ]. These efforts aim to restore natural resources, enhance agricultural productivity, and improve the livelihoods of people living in watershed areas. By implementing integrated WDM practices (WDMPs), Ethiopia seeks to be effective in terms of soil conservation, reforestation, and water harvesting; communities can improve their resilience to the impacts of climate change, enhance their food security and improve agricultural productivity in the country [ 37 , 48 , 49 , 50 , 51 , 52 , 53 , 54 ]. However, despite the existence of actionable research, these efforts have yet to translate into substantial enhancements in sustainable rural development regarding livelihood outcomes. These outcomes include income and employment generation, agricultural productivity, social services, infrastructure, and food security within the country. Consequently, this study aimed to identify a comprehensive framework for optimizing WDMPs, specifically focusing on the Ethiopian central highlands.

The remainder of the article is organized as follows: In sect. 2 , the methodology of the study is discussed. Section 3 presents the study’s results, and Sect. 4 presents a discussion of the findings. Sections 5 and 6 present the conclusions and recommendations, respectively.

2 Methodology

This study aims to contribute new knowledge to the literature by addressing how watershed development is integral to sustainable rural development. This study employs the pragmatist worldview [ 55 , 56 ]. Pragmatism explores the origin, nature, and limits of human understanding, prioritizing practical implications over abstract truths [ 56 , 57 , 58 , 59 , 60 ]. Pragmatic theories emphasize the importance of practical aspects when assessing the role of WDM in sustainable rural development. This study employed a systematic literature review (SLR) as the research technique. This approach contributes to the current understanding of social aspects of sustainable rural development through enhanced watershed management practices and to finding, critiquing, and synthesizing the results of all available studies to establish overall findings for a question. SLRs provide a structured approach for reviewing the literature and follow a detailed process. The methods used were predefined, and the research and reporting followed specific guidelines and frameworks, as highlighted by [ 61 ]. This method involves establishing a protocol beforehand, applying rigorous search strategies across multiple databases, and conducting a critical appraisal of selected studies to address a specific research question [ 62 ].

While prior research has explored the potential benefits of watershed management, these studies lacked a focus on sustainable rural development or did not specifically address households in developing countries such as Ethiopia. Poonia and Singh [ 63 ] for example, focused on groups in India, while Worku and Tripathi [ 64 ] and Abebaw [ 65 ] focused on Ethiopia using traditional review methods and did not focus on the role of watershed management in sustainable rural development. The scarcity of research, according to the researchers, on the issue within a developing country context such as Ethiopia prompted this SLR, aiming to bridge the knowledge gap and offer a comprehensive understanding of the literature.

This study was guided by a preferred reporting items for systematic review and meta-analysis (PRISMA) review protocol. Based on the review protocol, the authors started the SLR by formulating an appropriate research question for the review. The research question was formulated using the context, intervention, mechanisms, and outcomes (CIMO) approach. The CIMO framework is more applicable in nonmedical research where there is a limited requirement to compare interventions [ 66 ]. This study investigates the impact of WDM (intervention) on achieving sustainable rural development (outcome) through livelihood outcomes (mechanisms) for rural communities (context). The final question read as follows: “Does watershed development and management initiative lead to sustainable rural livelihoods?” This question examines the role of WDM in contributing to sustainable rural livelihoods. The question also examines the various benefits that households are likely to gain from WDM in terms of livelihood outcomes. The question also touches on community participation and policy to ensure the sustainability and conservation of watershed resources to meet the needs of the community.

Following the research question development, the next step involved a “web search” using keywords and “Boolean operators”. This search targeted articles relevant to the research question and qualitative variables. Keywords such as “watershed development”, “watershed management”, “sustainable rural development”, “livelihood outcome”, and “food security” were used. The purpose of using the keywords was to enhance the accuracy of the literature. The Boolean operators approach was also used to combine search terms in ways that broaden and limit the search results to the specific inclusion and exclusion criteria. The primary sources of information for this review were the electronic journal databases Web of Science, Google Scholar, Scopus, and WorldCat for peer-reviewed articles, books, and gray literature. The search strategy was continuously revised by trial and error until the databases yielded the maximum number of articles for screening. Based on the results of the first stage of screening, a literature search revealed a total of 1132 articles, of which 356 were from the Web of Science, 235 were from Scopus, 465 were from Google Scholar, and 76 were from other methods. All bibliographical details were imported into the EndNote 20 reference manager to manage the references and eliminate duplications. The next stage of the method involved selecting relevant articles. Duplicates were removed first, and the authors applied specific criteria (detailed in Table 1 ) to include or exclude studies. The inclusion and exclusion criteria used to select relevant studies for this research are detailed in Table 1 . This table outlines the specific criteria considered for the included and excluded studies.

In the first phase, 735 articles remained for further screening, while others were eliminated from the review at this stage because they did not meet the inclusion criteria. Next, article screening was performed by reading titles and abstracts, and in some cases, the entire text manually relevant to this study and irrelevant articles were removed, resulting in 277 potentially relevant articles. However, not all these articles were eligible for the study. A total of 243 articles were rejected for being ineligible or removed for other reasons, such as the year of publication, and subjected to further evaluation to identify those with specific answers to the research question. A total of 34 articles met the final criteria and were selected based on their relevance and accuracy in answering the research question. Following the PRISMA guidelines, the inclusion and exclusion criteria were applied to select relevant studies. The selection process is visualized in a flowchart in Fig. 1 .

PRISMA flowchart

2.1 Data analysis

This study applied a thematic analysis of the SLR. The retrieved articles ( n = 34) were classified into various critical dimensions for analysis, as shown in Fig. 1 . The main classifications included title, authors, region, and main findings. The analysis involved examining each of the findings to determine how they relate to sustainable rural development. This study aimed to determine whether WDM are correlated with or support sustainable rural development. Each of the findings was carefully examined to determine the relationship between watershed and sustainability.

This research asks, “Does the watershed development and management initiative lead to sustainable rural development?” Considering the research question of this research, the findings indicate that WDM contributes to the socioeconomic and environmental sustainability of the rural community by enhancing households’ livelihoods in terms of income generation, employment opportunities, agricultural productivity, and improvements in social services and infrastructure, as evidenced by numerous studies, thereby improving livelihoods and food security. The research findings emphasize the importance of community participation and policies and legal frameworks governing WDM. Finally, the study synthesized the findings by exploring key themes such as assessing community livelihood status, understanding the interplay between livelihood assets and watershed practices, evaluating the role of watershed development in socioeconomic aspects, measuring household food security, measuring community participation, and analysing relevant policies and legal frameworks on WDM.

