1
Plu al alua ion o na u e o equi y and sus ainabili y: Insigh s om he
Global Sou h
Noelia Za a-Cal o a, Pa icia Bal ane a b,w, Unai Pascual a,c,d,*, Juliana Me çon e,
Be a Ma ín-López , Meine an Noo dwijk g,h, Tuyeni Hei a Mwampamba b,
Sha achchand a Lele i, Chinwe I ejika Spe anza j, Paola A ias-A é alo k, Diego Cab ol l,u,
Daniel M. Cáce es l, Pa ick O'Fa ell m,n, Sunee ha Mazhenche y Sub amanian o,p, Soubad a
De y i, Siddha ha K ishnan i, Rachel Ca men a q, Louise Guib une b, Yoanna K aus-Elsin ,
Hannah Moe sbe ge s, Joji Ca iño , Sand a Díaz u,
a Basque Cen e o Clima e Change, Scien i ic Campus o he Uni e si y o he Basque Coun y, Leioa
48940, Bilbao, Spain
b Ins i u o de In es igaciones en Ecosis emas y Sus en abilidad, Uni e sidad Nacional Au ónoma de
México, 58190 Mo elia, Mexico
c Basque Founda ion o Science, Ike basque, Bilbao, Spain
d Cen e o De elopmen and En i onmen , Uni e si y o Be n, Be n, Swi ze land
e Ins i u o de In es igaciones en Educación, Uni e sidad Ve ac uzana, Ve ac uz, Mexico
Ins i u e o E hics and T ansdisciplina y Sus ainabili y Resea ch, Facul y o Sus ainabili y, Leuphana
Uni e si y o Lünebu g, Lünebu g, Ge many
g Wo ld Ag o o es y (ICRAF), Bogo 16115, Indonesia
h Plan P oduc ion Sys ems, Wageningen Uni e si y, Wageningen 6708 PB, The Ne he lands
i Ashoka T us o Resea ch in Ecology and he En i onmen , Royal Encla e, S i amapu a, Jakku Pos ,
Bangalo e 560 064, India
j Ins i u e o Geog aphy, Uni e si y o Be n, Halle s asse 12, 3012 Be n, Swi ze land
k Depa amen o de Economía, Facul ad de Ciencias Sociales y Económicas, Uni e sidad del Valle – Cali,
Colombia
l Facul ad de Ciencias Ag opecua ias, Uni e sidad Nacional de Có doba-CONICET, A gen ina
m Council o Scien i ic and Indus ial Resea ch, P e o ia, Sou h A ica
n Fi zPa ick Ins i u e o A ican O ni hology, DST-NRF Cen e o Excellence, Uni e si y o Cape Town,
Rondebosch 7701, Sou h A ica
o Uni ed Na ions Uni e si y, Ins i u e o he Ad anced S udy o Sus ainabili y, Tokyo 150-8925, Japan
p Uni ed Na ions Uni e si y, In e na ional Ins i u e o Global Heal h, Kuala Lumpu 50490, Malaysia
q Depa men o Geog aphy, Uni e si y o Camb idge, Camb idge, Uni ed Kingdom
Ins i u o Humbold , calle 28 A#15-09, Bogo á D.C. 3202767, Colombia
s Fu u e Ea h Pa is Hub, Cen e Na ional de la Reche che Scien i ique (CNRS), 75005 Pa is, F ance
Fo es Peoples P og amme, 1c Fosseway Business Cen e, S a o d Road, Mo e on-in-Ma sh GL56
9NQ, Uni ed Kingdom
u Ins i u o Mul idisciplina io de Biología Vege al (IMBIV CONICET-UNC), Có doba, A gen ina
FCEFyN, Uni e sidad Nacional de Có doba, CC 495, 5000 Có doba, A gen ina
w Unidad Académica de Es udios Te i o iales, Uni e sidad Nacional Au ónoma de México, Re o ma s/n
Cen o, Oaxaca 68000, Mexico
*Co esponding au ho
This documen is he Accep ed Manusc ip e sion o a Published Wo k ha appea ed in inal o m in:
Za a-Cal o N., Bal ane a P., Pascual U., Me çon J., Ma ín-López B., an Noo dwijk M., Mwampamba T.H., Lele S., I ejika Spe anza C., A ias-A é alo P.,
Cab ol D., Cáce es D.M., O'Fa ell P., Sub amanian S.M., De y S., K ishnan S., Ca men a R., Guib une L., K aus-Elsin Y., Moe sbe ge H., Ca iño J., Díaz
S. 2020. Plu al alua ion o na u e o equi y and sus ainabili y: Insigh s om he Global Sou h. GLOBAL ENVIRONMENTAL CHANGE-HUMAN AND
POLICY DIMENSIONS. 63. DOI (10.1016/j.gloen cha.2020.102115).
© 2020 Else ie L d
This manusc ip e sion is made a ailable unde he CC-BY-NC-ND 3.0 license h p://c ea i ecommons.o g/licenses/by-nc-nd/3.0/
2
Abs ac
Plu al alua ion is abou elici ing he di e se alues o na u e a icula ed by di e en
s akeholde s in o de o in o m decision making owa ds achie ing mo e equi able and
sus ainable ou comes. We explo e wha app oaches align wi h plu al alua ion on he g ound, as
well as how di e en social-ecological con ex s play a ole in ansla ing plu al alua ion in o
decisions and ou comes. Based on a co-cons uc ed analy ical app oach elying upon empi ical
in o ma ion om en cases om he Global Sou h, we ind ha plu al alua ion con ibu es o
equi able and sus ainable ou comes i he alua ion p ocess: 1) is based on pa icipa o y
elici a ion app oaches; 2) is amed wi h a clea ac ion-o ien ed pu pose; 3) p o ides space o
ma ginalized s akeholde s o a icula e hei alues in ways ha can be included in decisions; 4)
is used as a ool o iden i y and help econcile di e en cogni i e models abou human-na u e
ela ions held by di e en s akeholde s; and 5) os e s open communica ion and collabo a ion
be ween s akeholde s. We also ind ha powe asymme ies can hinde plu al alua ion. As
in e es and suppo o unde aking plu al alua ion g ows, a deepe unde s anding is needed
ega ding how plu al alua ion may adap o di e en pu poses, app oaches, and social-
ecological con ex s o con ibu ing o social equi y and sus ainabili y.