3.1 Background of the selected articles

Many studies have focused on watershed management in Ethiopia and India. Of the 34 articles reviewed, 15 explored initiatives in Ethiopia, and 13 explored initiatives in India. The remaining studies covered a wider range of regions, including China, Tanzania, South Africa, Thailand, and Vietnam, often in combination. This suggests a significant emphasis on WDM in the two countries of Ethiopia and India. The reviewed articles span a range of publication dates, with the earliest published in 2002 and the most recent appearing in 2024 (the current year). One was published in 2002, two in 2004, two in 2005, one in 2006, one in 2008, four in 2009, two in 2010, one in 2011, four in 2014, one in 2014, four in 2015, two in 2016, two in 2018, two in 2019, two in 2020, one in 2023, and one in 2024. This distribution suggests the inclusion of both established and more recent research on watershed management.

Following PRISMA guidelines, relevant articles were identified through a systematic review process. This resulted in a table summarizing the selected articles in Appendix . The table includes titles, authors, publication dates, study locations, and key findings of each study. To ensure the validity and applicability of the findings, the study further evaluated the evidence (detailed in Appendix ) based on four criteria: strength, content validity, potential bias, and relevance to watershed development and sustainable rural livelihoods. Subsequently, based on the findings, the researcher constructed a diagram (Fig. 2 ) that explained how well-managed watersheds create a solid foundation for sustainable rural development. WDM initiatives have a direct impact on the sustainable rural development of communities through livelihood assets, thereby affecting household income and employment generation capacity, agricultural productivity, social services and infrastructure, and food security status in terms of food availability, access, food utilization, and stability. Community participation in WDM initiatives has a multifaceted impact on sustainable rural development both within a watershed and outside the watershed community. Policy is one of the master key factors, in addition to other considerations, that shape the outcome of initiatives for the sustainable rural development of a country.

Diagram illustrating how watershed development serves as the cornerstone for achieving sustainable development in rural areas

4 Discussion

This study synthesized the effect of WDM on sustainable rural development by exploring several key themes. Based on the thematic analysis, six themes were developed: assessing community livelihood status (Sect. 4.1 ), understanding the interplay between livelihood assets and watershed practices (Sect. 4.2 ), evaluating the role of watershed development in socioeconomic aspects (Sect. 4.3 ), measuring household food security (Sect. 4.4 ), measuring community participation (Sect. 4.5 ), and analysing relevant policies and legal frameworks on WDM (Sect. 4.6 ).

4.1 Assessing the livelihood status of the community

This section focuses on evaluating the livelihood situation of households within the community. From a theoretical perspective, the sustainable livelihoods framework offers insights into assessing the livelihood status of communities. This framework highlights the importance of various livelihood assets (social, human, natural, physical, and financial capital) in achieving sustainable livelihoods [ 67 , 68 ]. Individuals engaged in watershed management benefitted from improved access to natural resources, enhanced social networks, and increased income diversification, leading to greater livelihood resilience than that of nonpractitioners [ 50 , 69 ].

According to Argaw, Abi [ 50 ], the status of the livelihood assets of the Shankur Tereqo and Mende-Tufesa watersheds (supposed as a control watershed) were comparatively analysed based on the five capital statuses of the livelihood assets. To measure the livelihood status of the households, eighteen variables representing the five livelihood assets of the households were selected. Human capital is measured by the age and education level of the household head, household size, and number of working members [ 70 , 71 , 72 , 73 ]. Financial capital refers to the household’s income sources, including annual agricultural and nonagricultural income, livestock holdings, and access to credit [ 68 , 71 , 73 ]. Natural capital focuses on households’ access to and quality of agricultural land, including total land area, fertility, and the availability of high-quality farmland [ 71 , 72 , 73 ]. Physical capital assesses the quality of housing, household possessions, access to public transportation, and proximity to markets [ 71 , 72 , 73 , 74 ]. Finally, social capital evaluates the community’s level of social interaction and support, including participation in social organizations, social networks, and the presence of nongovernmental organizations (NGOs) or local institutions [ 71 , 72 , 73 , 75 , 76 ].

Argaw, Abi [ 50 ] found no significant overall difference in livelihood status between households in the Mende Tufesa and Shankur Tereqo watersheds. However, there are variations in the different types of capital that contribute to livelihood status. The variations are depicted by the pentagon that states the livelihood status of the practitioners in Fig. 3 and non-practitioners in Fig. 4 .

Livelihood status of the untreated watershed (based on [ 50 ])

Livelihood status of the treated watershed (based on [ 50 ])

The variation in livelihood status in terms of livelihood capital between the households in the study watersheds showed the following:

Financial and physical capital: Households in both watersheds scored low (below 0.33) on these measures, indicating a relatively poor state compared to the Shankur-Tereqo watershed .

Human and natural capital: These aspects showed some variation but still fell within the “average” range (0.33–0.66) for both watersheds.

Social capital: This measure stood out, with both watersheds scoring in the “good” category. This suggests a strong level of social interaction and support within the communities.

Another study by Siraw, Bewket [ 51 ] also revealed the significant contribution of WDM to livelihood benefits in terms of overall livelihood capital indices, with variations in the improvement of different livelihood capitals across different micro-watersheds and considerable improvements in natural and human capital. Studies have investigated the true effect of the initiative by analysing the livelihood status of the community using a sustainable livelihood framework. Focusing on the approach implemented by Argaw, Abi [ 50 ], this study suggested conducting a comparative analysis of the livelihood status of households practising and those not practising watershed management, which revealed a significant difference. As households engaged in watershed initiatives often have diversified livelihood strategies and access to natural resources, nonparticipants face greater vulnerabilities and dependence on external support [ 50 , 77 , 78 ]. Individuals engaged in watershed management often exhibit greater resilience and livelihood diversification than those not involved, as they benefit from improved access to natural resources and sustainable land management practices [ 79 , 80 ].

To enhance the rural livelihoods of households in watersheds, optimizing the WDM is expected. Rural livelihoods in Ethiopia are experiencing widespread challenges, including limited access to education, healthcare, and basic infrastructure. Moreover, vulnerability to natural disasters such as droughts and floods exacerbates the plight of agricultural and livestock-dependent communities [ 51 , 81 ]. Concerted efforts are imperative at the community and governmental levels to address these pressing issues. Interventions entailed enhancing access to education, healthcare, and potable water alongside strategic investments in infrastructure such as roads and electricity [ 51 , 82 ]. Promoting sustainable agricultural practices and extending financial and technical support to smallholder farmers are pivotal steps toward resilience-building [ 83 ]. Crucially, community engagement may need to underpin the planning and execution of these initiatives to ensure their effectiveness and long-term sustainability.