Highligh s
● Plu al alua ion (PV) e eals di e se alues o na u e held by di e en s akeholde s
● PV’s pu pose, app oach and con ex shape he achie emen o equi able and sus ainable
ou comes
● Pa icipa ion, ac ion-o ien ed pu poses, inclusion o ma ginalized s akeholde s and
econcilia ion o di e en cogni i e models a e c ucial PV componen s
● Powe asymme ies can se e ely cons ain PV’s po en ial, which is s eng hened by
collabo a ion.
Keywo ds: knowledge co-p oduc ion, ansdisciplina i y, powe ela ions, alues
1. In oduc ion
The magni ude o oday's biodi e si y and clima e c isis calls o u gen ans o ma i e change in
public decision-making and planning p ocesses in o de o e e se cu en ends and ca alyse
pa hways owa ds jus and sus ainable u u es. The ab ic o na u e ha suppo s human well-
being is declining as , gene a ing a cascade o nega i e in e dependen impac s o people and
ecosys ems wo ldwide (Chaplin-K ame e al., 2019). These impac s a e bo ne unequally among
di e en social g oups and wo ld egions, and globally ag eed policy a ge s (e.g., Sus ainable
De elopmen Goals) a e unlikely o be me unless he di ec and indi ec d i e s o he impac s
a e add essed (IPBES, 2019).
Add essing cu en unsus ainable social and en i onmen al condi ions no only equi es
iden i ying hei d i e s, bu also unde aking s a egic ac ions ha lead o undamen al changes
in he social-ecological sys em as a whole (Meadows, 1999a; Abson, e al. 2016; Fische and
Rieche s, 2019). The li e a u e on social-ecological sys ems shows ha ans o ma i e change
equi es ecognising and ca alysing he di e se alues o and abou na u e held by mul iple
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s akeholde s (And achuk and A mi age, 2015; A ias-A é alo e al., 2017; Pe ei a e al., 2018).
The inclusion o plu al knowledges in o decision making and consequen ac ions a e also
essen ial equi emen s o add essing social inequali ies (A agão e al., 2016). Demands o
g ea e democ a iza ion, anspa ency and accoun abili y in decision-making a e being
spea headed a ound he wo ld by mul iple ci izens’ g oups, communi y-based and non-
go e nmen al o ganisa ions, and social mo emen s o ci il and poli ical igh s, gende equali y,
en i onmen al jus ice and indigenous people’s igh s. These demands ha e been also suppo ed
by a g owing coho o sus ainabili y scien is s (see Chan e al., 2018; Jacobs e al., 2020).
Indeed, depending on how alua ion o na u e is unde aken, he decisions and hei impac s will
mos likely a y, wi h implica ions o who wins and who loses om such decisions (Pascual e
al., 2017). Agenda-se ing plans a di e en scales can igge he alua ion o na u e wi h
dis inc po en ial impac s on di e en s akeholde s unde g owing asymme ies in social powe
ela ions (Ma inez-Alie e al., 2003).
Plu al alua ion (PV he ea e ) ocuses on elici ing and in eg a ing he di e se alues o na u e
in o decision-making and ac ion, wi h a holis ic ision. I has inc easingly been ad oca ed o
add essing he biodi e si y c isis and speci ically o espond o he need o en i onmen al
jus ice (A agão e al., 2016; Rusch e al., 2017; Boilla e al., 2020). PV can be gene ally de ined
as a p ocess ha assesses he di e si y o alues ha a e a ibu ed o na u e in a gi en socie y,
and how hese alues ela e o each o he , wi h he aim o b inging such plu ali y in o decision
making (Rincon-Ruiz e al., 2019). PV ecognizes di e si y in he alues held by s akeholde s
gi en hei wo ld iews, knowledge sys ems and powe ela ions (Pascual e al., 2017). The
in ellec ual shi om monis ic (i.e., alua ion based on a single me ic o a single wo ld iew
abou human-na u e ela ions) o plu alis ic alua ion is being os e ed by he con e gence o
ideas owa ds he de elopmen o a social-ecological sys ems app oach wi hin sus ainabili y
science (Benne e al., 2016) and is al eady impac ing on global science-policy ini ia i es, such
as he In e go e nmen al Science-Policy Pla o m on Biodi e si y and Ecosys em Se ices
(IPBES) (Pascual e al., 2017; Diaz e al., 2018).
The e is a g owing communi y o esea che s ad oca ing o a shi owa ds PV in o de o os e
jus and en i onmen ally sus ainable ou comes om decisions, especially om public bodies.
Thei key unde lying condi ions a e o PV o ecognize and cap u e he in e play o he mul iple
pe spec i es on human-na u e ela ions, mul iple knowledges and he associa ed di e si y o
alues, and c ea e anspa en and pa icipa o y spaces ha can inco po a e such alues in o
decision-making. This communi y o schola s also ecognize ha alua ion and sus ainabili y
science a e necessa ily alue laden (Pascual e al., 2017, Nielsen e al., 2019, Jacobs e al., 2020).
He e we explo e he abo e assump ions and shed ligh on he ex en o which social and
ins i u ional condi ions enable o cons ain he capaci y o PV o con ibu e o equi able and
sus ainable ou comes. We do his by assessing en case s udies om he Global Sou h in which
di e en pe spec i es associa ed wi h PV ha e been conside ed. The analysis is based on
a ailable da a om he case s udies, he de elopmen o a concep ual amewo k on PV and a
co esponding analy ical app oach based on an in e disciplina y collabo a i e co-lea ning
p ocess in ol ing mul iple wo kshops ha ook place be ween 2017 and 2019. We speci ically
4
(i) assessed he in en (pu pose) and ways (app oaches) h ough which esea che s engaged in
PV app oaches in he en cases s udies, (ii) analyzed he ex en o which PV con ibu ed in hose
local social-ecological con ex s o decision-making ha led o equi able and sus ainable
ou comes, and (iii) iden i ied wha we e he key enable s and cons ain s o PV in achie ing he
desi able ou comes.
2. Plu al alua ion g ounds
Plu al alua ion o na u e is eme ging om he in e play among di e en esea ch adi ions, and
is based on a wide ange o schools o hough (Figu e 1). Fo ins ance, ac ion esea ch was
de eloped as ea ly as in he 1940s o os e collec i e expe imen a ion and i e a i e lea ning
h ough e idence collec ed on he g ound. As a esul , pa icipa o y u al app aisal echniques
s a ed o be widely applied a ound he 1970s and 1980s by de elopmen s udies schola s (e.g.
see Chambe s, 1994), al hough hey did no explici ly make isible he ole played by he di e se
alues o na u e held by di e en people. These pa icipa o y assessmen s p o ided e ile
g ound o new pa icipa o y sus ainable li elihood app oaches o in o ming de elopmen policy
esea ch, whe e he idea o in es ing in na u al asse s s a ed o gain ac ion (Ashley and
Ca ney, 1999). A ound he same ime, a ple ho a o o he pa icipa o y me hods we e being
de eloped in o de o elici he pe spec i es o disempowe ed people, especially in o de o
deepen unde s anding abou he di e si y and commonali ies o people’s concep s o well-being
(o ill-being), and good (o bad) quali y o li e. Many o hese app oaches did, o ins ance,
emphasize he locally-speci ic pe cep ions o he poo abou he meanings, alues and
unde s andings o hei en i onmen al con ex (e.g. B ocklesby and Hinshelwood, 2001). In
pa allel, pa icipa o y (social) mul i-c i e ia e alua ion echniques we e being de eloped
h oughou he 90s by ecological economis s (e.g. Munda e al., 1994; Ma inez-Alie e al.,
1998) as a esponse o mains eam mone a y alua ion app oaches o he en i onmen which
leaned owa ds a (monis ic) u ili a ian aming (Wegne and Pascual, 2011) and which we e
s a ing o be applied in de eloping coun y con ex s (e.g. Aylwa d and Ba bie , 1992).
A he e ogeneous ield is in he making ha combines and in eg a es di e en disciplina y and
me hodological adi ions o make mo e explici he ole o a wide se o alues o na u e (Fig.
1). Se e al au ho s ha e pu o wa d guiding ools o be used when unde aking PV (e.g. E xano
e al., 2015; Jacobs e al., 2016; A ias-A é alo e al., 2018; Rincón-Ruiz e al.,2019). Simila ly,
delibe a i e economic alua ion is also applied d awing on ields such as en i onmen al e hics,
en i onmen al psychology, and en i onmen al sociology (e.g. Ken e , 2016; Lliso e al., 2020).
The e is hus an eme gen wa e o alua ion s udies designed o documen he di e se and
in e wined ecological, socio-cul u al and economic dimensions o he alues o na u e. We
a gue ha all o hese app oaches a e en iching social-ecological sys ems hinking and a e
helping o coalesce a new ield o ansdisciplina y sus ainabili y esea ch (Me çon e al., 2019),
which connec s science, socie y and policy (Cla k e al., 2016), as well as wi h app oaches ha
con ibu e o nego ia ion and social-ecological con lic esolu ion p ocesses ( an Noo dwijk and
Coe, 2019).
5
Figu e 1. Plu al alua ion is a apidly e ol ing ield de i ed om mul iple concep ual and
me hodological app oaches o make isible he di e si y o alues o na u e held by di e en
s akeholde s owa ds decision making ha os e s social equi y and en i onmen al sus ainabili y.
A subse o applied esea ch ields ha a e connec ed wi h he en s udy cases a e shown o
coalesce, each in hei own way, in o plu al alua ion.
Di e en app oaches o elici he mul iple alues o na u e en iches he deba es on alua ion bu
he e is also a need o compa e and sys ema ize he applica ion o such app oaches. A
collabo a i e compa a i e analysis, h ough co-lea ning, can be used o assess he commonali ies
among such di e se se s o pe spec i es in o de o p o ide p ac ical g ounding o he no ion o
PV and o empi ically assess i s e ec s
3. Ma e ial and me hods
3.1. Case s udies
Gi en ha PV is s ill an eclec ic bu apidly e ol ing ield, we p esen he e a join and
encompassing analysis o be e unde s and he use and e ec s o PV p ocesses in a ange o
local con ex s. We ocus on he Global Sou h because i is whe e colonial legacies (Jayap akash
and Hickey, 2019), weak ins i u ional s uc u es and con inuous powe s uggles (Di G ego io e
al., 2019), as well as inc easing p essu es on na u al asse s (Le e s e al., 2019) d i e some o he
mos d as ic impac s and apid landscape ans o ma ions. I is also whe e he inc easing global
demand o na u al asse s a e la gely bo ne, especially by local s akeholde s (Chaplin-K ame e
al., 2019; IPBES, 2019). Ye , he alues held by he people who a e mos se e ely impac ed by
landscape ans o ma ion emain in isible, as a esul o s ong powe imbalances, h ough
na ow alua ion p ac ices, hus con ibu ing o pe pe ua ing social-ecological inequali ies,
injus ices and con lic s (Siko , 2013; Fishe e al., 2018).
We used an in o ma ion-o ien ed selec ion app oach (Runeson and Hös , 2009) o iden i y en
case s udies ac oss eigh coun ies: Indonesia, India, Sou h A ica, Tanzania, Kenya, A gen ina,
Colombia and Mexico, (Figu e 2). Each o he cases was documen ed by a esea ch pa ne , also
co-au ho o his a icle. Th ee main c i e ia guided he selec ion o he case s udies. Fi s , he se
o cases had o o e a ich di e si y o in e - o ans-disciplina y wo k on alua ion. Second,
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each case had o be associa ed wi h a alua ion p ocess o make isible he di e se alues held
by di e en local s akeholde s ha could se e as an inpu o nego ia ing decisions and ac ions.