4.2 The interconnection between livelihood assets and watershed practices

This section investigates how a community’s resources (livelihood assets) influence and is influenced by their WDMPs. The interconnection between livelihood assets and watershed management practices is a multifaceted relationship that plays a pivotal role in the sustainable development of communities. Livelihood assets within a sustainable livelihood framework encompass various tangible and intangible resources that individuals and communities utilize to support their livelihoods, including natural, human, social, physical, and financial assets [ 67 , 68 , 84 ]. Access to these assets plays a crucial role in influencing engagement in watershed development practices to enhance community resilience, promote sustainable resource management, and facilitate participation in watershed initiatives [ 50 , 85 , 86 , 87 ].

The relationships between livelihood assets and WDMPs are bidirectional and dynamic. On the one hand, the availability and quality of livelihood assets significantly impact the effectiveness of watershed management interventions [ 88 ]. For instance, communities blessed with abundant natural resources and social capital—such as fertile soil and water—tend to be better prepared to implement sustainable land management practices and adapt to the effects of climate change, and their efforts have resulted in greater success and long-term sustainability [ 89 , 90 ]. On the other hand, WDMPs can directly influence livelihood assets [ 50 , 78 ]. When watershed management is effective, natural capital can be enhanced by improving soil fertility, water availability, and biodiversity. These improvements, in turn, support agricultural productivity and provide essential ecosystem services for livelihoods [ 91 ]. Additionally, community-based watershed management approaches empower local communities by creating income generation, capacity building, and collective decision-making opportunities. This empowerment strengthens these communities’ human and social capital [ 88 ]. Comparisons between Ethiopia, Nepal, and Indonesia highlight the diverse interplay of social, human, natural, physical, and financial capital in shaping community engagement and resilience [ 92 , 93 , 94 ].

Argaw, Abi [ 50 ] examined the relationships between livelihood assets and watershed development and management practices (WDMPs) using structural equation modelling (SEM). The analysis revealed that the WDMP generally had statistically significant and positive relationships with all livelihood assets. As depicted in Fig. 5 , the WDMP had the highest correlation or significant positive relationship with natural capital (NC), with a path coefficient of 0.553, compared to livelihood assets. In contrast, it had the lowest correlation with social capital (SC), with a path coefficient of 0.232, yet a statistically significant positive relationship existed. Other human capital (HC), physical capital (PC), and financial capital (FC) had statistically significant and positive relationships with the WDMP according to standard estimation or path coefficients of 0.43, 0.378, and 0.336, respectively [ 50 ].

The diagram represents the interconnectedness between livelihood assets and the practices they use to manage their watershed (based on [ 50 ])

Ethiopia has the potential to enhance rural livelihood assets in several ways through WDMPs. First, these practices can improve the availability and accessibility of water resources, which are critical for supporting agriculture and livestock production. This can increase the productivity and income of farmers and herders, thereby enhancing their livelihood assets. Second, watershed management practices can help conserve soil and water resources, prevent soil erosion and improve soil fertility. This can lead to better crop yields and improved food security, which can also enhance livelihood assets. Third, watershed development practices can promote the use of renewable energy sources, such as solar and wind power, which can provide alternative energy sources for rural communities. This can reduce their dependence on nonrenewable energy sources and enhance their economic and social assets. Overall, adopting WDMPs can significantly positively impact rural livelihood assets in Ethiopia and promote sustainable development in the region.

Studies suggest that WDMPs may hold promise for improving the lives of people in developing countries such as Ethiopia. These practices could enhance rural livelihoods in several ways.

Improved agriculture and livestock production: By enhancing the availability and accessibility of water, watershed management practices could support agriculture and livestock production [ 95 , 96 ]. This might lead to increased productivity and income for farmers and herders, ultimately contributing to their overall well-being.

Soil conservation and fertility: WDMPs have the potential to conserve soil and water resources, prevent erosion, and improve soil fertility [ 82 , 97 ]. This could result in better crop yields and improved food security, further benefiting rural livelihoods.

Source of energy: These practices might also encourage the use of renewable energy sources such as solar energy, providing alternative energy options for rural communities [ 50 , 97 ]. This could lead to a reduction in the dependence on non-renewable sources, potentially boosting economic and social well-being.

In conclusion, adopting WDMPs appears to be a promising approach to positively impact rural livelihoods in Ethiopia and contribute to the region’s sustainable development.

4.3 Role of watershed development in socioeconomic aspects

This section explores how developing and managing watersheds contribute to positive social and economic outcomes for the community. Economic development theories, such as human capital and agricultural development theories, offer insights into how watershed development contributes to socioeconomic aspects [ 98 , 99 ]. Human capital and agricultural development are intertwined concepts; human capital development theories highlight the crucial role of investing in farmers’ knowledge, skills, health, and empowerment to achieve sustainable agricultural development. This approach goes beyond physical capital (machinery, equipment) and recognizes the human factor as a key driver of progress [ 100 ]. Watershed development initiatives can lead to increased income generation, employment opportunities, and agricultural productivity through improved access to water resources, soil conservation measures, and sustainable land management practices [ 101 , 102 , 103 , 104 ].

Watershed development initiatives significantly contribute to the socioeconomic development of developing countries across several key areas, including income generation, employment opportunities, agricultural productivity, and improvements in social services and infrastructure, as evidenced by numerous studies, thereby improving livelihoods and reducing poverty [ 36 , 83 , 96 , 105 ].

Research shows that watershed development projects increase local communities’ income generation opportunities [ 105 , 106 ]. For instance, watershed management activities such as soil conservation and water harvesting have enhanced land productivity, enabling farmers to cultivate higher-value crops and generate additional income. Additionally, the implementation of sustainable agricultural practices, such as agro forestry and integrated crop-livestock systems, has been found to improve crop yields and diversify income sources [ 50 , 107 , 108 , 109 ]. It creates employment opportunities by involving local communities in activities such as afforestation and infrastructure building; these initiatives significantly contribute to poverty reduction and foster social inclusion [ 50 , 107 , 110 ].