Thi d, he esea ch pa ne s had a deep unde s anding o hei case s udies as well as an in e es
in engaging in a co-lea ning p ocess o join ly de elop a concep ual and analy ical app oach
owa ds shedding ligh on PV in he Global Sou h.
The cases add essed a ious social-ecological issues. These included, in e alia: he e ic ions o
co ee- a me s supposedly o secu e wa e o hyd opowe gene a ion (Sumbe jaya, Indonesia);
powe asymme ies in he de olu ion p ocesses o o es managemen o local people ollowing
he in oduc ion o he Fo es Righ s Ac (Odisha, India); inequi y in he dis ibu ion o social
impac s and human well-being con ibu ions o p o ec ed a eas (Da jeeling Himalayas, India);
need o le e age mul iple o ms o socie al demand o adi ionally known medicinal plan s
(Ke ala and Tamil Nadu, India); wa e use and go e nance (Laikipia, Kenya); implemen a ion o
pa icipa o y p ocesses o designing REDD+ (Kilosa, Tanzania); g een space use in u ban a eas
(Cape Town, Sou h A ica); discussion o a law aimed a p o ec ing na i e o es (Co doba,
A gen ina); need o gi e oice o ma ginalized people in wa e shed managemen (O ún,
Colombia); and he c ea ion o a ci izens’ ne wo k in esponse o he op-down dec ee o a
p o ec ed a ea (Xalapa, Mexico). De ails abou he case s udies can be ound in he
supplemen a y ma e ial (Sec ion A).
We i s co-de eloped a concep ual amewo k, ollowed by an analy ical amewo k and a
sys ema ic assessmen o all en cases and he co esponding da a analysis h ough an i e a i e
co-lea ning p ocess among all he esea ch pa ne s in ol ed in he s udy. The iden i ica ion o
he key nexuses among all he cases led o he aming o he concep ual and analy ical
amewo ks. Then, esea ch pa ne s pa icipa ed in ou h ee-day wo kshops (No embe 2017
in Oaxaca, Mexico; June 2018 in Mo elia, Mexico; Oc obe 2018 in Bangalo e, India; and June
2019 in Zigoi ia, Basque Coun y) o join ly de elop and ope a ionalize he concep ual
amewo k and he equi ed empi ical app oach o compa ing da a ac oss all he cases. The
esul s om he da a analysis we e in e p e ed and e ined in an i e a i e way. The co-lea ning
p ocess spanned o e wo yea s (2017-2019).
7
Figu e 2: Loca ion o he case s udies in he Global Sou h in which plu al alua ion was
unde aken: 1) Sumbe jaya, Indonesia (IDN), 2) Odisha, India (IND1), 3) Da jeeling Himalayas,
India (IND2), 4) Ke ala and Tamil Nadu, India (IND3), 5) Laikipia, Kenya (KEN), 6) Kiolosa,
Tanzania (TZA), 7) Cape Town, Sou h A ica (ZAF), 8) Có doba, A gen ina (ARG), 9) O ún,
Colombia (COL), and 10) Xalapa, Mexico (MEX).
3.2. The concep ual amewo k
We concep ualize plu al alua ion o na u e as a p ocess o knowledge gene a ion ha seeks o
in o m decision making and ac ions which a ec human-na u e ela ions by conside ing
s akeholde s’ di e se alues. I elies on explo ing he place-based ele an knowledge sys ems
in o de o i) elici , desc ibe and analyse he di e si y o alues held by di e en s akeholde s
o /and o ii) assess he ac ual o po en ial impac s o decisions (and subsequen ac ions) on
people and na u e. One main idea behind PV is a p ocess ha could be use ul as a nego ia ion
suppo ool in ol ing an i e a i e cycle o sus ained eedback be ween nego ia ion and
decisions, ac ions and ou comes. Thus, in ou iew, PV goes beyond he me e elici a ion o a
di e si y o alues (Figu e 3).
PV can be unde aken o di e en pu poses and using di e en app oaches. PV may be
igge ed by a a ie y o locally speci ic issues (see sec ion 3.1). PV can be used o explo e he
alues associa ed wi h an issue a s ake o /and as a ool o suppo social-ecological
ans o ma ion (1a in Figu e. 3). Depending on he PV app oach aken and he main pu pose
which mo i a es i s use, he p ocess can gene a e salien , c edible and legi ima e co-p oduced
knowledge abou alues ha can in u n in luence policy o mula ion and con ibu e o decisions
8
and/o ac ions (Leimona e al., 2015, Cla k e al., 2016). In addi ion, app oaches o PV (1b in
Fig. 3) may di e wi h espec o: i) he ypes o alua ion me ics used (e.g. quali a i e,
quan i a i e), ii) he ypes o alues i aims o e eal (e.g. ins umen al and ela ional o a
combina ion o bo h), iii) whe he i is designed o help econcile di e en alues o o ecognize
ade-o s, and i ) he ex en o which pa icipa o y app oaches a e applied (Jacobs e al. 2016;
A ias-A e alo e al., 2018).
The new knowledge abou he di e si y o alues ha is gene a ed h ough PV (2a in Fig. 3) can
be used as inpu o decision making, allowing PV o be conside ed as a nego ia ion suppo ool
ha can in luence human-na u e ela ions and ha can lead o subsequen changes in social-
ecological ou comes (2b in Fig. 3). PV may e eal con lic ing pe spec i es and in e es s, and se
he s age o nego ia ing hese di e ences and dispu es (Jacobs e al., 2018). I can help o
unde s and how decisions a e aken and which p e e ences a e conside ed and a icula ed in o
ac ions ( an Noo dwijk e al., 2019). In his way PV can also help iden i y powe assyme ies as
well as s uc u al inequali ies, in e ms o access o and con ol o e na u al asse s (D imie e al.,
2018).
Ou comes om na u al esou ce managemen decisions a e likely o a ec social equi y and
ecological sus ainabili y (McShane e al., 2011). These social-ecological ou comes include bo h
in e - and in a- gene a ional ou comes. Fo ins ance, posi i e social-ecological ou comes migh
align wi h ‘jus ansi ions’ ha econcile sus ainable use o na u al asse s wi h a meaning ul
commi men o su iciency, unde s ood as he sa is ac ion o all indi iduals’ needs wi hou
consuming mo e han hei ai sha e (e.g., Swilling and Annecke, 2012; WCED, 1987 and
IPBES, 2019).
The way PV is conduc ed as a esea ch endea ou la gely depends on he social-ecological
con ex in which i can be unde aken. Ins i u ional, economic, social, cul u al and poli ical
ac o s can enable o impede he PV p ocess a any s age. Addi ionally, many ac o s can a ec
how insigh s gained om PV may be in eg a ed in o decision making (3a in Fig. 3). Likewise,
hese ac o s may also in luence how PV may be used as a nego ia ion suppo ool and how
po en ial ac ions may be implemen ed on he g ound (Keenan e al., 2019) (3b in Fig. 3). The
ou comes o he en i e PV cycle may c ea e new oppo uni ies and ini ia e a new cycle o PV o
eedbacks by ha ing shi ed s akeholde s’ iews and alues, ac ions and ou comes. The
ans o ma ional change equi ed o shi si ua ions ou o g idlock may equi e a di e en
numbe o ull i e a ions o he PV cycle.
9
Figu e 3: Concep ual amewo k o plu al alua ion. PV is igge ed by he desi e o unlock
an issue. I can ha e di e en pu poses (1a) and be unde aken using se e al app oaches (1b).
The knowledge gene a ed ac s as an inpu in o decision making (2a) and can become a ool o
nego ia ion and subsequen ac ion, gene a ing speci ic social-ecological ou comes (2b) ha can
con ibu e o social equi y and ecological sus ainabili y. PV is in luenced by a a ie y o enable s
and cons ain s ha media e how PV knowledge is in eg a ed in o decision making (3a) and how
ac ions a e implemen ed (3b). Changes in he pe cep ion o s akeholde s abou an issue a s ake
may igge a new PV cycle (see key e ms used in he concep ual amewo k in Table B1,
Sec ion B supp. ma e ial.).
3.3. The analy ical app oach
D awing on he concep ual amewo k, we de eloped an analy ical app oach o ga he ele an
in o ma ion om he en case s udies. We analysed he pu pose, app oach and con ex o he PV
wi hin each o he case s udies ollowing an i e a i e bo om-up ques ion-based app oach
(Eisenha d , 1989). As he key componen s o PV we e iden i ied, a sha ed p o ocol o collec he
in o ma ion ac oss s udies was de eloped, and he app oach o compa e da a ac oss cases was
co-designed. Consequen ly, he analy ical app oach is a unc ion o how he PV is
concep ualized (Fig. 3) and how i was applied in he en case s udies, as well as how he b oad
e ms o social equi y and ecological sus ainabili y we e i e a i ely conside ed and ag eed upon
by all esea ch pa ne s. The esea ch ques ions ha guided da a collec ion om each case s udy
a e desc ibed nex .
3.3.1. Wi h wha in en (pu pose) and in which ways (app oaches) esea ch pa ne s
engaged in PV?
16
Enable s and cons ain s o ca ego y I and II we e g ouped in o ou subca ego ies h ough
coding: (i) communica ion and collabo a ion, (ii) me hods and logis ics, (iii) isions and
in e es s, and (i ) poli ical con ex . The subca ego y communica ion and collabo a ion e e s o
he in e ac i e p ocess in which di e en s akeholde s e ec i ely communica e and wo k
oge he . In he me hods and logis ics subca ego y, we conside he me hodological app oach
aken, and logis ical issues such as unding, a ailabili y o ained s a , accessibili y o he
p ojec a ea, and easibili y o de elop PV o implemen ac ions de i ed om decisions. Visions
and in e es s deno e he capaci y o he s akeholde s o sha e isions and in e es s and o
con e ge (o no ) o implemen ac ions, sha ing isks and esponsibili ies. The poli ical con ex in
which PV akes place e e s o i s se ing (e.g. legal amewo k, p e-exis ing policies), as well as
he powe dynamics by which PV is condi ioned (e.g. poli ical in e e ence) o cu en
go e nance amewo ks (p esence o absence o poli ical space).
Communica ion and collabo a ion be ween mul iple s akeholde s (go e nmen , NGOs,
academia, e c.) we e key enable s o PV (Table 3). S ong collabo a ion and good
communica ion we e deemed essen ial o PV o be included in o decision making (se en ou o
en case s udies), and inadequa e communica ion and dis us p e en ed he achie emen o
equi able and sus ainable ou comes. In addi ion, he poli ical con ex became a key obs acle o
PV o achie e i s desi ed goals. Mo e speci ically, he lack o poli ical will, bu also shi ing
powe dynamics and decisions pe cei ed as being h ea s o he s a us quo (e.g. in Kilosa, TZA)
o di ec poli ical in e e ence (e.g. in Laikipia, KEN), we e men ioned as key ac o s hinde ing
he con ibu ion o PV o decisions and owa ds achie ing desi able ou comes. O he obs acles o
PV included logis ical cons ain s such as lack o unds o ime.
Table 3. Ca ego y I and II ac o s ha enabled o cons ained he use o PV in decision making
and om eaching socially equi able and ecologically sus ainable ou comes in each o he
clus e s o case s udies.