Watershed development interventions improve agricultural productivity by enhancing soil fertility, water availability, and land management practices. For instance, implementing soil and water conservation practices prevents soil erosion and enhances soil moisture retention [ 97 ]. This, in turn, results in higher crop yields and greater agricultural resilience to climate fluctuations [ 83 ]. Additionally, the adoption of WDM initiatives has been proven to enhance agricultural productivity and food security [ 111 , 112 , 113 ].

Several studies, such as Kerr [ 114 ], Hope [ 115 ], Hassan, Alam [ 116 ], Ibrahim, Hassan [ 117 ], Surya, Syafri [ 118 ], Herrera, Ellis [ 119 ], Norton, Seddon [ 120 ], Adeniran, Daniell [ 121 ], suggest that watershed development projects can have a positive influence on social services and infrastructure in rural areas. Investments in water supply systems, irrigation infrastructure, and rural roads may lead to improved access to essential services and markets, potentially enhancing the quality of life of local communities. Furthermore, activities focused on strengthening social services such as healthcare, education, and sanitation have been shown to potentially contribute to overall human development and well-being.

Although WDM initiatives hold promise for building resilient and prosperous communities in the long term, the extent and nature of these impacts vary across countries. While these initiatives have the potential to generate income, create employment opportunities, enhance agricultural productivity, and improve social services and infrastructure, the specific results depend on various factors, such as contextual nuances in policy formulation [ 122 , 123 ], institutional capacity [ 2 ], governance frameworks [ 124 ], implementation strategies, and socioeconomic contexts [ 27 , 122 , 124 ].

Argaw, Abi [ 50 ] examined the impacts of the WDMP on livelihood outcomes in terms of income generation, employment opportunities, agricultural productivity, improvement in social services, and infrastructure through SEM. The study suggested that the WDM program may be a promising tool for households in the study area. The program appears to have the potential to contribute to increased income and job creation by supporting various aspects of their well-being, known as livelihood assets. These assets include skills and knowledge (human capital), access to financial resources (financial capital), infrastructure and tools (physical capital), and environmental resources (natural capital). The study also revealed a potential increase in agricultural productivity as a result of the WDMPs. This could be linked to improved practices in land and water conservation, leading to greater use of double cropping, a shift towards more intensive cropping systems, and ultimately, greater crop production. Finally, the study suggested a positive association between the program and improved access to social services and infrastructure for participating households. This could be due to the overall enhancement of their livelihood assets, particularly in terms of natural resources and social networks. Figure 6 shows the SEM path coefficients for WDMPs and their standardized direct effects on the five livelihood assets and the indirect effects of income and employment generation, agricultural productivity, and social services and infrastructure.

The diagram depicts the influence of watershed development and management practices on a community’s socioeconomic aspects, mediated by livelihood assets (based on [ 50 ])

According to the findings from studies, WDM initiatives play an important role in developing countries, specifically in Ethiopia; they have helped improve the livelihoods of the rural population by providing them with access to generate employment opportunities and helping increase and diversify the income sources of the household as well as improving the well-being of people [ 50 , 82 , 83 ]. They improved the agricultural productivity of households in rural areas [ 95 , 96 , 97 , 125 ]. This might lead to increased productivity and income for farmers and herders, ultimately contributing to their overall well-being. The government of Ethiopia has been actively promoting WDM programs and has invested heavily in building infrastructure to support these programs [ 64 , 65 , 83 ]. As a result, there has been a noticeable improvement in the socioeconomic conditions of people living in rural areas of Ethiopia [ 126 ]. Thus, investing in WDM can significantly impact the overall socioeconomic development of communities and regions.

4.4 Assessing the household food security status of the community

This section compares the food security situation of households between WDM practitioners and non-practitioners. The food systems approach highlights the interconnectedness of all parts of the system and the need for a holistic approach to achieving food security [ 49 , 127 , 128 ]. WDM contributes to a more resilient food system. It helps conserve soil fertility and water resources, which are crucial for sustainable food production. Additionally, by improving water quality and reducing erosion, it protects downstream agricultural areas. This holistic approach strengthens the entire food system, contributes to food security, and offers a valuable lens for analysing the role of WDM in achieving food security and evaluating the food security status of households within WDM initiatives.

In developing countries, household food security status can vary significantly between communities in treated watersheds and those in untreated watersheds due to several interconnected factors. Participants in WDM programs usually have a more favourable food security status than nonparticipants. Interventions such as soil conservation, water harvesting, and agro forestry within watersheds help support sustainable farming practices. They lead to improved agricultural productivity, increased crop yields, a variety of food sources, and greater resilience to climate fluctuations [ 34 , 129 , 130 , 131 , 132 , 133 , 134 ].

Households practicing WDM experience better food security, and these interconnected benefits underscore the importance of investing in sustainable WDM to enhance food security in vulnerable communities. For instance, interventions such as soil conservation, afforestation, and water harvesting are crucial for enhancing water availability and maintaining water quality within watersheds. As a result, they enable more dependable irrigation practices, especially during dry periods. This, in turn, leads to increased agricultural productivity and ensures a diverse food supply for households. Furthermore, contour ploughing, terracing, and agro forestry help prevent soil erosion, conserve soil moisture, and enhance soil fertility. Healthy soils support better crop yields, thus increasing food production and contributing to household food security [ 27 , 47 , 135 , 136 , 137 ].

A study by Naji, Abi Teka [ 138 ] measured the impacts of the WDMP on household food security status using the household food insecurity access scale (HFIAS) and household dietary diversity score (HDDS). This study disaggregated the results among WDM practitioners and non-practitioners; the HFIAS results are presented in Fig. 7 , and the HDDS results are shown in Fig. 8 .

HFIAS survey results (based on [ 138 ])

HDDS survey results (based on Naji, Abi Teka [ 138 ])

The HFIAS and HDDS results painted a concerning picture of food insecurity in the study area. The HFIAS survey results (Fig. 6 ) revealed that a significant portion of households (over 70%) worried that food would run out and ate only a few kinds of food. A substantial number of households (over 35%) experienced an actual food shortage, and some households (over 15%) had gone to sleep hungry more than once. Among the communities, 84.94% were food insecure at various levels (mild, moderate, or severe), of which 54.33% were found in the Mende-Tufesa watershed area. The study calculates the household food insecurity access incidence (HFIAP) to assess overall food insecurity. The results were concerning: only 15.1% of respondents were classified as food secure. In contrast, the number of severely food insecure households was three times greater. These households were forced to cut back on meal sizes or the number of meals they ate frequently. Additionally, some even experienced harsher food insecurity conditions, such as going a whole day without eating [ 138 ].