Use o PV in o decision-making
( equency and examples) Con ibu ion o PV owa ds socially equi able
and ecologically sus ainable ou comes
( equency and examples)
i. Enable s
1. Communica ion and collabo a ion
7 cases s udies (cs). Clus e A: Collabo a ion wi h
acili a o s (IND3); Collabo a ion wi h ad ocacy g oups
(IND1); Engagemen in meaning ul con e sa ion wi h
di e en ac o s on issues and solu ions (IND3); S ong
ou each (IND1). Clus e B: S ong collabo a ion be ween
di e en sec o s (KEN); S ong collabo a ion be ween
communi y g oups, NGO, academia - ne wo k able o
nego ia e (MEX); S ong collabo a ion be ween
communi y g oups, NGO, academia - ne wo k able o
nego ia e (MEX); Collabo a ion wi h local pa ne s on he
g ound (KEN); T us building (TZA, KEN, IND2, IDN);
In ol emen o go e nmen o icials in lea ning (IDN)
3 cs. Clus e B: Collabo a ion wi h communi y and
o he s akeholde s (IND2); E ec i e
communica ion and in o ma ion exchange o
p ojec p og ess o high le el decision make s a
na ional le el (TZA); T anspa ency (IND2); Access
o in o ma ion on wa e esou ces (KEN)
2. Me hodological and logis ical
17
1cs. Clus e B: Funding a ailabili y (TZA); S a ained in
pa icipa o y p ocesses (TZA); Pa icipa o y p ocess a
unding equi emen (TZA); Easy access o p ojec a ea
(TZA): Possibili y o ollow-up p ocess in i e a i e s eps
(TZA): Ease o in o ma ion low and communica ion
(TZA)
2 cs. Clus e B: Polycen ic na u e o o ganiza ion
(MEX); S epwise app oach o communi y o es
a gumen s and e alua ion c i e ia (IDN)
3. Visions and in e es s
2cs. Clus e B: Compa ible alua ion logics (ARG);
Sha ed ision on sus ainabili y and equi y (MEX);
Common in e es among key s akeholde s (ARG); S ong
in e es in s udy/p o ec ed a ea (KEN)
2 cs. Clus e B: Ci izens mo i a ion in building he
ne wo k (MEX); Commi men s and willingness o
imp o e sus ainabili y and wellbeing (IND2);
4. Poli ical con ex
2 cs. Clus e B: Poli ical capaci y o p essu e and dialogue
(MEX); Some in luence by membe s o ma ginal
communi ies who a e pa o go e nmen al ins i u ions
(IND2); PV ecognized as open legi ima e p ocess (MEX)
3 cs. Clus e A: Poli ical capaci y o in luence
decision (IND1). Clus e B: S ong suppo o local
go e nmen o ice (TZA); Ce ain poli icians and
go e nmen o ice s suppo ing p ojec (KEN)
ii. Cons ain s
1. Communica ion and collabo a ion
1 cs. Clus e B: Unclea communica ion (IDN) 6 cs. Clus e A: Absence o local pa icipa ion
(app op ia ion) (COL); Di icul y o building us
wi h ma ginalized s akeholde s (IND3); Language
ba ie s (IND3). Clus e B: Lack o access o
in o ma ion esul s due o echnical language
(KEN); Con as ing communica ion s yles (MEX);
Unwillingness o nego ia e o c ea e alliances
(ARG); Dis us (IDN)
2. Me hodological and logis ical
2 cs. Clus e A: Lack o s a (MEX, IND1); Clus e B:
Lack o esou ces (go e nmen and o he s akeholde s)
(MEX)
5 cs. Clus e A: Academic deg ee o ien ed (ARG,
COL, ZAF); Lack o ime (ARG, COL, ZAF); Lack
o unds (ARG, COL, ZAF): Dis an loca ion
(COL). Clus e B: Lack o access o biophysical
da a (KEN); Lack o expe ience in bo om up
app oaches by local s akeholde s/ins i u ions (TZA)
3. Visions and in e es s
0 cs. 3 cs. Clus e B: Mul iple cogni i e models (IDN) ;
Reconcilia ion o cogni i e models was no
conduc ed (ARG); P esence o con lic s (IDN);
Lack o ecogni ion o ma ginalized people`s igh s
(IND2)
4. Poli ical con ex
3 cs. Clus e B: Lack o poli ical will (MEX); Poli ical
in e e ence (KEN); Limi ed capaci ies o au ho i ies o
implemen (KEN, TZA)
7 cs. Clus e A: Lack o poli ical will (COL);
Absence o o mal decision making space (IND1);
Decision make s concei e PV as ou o scope wi h
hei mission/obliga ion (COL, ARG)- Clus e B:
Lack o poli ical will (MEX, TZA); Decision
making p ocess un a o able o inclusion o PV
indings (MEX); Opposi ion o PV esul s h ea en
he s a us quo (KEN); Lack o p e ious expe iences
demons a ing sus ainable use o esou ce o
decision make s (TZA); Absence o social decision
making space (IND2)
5. Discussion
18
Schola ship abou plu al alua ion has been de eloping quickly in he las decade om di e en
heo e ical adi ions. I has e ol ed om di e se me hodological app oaches, such in ecological
economics (Ma inez Alie e al., 1998) in o de o make isible he di e si y o alues o and
abou na u e held by people (Pascual e al 2017; A ias-A é alo e al., 2018) wi h he inal goal o
inding solu ions o achie ing equi able and sus ainable ou comes om decision making,
especially a he local le el (Jacobs e al. 2016, 2018) (see Table E1 in Sec ion E o he
supplemen a y ma e ials). We con ibu e a concep ual amewo k and analy ical app oach o
unde s and he PV p ocess and associa ed ou comes. Ou con ibu ion was guided by in-dep h
analysis o en case s udies om he Global Sou h, whe e he need o add ess unsus ainabili y
and social equi y is mos acu e. We ound impo an di e ences among case s udies and
iden i ied he PV pu poses, app oaches and con ex s ha con ibu ed o equi able and sus ainable
ou comes.
Ou indings show ha c ea ing space o ma ginalized s akeholde s o a icula e and include
hei alues in decision making is equi ed o ca ying ou success ul PV. This space allows o
decision making o be in o med by a plu ali y o alues; howe e , i does no on i s own lead o
equi able and sus ainable ou comes. The pu pose o unde aking PV ma e s. Decisions ha
engage he alues o ma ginalized s akeholde s and add ess hei conce ns and in e es s a e mo e
likely o allow o decisions o posi i ely con ibu e o hei QoL as al eady obse ed by di e en
schola s (e.g. Daw e al., 2017, Rami ez-Gomez e al., 2017). Ye , when he main pu pose o PV
is explo a o y o in o ma i e, he ull di e si y o alues elici ed a e gene ally no inco po a ed
in decision-making p ocesses (and ac ions), and hence equi able and sus ainable ou comes a e
less likely o be achie ed. Fo example, in he case o O ún (COL) he alues o ma ginalized
smallholde a me s highligh ed hei p e e ences abou how o manage he wa e shed, bu gi en
ha he o iginal pu pose o he PV was no aimed a including hei iews in he managemen
plan o he wa e shed, ac ions di ec ed o imp o e hei QoL we e no implemen ed and
consequen ly hei QoL did no imp o e.