This study further implemented the HDDS food security measurement tool to assess dietary quality. Figure 7 shows that a significant portion (31.7%) of households had low dietary diversity. This means that their diets lacked variety and essential nutrients. However, there were also positive findings: 42.3% of households had medium dietary diversity, and 26% even achieved high dietary diversity. Overall, the average HDDS score was 4.83, indicating a medium level of dietary diversity for the study area. This suggests that households typically consume approximately five different food groups on average. The study clearly showed that the household food security status of rural households differed between Shankur-Tereqo and Mende-Tufesa . These findings support those of previous studies showing that household practices related to watershed initiatives were more conducive to food security for households than for non-practices households in the study area [ 138 ].

An assessment of household food security within watershed communities revealed a multifaceted interplay of factors. These factors are influenced by the agro-ecological conditions (such as climate, soil fertility, and water availability), institutional contexts (including land tenure policies, market access, and government support programs), and socioeconomic dynamics (such as income levels, education, and social safety nets) of the community. Comparative analyses between Ethiopia, India, and Malawi can shed light on the diverse determinants that shape food security outcomes across different contexts. This highlights the need for interventions that are tailored to the specific circumstances of each community [ 139 , 140 , 141 ].

According to the findings from the studies, watershed development initiatives play an important role in developing countries, specifically in Ethiopia; they have helped improve the household food security of the rural population. WDM interventions within watersheds help support sustainable farming practices and lead to improved agricultural productivity, increased crop yields, a variety of food sources, and greater resilience to climate fluctuations [ 47 , 83 , 112 , 125 , 126 , 130 , 138 , 142 ]. Investing in watershed development initiatives holds promise for enhancing household food security across communities and regions. This is likely achieved through improved WDM and potentially increased agricultural productivity.

4.5 Assessing the community participation level

This section focuses on assessing the role of community participation in watershed intervention for sustainable rural development. From a theoretical standpoint, social capital theory offers insights into the level of community participation in watershed development endeavors. Robust social connections, trust, and collaboration among community members enable effective engagement in decision-making, execution of watershed initiatives, and durability of interventions over time [ 143 , 144 ].

Community participation refers to the involvement of residents, including community leaders, farmers, women, youth, and other stakeholders, in watershed management project planning, implementation, and decision-making processes. Community participation is essential for the success of watershed development initiatives because it fosters ownership, enhances local knowledge and capacity, promotes social cohesion, and ensures the sustainability of interventions [ 145 , 146 , 147 , 148 ]. Community participation in watershed development in developing countries is facilitated through various mechanisms and approaches aimed at engaging local communities in decision-making processes, project planning, implementation, and monitoring [ 146 , 149 , 150 ].

The study conducted by Naji, Abi Teka [ 148 ] measured the extent to which people participated in the WDMP across the planning, implementation, monitoring and evaluation phases and applied a People’s Participation Index (PPI). The findings portrayed in the chart (Fig. 9 ) indicated that non-practitioners exhibited moderate participation, while WDM practitioners were highly engaged. Overall, the PPIs were categorized as moderate, reflecting the diverse roles and responsibilities assumed by households during watershed implementation and contributing to their significant stakes in multiple activities within the study area. Figure 9 presents a chart comparing the level of community participation between WDM practitioners and non-practitioners.

Community participation level in watershed management (based on [ 148 ])

Community participation has emerged as a linchpin for the success of watershed initiatives, yet its dynamics vary widely across countries. Factors affecting the successful participation of the community in the implementation of watershed projects exhibit considerable heterogeneity, necessitating context-specific approaches. In the context of developing countries, community participation can be shaped by several factors [ 63 ]. These include local leadership and governance, community skills and technical capacity, perceived benefits and risks, cultural and social norms, access to resources and infrastructure, stakeholder engagement, communication and awareness, policy and institutional frameworks, and environmental degradation and climate change, all of which impact the success and sustainability of watershed development initiatives [ 151 , 152 , 153 , 154 , 155 , 156 , 157 , 158 , 159 , 160 , 161 , 162 , 163 , 164 ].

At the household level, various factors influence participation in WDM initiatives in developing countries. These factors include the socioeconomic status of the household head, educational level, land size, family size, perceived benefits and costs, institutional support, and extension services [ 145 , 165 , 166 , 167 , 168 , 169 , 170 ]. Drawing on insights from various studies, it appears that several factors can play a significant role in the success and long-term sustainability of WDM initiatives. To encourage active participation from local communities, agricultural authorities at the local and regional levels can play a key role. This could involve providing training opportunities, fostering a sense of ownership among participants, and highlighting the long-term benefits for the community.

4.6 Policies and legal frameworks related to watershed development and management

The policies, strategies, programs, and legislative frameworks for watershed development and management (WDM) in developing countries vary significantly depending on the country’s specific context, political structure, environmental challenges, and socioeconomic conditions. However, many developing nations can observe some common themes and approaches. Theoretically, this study incorporates political ecology theory, which examines the political-economic factors that shape environmental governance, resource distribution, and access to decision-making processes [ 171 ]. It emphasizes the inherent “politicalness” of the environment, arguing that environmental degradation cannot be solely understood through scientific and technical lenses [ 172 ]. Political ecology offers a valuable lens for analysing WDM policies, programmes, and strategies. Ensuring alignment with local needs and environmental realities enhances the impact of WDM initiatives [ 173 , 174 , 175 ].

Strengthening the legal frameworks for WDM is crucial. It helps regulate land use, protect water resources, uphold community rights, and promote sustainable practices, ultimately enhancing watershed governance and resilience. Continuously assessing existing policies, programs, and strategies is essential for identifying strengths, weaknesses, and areas for improvement, leading to more effective interventions and better outcomes. Identifying gaps in current WDMPs and recommending policy options are vital for enhancing the effectiveness, sustainability, and long-term resilience of watershed management in developing countries [ 27 , 43 , 44 , 93 , 116 , 137 , 176 ].

Legal frameworks for WDM vary significantly across countries, reflecting differences in legal traditions, governance structures, and environmental policies. Comparative analyses among developing countries have shed light on diverse regulatory approaches and their implications for watershed governance [ 27 , 177 , 178 , 179 , 180 ]. To effectively assess policies, programs, and strategies, as well as to identify gaps and recommend policy options, nuanced contextualization within each country’s socioeconomic and environmental context is essential. Furthermore, comparative studies have provided insights into the effectiveness of different approaches and underscore the importance of adaptive management and context-specific policy prescriptions tailored to local realities [ 39 , 175 , 180 , 181 , 182 ].

WDM plays a crucial role in sustainable development, especially in developing countries such as Ethiopia, where water scarcity and soil erosion are pressing concerns. Despite substantial efforts to enhance WDMPs, more policy execution is still needed in the country. While the government has crafted well-formulated policies, programs, and strategies, the true hurdle lies in their implementation. Legal provisions for watershed management, such as the Water Resources Management Policy and the Proclamation on Watershed Management, face significant challenges during execution. Bridging the gap between policy design and practical implementation is essential. Ensuring that formulated policies and strategies are translated into action is vital for achieving desired goals and positively impacting the environment and people.

One significant gap in WDM in the study area was the need for coordination among various government agencies involved in the process, and the absence of effective enforcement mechanisms and penalties weakens the impact of existing legal frameworks in WDM. This results in fragmented and inefficient programs. Establishing a national coordinating body with clear mandates and responsibilities for coordinating WDM across different sectors and at different government levels is crucial to addressing this issue. Another gap lies in the need for more participation of local communities in decision-making processes related to watershed management. Encouraging participatory approaches, such as community-based natural resource management, can empower communities to take ownership and responsibility for their watersheds.

Developing countries, including Ethiopia, have established appealing policies, strategies, programs, approaches, and legal frameworks for and related to WDM. However, practical execution of these methods remains challenging. Countries must address coordination and enforcement issues to ensure effective implementation and sustainable watershed management. Bridging the gap between policy formulation and execution is crucial, with active community involvement playing a key role. Investing in research and capacity building will also enhance evidence-based decision-making and policy effectiveness. Collaborative efforts among the government, academia, and civil society can drive positive changes in the country’s natural resource management and contribute to sustainable development and poverty reduction.

5 Conclusion

WDMPs have been shown to significantly enhance sustainable rural development, particularly in terms of livelihood and food security in developing countries. Wani and Ramakrishna [ 183 ] and Wani, Dixin [ 184 ] both highlighted the potential of these practices for improving rainwater use efficiency, reducing soil erosion, and increasing agricultural productivity and rural incomes. This approach, as discussed by [ 132 ] and [ 34 ], highlights the potential of community watershed programs for improving livelihoods and resilience, particularly in the face of climate change impacts. These programs have been successful in increasing agricultural productivity, doubling family incomes, and reducing runoff and soil loss.

Yoganand and Gebremedhin [ 185 ] and Naji, Abi Teka [ 148 ] further emphasized the role of participatory WDM in achieving sustainable rural livelihoods. Finally, Habtu [ 186 ] and Poonia and Singh [ 63 ] identify challenges such as poor institutional support and lack of participation in the promotion of watershed-based interventions and suggest key conditions for their revitalization, including institutional support, community participation, and capacity building. These studies collectively underscore the potential of WDMPs for promoting sustainable rural development while also highlighting the need for supportive policies and institutional environments.

Effective WDM are crucial for sustainable rural development, especially in developing countries such as Ethiopia, where various ecosystems and weather conditions pose significant challenges. It is essential for environmental conservation and directly contributes to achieving multiple SDGs. Recognizing the interconnectedness of natural systems and human well-being can create a more sustainable and resilient future. Advancing WDM in developing countries requires a holistic approach that integrates socioeconomic aspects, community participation, policy and institutional dimensions. By addressing the key elements outlined in this article and implementing the recommended policy options, countries could achieve more sustainable and resilient watershed management outcomes, contributing to the well-being of their people and the preservation of their natural resources. The findings highlight the critical role of watershed management in promoting sustainable development goals and provide valuable insights for policymakers, practitioners, and researchers in developing countries.

6 Recommendations

Based on the findings, the following recommendations are made to enhance the effectiveness of WDM in developing countries:

Promote participatory approaches: The government should prioritize participatory approaches to WDM involving community members in decision-making. WDM thrives on community involvement. Local residents hold valuable knowledge of the land and its resources, fostering more effective solutions. When communities participate in decision-making, they become invested in the project’s success, ensuring its long-term viability. Participatory approaches consider the diverse needs of various stakeholders within a watershed, leading to fairer solutions. By empowering communities to manage their resources, these projects promote sustainability and local ownership. Despite these challenges, this research overwhelmingly supports participatory approaches for effective WDM.

Promote integrated approaches: The government should promote integrated WDM approaches that recognize the interconnectedness of environmental, social, and economic factors. Integrated watershed management (IWM) is a highly regarded approach in academic discussions. It acknowledges that environmental, social, and economic factors within a watershed are intricately linked. Land use impacts water quality, economic activities affect social justice, and environmental health influences livelihoods. The IWM avoids treating these factors in isolation. This holistic approach fosters sustainable solutions that consider all aspects of the watershed, balancing environmental protection with economic development and social well-being. Furthermore, IWM allows flexible solutions that can adapt to changing circumstances, making it a valuable tool for effective WDM according to the findings of this study.

Invest in capacity building: The government and development partners should invest in capacity-building programs to enhance the skills and knowledge of stakeholders involved in WDM. Capacity building is a cornerstone concept in academic discussions on WDM. Equipping stakeholders with the necessary skills and knowledge is crucial. Training programs on various WDMPs, monitoring techniques on watershed resources, and project management empower participants to be more effective. This translates to improved decision-making as stakeholders gain the ability to analyse complex issues and data. Furthermore, capacity building fosters long-term sustainability by equipping stakeholders with the skills to manage and maintain watershed projects. This study highlights that investing in human resources strengthens not only individual capabilities but also the overall capacity for effective and sustainable WDM.

Improving monitoring and evaluation: The government should establish a robust monitoring and evaluation system to track the effectiveness of WDM interventions and inform policy decisions. Robust monitoring and evaluation systems are championed for WDM. They provide the data needed for evidence-based decision-making. By tracking the effectiveness of interventions, policymakers can see what works and adapt future strategies accordingly. Monitoring and evaluation also allows for early identification of challenges, enabling course correction before problems become entrenched. Furthermore, it fosters accountability by tracking progress towards goals and ensuring that resources are used effectively. Monitoring environmental indicators allows for the assessment of long-term sustainability, a crucial aspect of successful WDM. This study confirms the importance of well-designed monitoring and evaluation systems. These systems ensure that interventions achieve their goals and pave the way for ongoing improvements in WDM strategies.