Only hose cases in which PV was ini ia ed wi h he pu pose o guiding ac ion we e able o a ain
desi ed ou comes in e ms o equi y and sus ainabili y. Social-ecological ans o ma ion s ongly
elies on how he goals and expec a ions o alua ion esea ch a e amed. Resea ch and ac ion
a e becoming inc easingly linked in o a wide ange o pa icipa o y ac ion esea ch app oaches in
which implemen a ion o solu ions is a co e pa o he PV esea ch agenda. In pa icipa o y
ac ion esea ch, wha ma e s is who decides he esea ch agenda and who bene i s om i
(Casey e al., 2018). Ac ion esea ch was deemed c i ical in some o ou case s udies o suppo
ac i i ies ha led o social and o ganiza ional changes a ge ed a he s akeholde s a ec ed by he
issue ha igge ed PV in he i s place. Fo example, in Xalapa (MEX) PV p omo ed collec i e
ac ion by a di e si y o s akeholde s o manage a p o ec ed a ea wi h success ul ou comes. In his
ein, we ind ha he app oaches used in alua ion also ma e : only when PV elied upon
pa icipa o y me hods i did con ibu e o desi ed social-ecological ou comes.
Some o he pa icipa o y me hods used in he case s udies included pa icipa o y app aisals
(Sumbe jaya, IND; o Laikipia, KEN), pa icipa o y scena io planning (Kilosa, TZA), and pho o
elici a ion su eys and delibe a i e ocus g oups (Co doba, ARG). The quali y and legi imacy o
19
he pa icipa o y p ocess depends on how pa icipa ion is amed, especially de e mined by he
oles assumed by pa icipan s, he di e ences in he engagemen o pa icipan s, and he le el o
democ a iza ion o he decision-making p ocess in which PV is in eg a ed (Ca noye and Lopes,
2015). Se ing he bounda ies o inclusion and iden i ying ep esen a i e s akeholde s is a
conside able challenge and one which shapes he PV exe cise. Fo ins ance, in he Kilosa (TZA)
case s udy, he s akeholde analysis o e looked mig a o y pas o alis s who we e absen om he
a ea du ing he s akeholde iden i ica ion p ocess. Consequen ly, hei pe spec i es, alues and
knowledge sys ems did no ea u e in o he decisions aken un il much la e in he
implemen a ion. Di icul ies in nego ia ions a ound he use o he land a ose and ul ima ely
comp omised he equi y o he ac ions ha we e decided.
Iden i ying and econciling s akeholde s’ cogni i e models abou human-na u e ela ions was
ound o be c i ical o PV o be able o suppo decisions ha could enhance equi able and
sus ainable ou comes, concu ing wi h Mu adian and Pascual (2018). Making isible he
di e en wo ld iews, assump ions and ideologies ha in luence alues and decisions abou how
social-ecological sys ems should be managed, using ools such as desc ibing and sha ing men al
models (Biggs e al., 2011), ans o med he way he di e en s akeholde s concep ualized he
issues a s ake. Fo example, in Sumbe jaya (IDN) a apid hyd ological app aisal me hod was
de eloped o explo e he simila i ies and con adic ions among knowledge sys ems, and allowed
a me s o use da a om science-based moni o ing and analysis o challenge go e nmen
policies. Con e sely, he lack o econcilia ion o cogni i e models held by s akeholde s
jeopa dized he PV ou comes in o he cases. Fo example, in he case s udy om Co doba
(ARG) he new o es law included he alues and way o unde s anding how he o es should
be managed by one o wo opposing g oups, gene a ing a s ong eeling o injus ice among he
g oup whose legal d a was no accep ed (Cáce es e al., 2016).
The way PV is concep ualized has deep implica ions in e ms o i s po en ial ou comes. PV can
play an impo an ole in achie ing mo e equi able and sus ainable ou comes when alua ion is
seen as a p ocess o knowledge gene a ion designed o be in eg a ed in decision-making and
ac ion. No ably, na ow concep ualiza ions o PV such as o elici a ion o alues alone, is mo e
likely o con ibu e o limi ed ou comes as obse ed in he case o Cape Town (ZAF). Ins ead,
when PV is used as a nego ia ion suppo ool in an i e a i e cycle o con inued eedback
be ween nego ia ion and decisions, ac ions and ou comes, he QoL o he ma ginalized people is
mo e likely o imp o e and he low o NCP o be mo e sus ainable. Fo ins ance, in Laikipia
(KEN) and Sumbe jaya (IDN) enhancemen s we e achie ed in equi able (e.g. imp o ing he QoL
o ma ginalized people and educing con lic s), and sus ainable (imp o ing he sus ainabili y o
he p o ision o NCP) ou comes. In Sumbe jaya (IDN), PV was employed as a nego ia ion
suppo ool ha led o ag eemen s abou managemen and go e nance ins umen s (communi y-
based o es managemen ) ha all s akeholde s could commi o. This led o imp o ed equi y
(e.g. non-e ic ion o smallholde a me s) and sus ainabili y (e.g. ia lessening de o es a ion).
Simila ly, collabo a i e esea ch, and he a icula ion o di e en knowledge sys ems and shi s
in powe balance, allowed o new policy ins umen s, such as he c ea ion and g owing
impo ance o a wa e esou ces use s’ associa ion in Laikipia (KEN).