Strengthening legal frameworks: The government should review existing legal frameworks and develop new ones that promote sustainable WDMPs. Robust legal frameworks establish clear guidelines for water use, pollution control, and land management practices, reducing uncertainty and promoting responsible behaviour. Enforcement mechanisms such as permits and penalties deter unsustainable practices and ensure compliance with regulations. Furthermore, clear legal frameworks regarding water rights and responsibilities encourage practices that conserve and protect watersheds, promoting long-term sustainability. By ensuring equitable water distribution and preventing conflicts between stakeholders, a well-crafted legal framework fosters fairness within the watershed. This research highlights the importance of reviewing existing laws and developing new ones to create a strong legal foundation for sustainable WDM.

In general, by implementing these recommendations, developing countries such as Ethiopia could enhance the effectiveness of watershed management interventions and promote sustainable development in rural areas.

Data availability

The authors declare that the data will be made available upon request.

Code availability

Not applicable.

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Appendix 1: Selected articles

Literatures’ title, authors, and date	Region	Main findings
Sustainable management of rainwater through integrated watershed approach for improved rural livelihoods S. Wani, Y. Ramakrishna 2005	India	Rain-filled areas struggle with water shortages, poor soil, and inefficient water use. ICRISAT’s watershed approach tackles these issues using sustainable methods to boost farm yields and improve lives in rural areas. Their model focuses on water scarcity, poverty, and water use efficiency to create a more productive and secure food supply for these regions
Development, integration and dissemination of resource conservation options through community watershed approach S. Wani, T. Sreedevi, P. Joshi, B. Venkateswarlu 2009	India	Watershed approach can be applied in all rainfed areas with suitable modifications to upgrade economically beneficial agriculture. Adopting a community watershed management approach can unlock the potential of rainfed agriculture through various strategies like linking farmers to markets and enhancing community participation. Capacity building is crucial for scaling up watershed programs, and a national strategy with quality service providers is recommended
Watershed management and development—a review T. C. Poonia, G. D. Singh 2004	India	Key findings include the importance of local participation in watershed management, the need for cost-effective and sustainable technologies through client involvement, and the transition towards community-driven strategies
Watershed management for sustainable water supply and food security S. Limaye 2019	India	Well-maintained and well-forested watersheds are essential for providing a resilient interface between climate and water resources, and field-level actions should start in the watershed of a first-order stream with community involvement
The impact of watershed development and management practices on rural livelihoods: a structural equation modelling approach T. Argaw, M. Abi and E. Abate 2023	Ethiopia	Putting watershed management plans into action led to several positive outcomes. These included a boost in farm yields and incomes for the community, creation of new jobs, and upgrades to social services and infrastructure
Participatory watershed management for sustainable rural livelihoods in India B. Yoganand, T. Gebremedhin 2006	India	The main findings include the shift in international development goals towards poverty reduction and environmental protection, the challenges posed by natural resource degradation and population pressure in developing countries leading to food insecurity and environmental degradation, and the proposal of a participatory watershed management approach as an effective solution
A watershed approach to upgrade rainfed agriculture in water scarce regions through Water System Innovations: an integrated research initiative on water for food and rural livelihoods in balance with ecosystem functions J. Rockström, C. Folke, L. Gordon, N. Hatibu, G. Jewitt, F. P. De Vries, et al. 2004	Tanzania, South Africa	The research program "Smallholder System Innovations in Integrated Watershed Management" (SSI) aims to address the challenges of increasing food production, improving rural livelihoods, and safeguarding critical ecological functions through an integrated approach to agricultural water management. The program focuses on analysing the interactions between the adoption of water system innovations, increased water use in agriculture, and water flows to sustain ecological functions in order to deliver critical ecosystem services to humans
Efficient management of water resources for improving the livelihoods through integrated watershed management approach Z. Li, Y. Dixin, Z. Yingcui, Z. Hongye, Y. Guangyuan, T. Rego, et al. 2005	China	The study emphasizes the importance of watershed management in addressing soil erosion, water scarcity, and land degradation in Southwest China, as part of the West Development Strategy
Improving livelihoods and resilience through community watersheds W. Dar, S. Wani 2012	India	Watershed programmes with active rural participation can ensure food security, contribute to economic growth, and help conserve natural resources in dryland tropics. The ICRISAT programme in India exemplifies a science-led, knowledge-based approach in this field
Improving livelihoods through watershed interventions: a case study of SABMiller India project R. N. Rajesh Nune, C. S. Rao, R. Sudi, S. Wani, K. Garg and D. Rao 2018	India	The main finding is the importance of water in addressing water scarcity, land degradation, and improving crop and livestock productivity in the semiarid tropical region
Community watersheds for food security and coping with impacts of climate change in rain-fed areas S. Wani, T. Wangkahart, D. Y. Dixin Yin, L. Z. Li Zhong and N. Thang 2010	India, China, Thailand, Vietnam	The community watershed approach has resulted in increasing agricultural productivity by 2 to 3 folds, doubling the family incomes, and reducing runoff up to 66% and soil loss by 2/3 rd
Restoring lands and livelihoods in rain fed areas through community watershed management S. Wani and K. Garg 2015	India, China, Thailand	The main findings include the challenge of ensuring food security and reducing poverty for a growing global population, the necessity of increased food production from limited resources, and the acute water scarcity in developing countries
Watershed development as a growth engine for sustainable development of rainfed areas S. P. Wani and J. Rockstroma 2011	Africa, South Asia	The urgent challenge of achieving food security while balancing development and sustainability is highlighted. Agriculture will remain crucial for economies in Africa and South Asia despite changing factors like growing incomes and urbanization
Enhancing agricultural productivity and rural incomes through sustainable use of natural resources in the semi arid tropics S. P. Wani, Y. Dixin, Z. Li, W. D. Dar and G. Chander 2012	Thailand, India	Enhanced productive transpiration improved rainwater use efficiency, watershed interventions increased net returns from crop production, and household incomes substantially increased
A new paradigm in watershed management: a must for development of rainfed areas for inclusive growth S. P. Wani, P. Joshi, Y. Ramakrishna, T. Sreedevi, P. Singh and P. Pathak 2008	India	Watershed management can significantly increase agricultural productivity and rural family income, requiring new approaches, policies, and investments to achieve sustainable development goals and establish India as a leader in the field