20
Communica ion and collabo a ion be ween s akeholde s appea as key enable s o PV. T us ,
anspa ency and collabo a ion be ween s akeholde s is equi ed o c ea e a se o p ac ical,
pe missible decisions ha can be ansla ed in o ac ion which can esul in equi y and
sus ainabili y (G ay e al., 2013). In his sense, he elici a ion o alues and he p ocesses o
econcilia ion o cogni i e models equi e a ‘ hi d place’ (Oldenbu g and B isse , 1982) in
which s akeholde s a e gi en an equal oice so ha us , c ea i i y, and sha ed unde s anding
can de elop (Djenon in and Meadow, 2018). In ou case s udies we obse ed ha us and
sha ed unde s anding allowed communica ion and collabo a ion be ween esea che s conduc ing
alua ion and he ele an s akeholde s, which in u n also c ea ed he condi ions o
pa icipa o y app oaches and he econcilia ion o di e en cogni i e models and isions.
Two ac o s we e ound as key cons ain s o PV o be able o con ibu e owa ds desi able
social-ecological ou comes: he lack o poli ical space and he will o include PV in decision
making, as well as he exis ence o une en powe ela ions ha p e en ed he di e si y o alues
om being included in decision making. Unequal powe ela ions can hampe any PV p ocess a
any s age, om elici a ion, o nego ia ion and he ansla ion o decisions in o ac ions ha can
os e equi y and sus ainable use o na u e (Cook e al., 2013; Mo ison e al., 2019). Along he
alua ion p ocess, powe dynamics can be na iga ed o a e challenges o sol e con lic s
pa icula ly when s akeholde s hold di e gen iews o he bene i s, bu dens and solu ions o he
p oblem (Ca men a e al., 2017). F equen ly, wha makes a ac o , e.g., he inclusion o poli ical
s akeholde s in PV, o become an enable o a cons ain is de e mined by he nuanced local
con ex . Fo example, he pa icipa ion o poli ical s akeholde s was a c i ical cons ain in
Laikipia (KEN), whe eas in Kilosa (TZA) he suppo o a dis ic o ice made all he di e ence
as o he accep abili y o he p ojec in local go e nmen .
All in all we posi ha PV can be ins umen al o achie ing equi able and sus ainable ou comes,
bu i is wo h no ing ha we aced se e al challenges ha should be add essed in u he
esea ch. Fi s , we iden i ied he main pu pose and app oach o he di e en PV p ocesses in an
open-ended way (Siko e al., 2014; Poole 2018), which de e mined he a iables chosen o he
analysis. Fu u e esea ch needs o conside whe he o he ele an a iables should be included
o assess he ole played by PV. Second, some p oxies we e used o e lec he ou comes o PV.
Fo ins ance, p ocedu al equi y was app oached by looking a he ex en o con lic mi iga ion, as
he wo a e gene ally posi i ely linked (Wall and Nolan, 1987). Ideally, u he empi ical
esea ch could p o ide deepe insigh s in o he alidi y o some o he p oxies used in he s udy.
Addi ional wo k could also b oaden ou unde s anding abou in o ma ion gaps and boos he
a ailabili y o empi ical e idence, such as how he di e si y o alues and knowledge co-
p oduc ion a e linked o socially equi able and ecologically sus ainable esou ce managemen
(Lynam e al., 2007; Djenon in and Meadow, 2018), o ins i u ions and go e nance sys ems
(A mi age e al., 2011; Tengö e al., 2017). A la ge se o s udy cases could also allow o
explo e in u he de ail he con ex -dependen mechanisms ha ope a e a di e en s ages o PV.
6. Conclusion
21
Plu al alua ion is inc easingly being called o o add ess he challenges associa ed wi h
sus ainabili y and jus ice. One example o i s po en ial con ibu ions is he ongoing IPBES
Values Assessmen , which aims o assess me hods ha acknowledge, b idge and in eg a e he
di e se alues and alua ion me hodologies o policy and decision-making suppo . PV is abou
making isible he di e se alues people hold abou na u e, wi h pa icula emphasis on
including he oices o hose who a e ma ginalized and who o en bea he la ges bu den o
en i onmen al deg ada ion. The p omise is ha , once ce ain condi ions ha e been me , PV can
con ibu e o equi able and sus ainable low o bene i s om na u e o people, hus imp o ing he
quali y o li e o he mos disad an aged and o en in isibilized s akeholde s in decision making.
An in-dep h analysis o en case s udies in he Global Sou h e ealed a la ge he e ogenei y in
e ms o he app oaches and pu poses used in PV. Ou esul s call o in es ing in e o s o
mains eam PV using pa icipa o y app oaches o elici he di e se alues o na u e h ough
ac ion-o ien ed app oaches, while econciling he cogni i e models o s akeholde s and in
pa icula by gi ing oice o hose mos ma ginalized. This s udy is an a emp o illumina e how
PV may be unde aken. A key ake-home message is ha PV should no be seen as a me e
documen a ion o he di e si y o alues abou na u e bu a he a p ocess ha suppo s
in eg a ed lea ning among esea che s, policy make s and p ac i ione s, whe e communica ion
and collabo a ion is undamen al o he co-p oduc ion o ele an knowledge ha can guide and
ul ima ely imp o e decisions. The ull ipening o his p ocess is s ongly suppo ed by key
enable s such as adequa e communica ion among s akeholde s. Ye , i is impo an o no e ha
highly skewed powe ela ions may hampe e en he mos comp ehensi e PV e o s, and
complex nuanced poli ical con ex s a e o be na iga ed asse i ely.
Plu al alua ion can become a key le e age ool owa ds ans o ma i e change by imp o ing
decision making p ocesses h ough mains eaming di e se oices, econciling con as ing o
e en con lic ing cogni i e models, and opening space o new policy ools and ins i u ional
a angemen s. To do so, as wi h all o ms o alua ion, plu al alua ion necessa ily elies on he
no ma i e posi ion o he in ol ed esea che s (Sande s e al. 2020). In an inc easingly unequal
and unsus ainable wo ld, he use o plu al alua ion in all i s o ms mus hus acknowledge he
alue ame on which i elies i sus ainabili y and equi y a e o be os e ed in a meaning ul way.
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