Watershed management programs for increasing land productivity and appropriate withdrawal strategies for long term sustainability in rain fed lands of India G. Sastry, O. Prakash, Y. Reddy and H. Singh 2002	India	Watershed management increases and sustains land productivity without damaging natural resources, emphasizing decentralization, flexibility, and community involvement for sustainability. Sustaining watershed management post withdrawal is crucial for optimal land productivity
Community based watershed development from sustainable livelihood perspective: a case analysis in north Gondar zone S. Mulugeta and P. Krishnaiah 2015	Ethiopia	Community-based watershed development has led to improvements in natural resources in the area
Watershed-based development for rural prosperity—evidence from Kerala K. J. Thomas, K. S. Babu and E. Thomas 2009	Kerala, India	The watershed development program in the Elanad watershed in Kerala resulted in increased adoption of soil conservation and water-harvesting techniques, leading to improved water resources, groundwater recharge, and higher crop productivity and farm income
Sustainable groundwater development through integrated watershed management for food security S. P. Wani, R. Sudi and P. Pathak 2009	India	Integrated watershed development is crucial for sustainable development in dry land areas, managing rainwater effectively improves groundwater availability, and increased water availability positively impacts women’s welfare and the environment
Integrated watershed management for natural resource conservation and livelihood security in semiarid tropics of India D. Palsaniya, R. Singh, R. Tewari, R. Yadav and S. Dhyani 2012	India	The integrated watershed management interventions led to improvements in water storage, reduced soil loss, increased crop productivity and fodder availability, and decreased migration rates due to enhanced employment opportunities
Community watersheds for sustainable development and improved livelihoods in dryland areas of Asia S. Wani, T. Sreedevi, T. Wangkahart and Y. Dixin 2009	India, Asia	The importance of the watershed approach in India is emphasized by substantial investments, while the assessment revealed the necessity for community watersheds to address multiple aspects for sustainable development
The impact of watershed on household food security: a comparative analysis T. A. Naji, M. Abi Teka and E. A. Alemu 2024	Ethiopia	WDMPs can significantly improve household food security compared to households not engaged in these practices. This finding highlights the potential of WDM as a strategy to address food insecurity challenges
An assessment of integrated watershed management in Ethiopia G. Gebregziabher, D. Abera, G. Gebresamuel, M. Giordano and S. Langan 2016	Ethiopia	Integrated watershed management in Ethiopia increases farmers’ food security and incomes by approximately 50% on average. The impact of watershed management can vary significantly between different programs. Recommendations include tailoring interventions to the local context, combining conservation and livelihood activities, and providing additional support to watershed committees
The implication of integrated watershed management for rehabilitation of degraded lands: case study of Ethiopian highlands B. Alemu and D. Kidane 2014	Ethiopia	– Participatory watershed management is crucial for increasing agricultural production, conserving natural resources, and reducing poverty in the Ethiopian highlands – Integration of biological and mechanical soil and water conservation measures has multiple benefits such as enhancing soil fertility, increasing crop yield, providing forage for animals, and serving as a source of fuel wood and construction materials – Challenges in watershed management in Ethiopia include insufficient capacity at different administrative levels, emphasizing the importance of implementing sustainable approaches to address intervention needs
Assessment of livelihood benefits of community-based watershed development in northwestern highlands of Ethiopia Z. Siraw, W. Bewket and M. Adnew Degefu 2018	Ethiopia	CBWD has shown significant livelihood benefits in terms of overall livelihood capital indices, with variations in the improvement of different livelihood capitals across different micro watersheds
Watershed management in highlands of Ethiopia: a review T. Worku and S. K. Tripathi 2015	Ethiopia	The soil and water conservation program initiated in 1970 in the Ethiopian highlands had limited success due to various reasons, leading to the implementation of a community-based integrated watershed management program by the present government to address these shortcomings
The implications of watershed management for reversing land degradation in Ethiopia T. Gashaw 2015	Ethiopia	Watershed management in Ethiopia has led to reduced soil erosion, increased vegetation cover, and improved crop production and productivity
Effects of integrated watershed management on livestock water productivity in water scarce areas in Ethiopia K. Descheemaeker, E. Mapedza, T. Amede and W. Ayalneh 2010	Ethiopia	– Protecting 40% of rangelands increased water productivity of feed by approximately 20% – Water harvesting structures provided year-round water availability, reducing energy used for walking to drinking points – Both interventions improved the efficient use of scarce water resources for biomass and livestock production
Can integrated watershed management reduce soil erosion and improve livelihoods? A study from northern Ethiopia K. Teka, M. Haftu, M. Ostwald and C. Cederberg 2020	Ethiopia	Integrated watershed management resulted in a 50% reduction in soil loss, increased crop productivity, water availability, fodder availability, and household income, with a higher percentage of households able to cover their annual expenditure demands
Level of communities’ participation in the watershed development and management practices in the Central Highlands of Ethiopia T. A. Naji, M. Abi Teka and E. A. Alemu 2023	Ethiopia	The study indicates a moderate level of community participation (approximately 65%) in WDMPs within the central highlands of Ethiopia. This suggests there’s room for improvement in engaging communities more fully in these initiatives
Managing watersheds for resilient livelihoods in Ethiopia N. Chisholm and T. Woldehanna 2012	Ethiopia	The integrated watershed management project in Ethiopia led to the regeneration and enhancement of natural resources, improved incomes, food security, and social benefits. The project improved people’s resilience to climate change and contributed to carbon sequestration. The successful approach of the project has been scaled up to the national level, influencing important national policies like the Productive Safety Net Programme and Ethiopia’s Green Economy Strategy
Review on the role of integrated watershed management for rehabilitation degraded land in Ethiopia W. A. Abebaw 2019	Ethiopia	Integrated watershed management is crucial for managing natural resources, positive outcomes were observed in the Tigray region, and lack of capacity at government levels is a significant challenge
Towards sustaining watershed management practices in Ethiopia: a synthesis of local perception, community participation, adoption and livelihoods F. Mengistu and E. Assefa 2020	Ethiopia	Local communities are aware of watershed degradation, ecological benefits are perceived better in upper areas, and challenges in adoption and community participation exist
Assessing the costs and benefits of improved land management practices in three watershed areas in Ethiopia A. Tesfaye, R. Brouwer, P. van der Zaag and W. Negatu 2016	Ethiopia	The study found that implementing soil conservation measures significantly increases productivity and food security in rural Ethiopia, with the benefits outweighing the costs

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Naji, T.A., Teka, M.A. & Alemu, E.A. Enhancing watershed management in developing countries: insights from Ethiopia. Discov Sustain 5 , 131 (2024). https://doi.org/10.1007/s43621-024-00334-y

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