case study on growth and development

DBP Community Systems-Based Cases

Introduction.

Following are case studies of children with typical developmental behavioral issues that may require a host of referrals and recommendations.

Case Studies

Case 1:                    case 2:                      case 3: sophie                     mark                     alejandro.

• school Campus Bookshelves
• menu_book Bookshelves
• perm_media Learning Objects
• login Login
• how_to_reg Request Instructor Account
• hub Instructor Commons
• Download Page (PDF)
• Download Full Book (PDF)
• Periodic Table
• Physics Constants
• Scientific Calculator
• Reference & Cite
• Tools expand_more
• Readability

selected template will load here

This action is not available.

23.1: Case Study: How Our Bodies Change Throughout Life

• Last updated
• Save as PDF
• Page ID 17803

• Suzanne Wakim & Mandeep Grewal
• Butte College

Case Study: Lead Danger

Instead of using a phone to make a call, the infant in Figure \(\PageIndex{1}\) is using it for a purpose more suited to their current stage of life—to relieve the pain of teething. Although this may look cute, the tendency that infants and young children have of putting objects in their mouths makes them particularly vulnerable to being exposed to toxic substances in their environment that can seriously—and sometimes permanently—damage their health.

One such toxic substance is lead. Lead is a metal that can be found throughout the environment—including inside homes—and is toxic to humans. According to the Centers for Disease Control and Prevention (CDC), there are about a half million children in the U.S. between the ages of one and five who have blood lead levels above 5 micrograms per deciliter (µg/dL), the level at which steps should be taken to reduce lead exposure. There is no known safe blood level of lead in children.

This is why Paul, the father of a toddler named Lucas, brings Lucas to his pediatrician, Dr. Morrison, to test his blood for lead. Eighteen-month-old Lucas seems to be healthy, but the detrimental effects of lead exposure are often not apparent until later in life, so many medical professionals routinely screen children for lead toxicity between the ages of one and two.

Paul and his wife Vanessa are shocked to find out that Lucas’ blood lead level is 10 µg/dL, which is considered high. Medical treatment for lead poisoning is not recommended in children who do not have symptoms unless their blood level is at or over 45 µg/dL. However, Dr. Morrison tells Paul and Vanessa that they must take action to limit any further exposure, such as finding and eliminating the source of lead and limiting Lucas’ contact with potential lead-containing substances. Sources of lead that children may be exposed to include deteriorating lead-based paint, dust from peeling and cracking paint, water from lead pipes, toys, and jewelry, among others. Figure \(\PageIndex{2}\) illustrates some possible sources and routes of lead exposure in the home. One reason that young children are particularly susceptible to lead exposure is that they tend to put objects and unwashed hands into their mouths, which can directly introduce lead objects or lead-containing dust into their bodies.

Lead exposure in infants and young children can cause a variety of adverse health effects, some of which may not be noticeable until later in childhood. These effects include developmental delays, lower IQ, hyperactivity, behavior and learning problems, slowed growth, hearing problems, and anemia. When there is a very high level of exposure, serious immediate consequences of lead poisoning can occur, such as seizures, coma, and even death.

Paul and Vanessa are very concerned, not only for Lucas but also because Vanessa is three months pregnant. They are worried about whether Vanessa was also exposed to lead. If so, what effects could it have on the developing baby? Dr. Morrison shares their concern and strongly recommends that Vanessa get her blood tested for lead. Paul wonders if he should get tested, as well. Dr. Morrison says that testing Paul is less urgent than testing Vanessa, especially since Lucas’ lead level is not extremely high and Paul is not having any symptoms of lead poisoning—but if there is a source of lead in the home, it would be good for him to be tested eventually.

Lead clearly can cause significant adverse health effects, but its impact varies depending on the stage of life of the person exposed. Although lead exposure can cause health problems in adults, exposure to low levels of lead usually has much more of an impact on humans in earlier developmental stages, such as the embryo, fetus, infants, and young children. As you read this chapter, you will learn about these early stages, as well as the later stages of adolescence, early and middle adulthood, and old age. Many changes occur across a human’s lifespan, including physical characteristics, motor and cognitive abilities, behavior, and susceptibility to damage and disease.

At the end of this chapter, you will learn how Lucas likely became exposed to lead, whether his parents and developing sibling have been exposed, the potential impact on the family members at their different life stages, and what they—and you—can do to protect against the dangerous effects of lead exposure.

Chapter Overview: Human Growth and Development

In this chapter, you will learn about the growth and development of humans from fertilization to old age. Specifically, you will learn about:

• The germinal stage of human development, which starts at fertilization; goes through the early cell divisions and developmental stages of the zygote, morula, and blastocyst; and ends when the blastocyst implants in the uterus to become an embryo
• The embryonic stage, which starts at implantation and lasts until the eighth week after fertilization. This period involves significant growth and changes in the developing embryo, which occur through processes such as gastrulation, neurulation, and organogenesis.
• The three germ layers (which ultimately develop into different tissues of the body), and the extraembryonic tissues which nourish and protect the developing embryo and fetus, including the yolk sac, amnion, and placenta
• The fetal stage, which starts at the ninth week after fertilization and lasts until birth. This stage includes the final stages of prenatal growth and development, including the functioning of most organs and sensory systems.
• The differences between fetal and postnatal blood circulation and hemoglobin, due to the lungs not being used until birth
• Factors that affect fetal growth, birth weight, and viability
• Characteristics of newborns, and how health is assessed at birth
• Infancy, which is the first year of life—and the physical, motor, sensory, and cognitive changes that occur during this time period
• Childhood, which is defined biologically as the period between birth and adolescence—and the physical, cognitive, behavioral, and social changes that occur at different sub-stages of childhood
• Adolescence, which is the period between childhood and adulthood. This stage includes puberty—the period when sexual and physical maturation occurs—as well as further maturation of the brain, a stronger sense of personal identity, and changes in relationships.
• The stages of adulthood—early, middle, and old age—and the physical, cognitive, and social changes that typically occur during these times
• Susceptibility to diseases and common causes of death at different stages of adulthood, along with possible causes of aging

As you read the chapter, think about the following questions:

• Vanessa is three months pregnant. What are the major developmental events that have occurred in her pregnancy so far? If she has been exposed to lead, what effects might it have on her developing offspring?
• Lead exposure in infants and toddlers can cause developmental delays and other effects that may only become obvious later in childhood. What do you think is meant by a developmental delay? Why do you think that some of the effects of lead are only noticeable at older ages?
• Why is Dr. Morrison less concerned about Paul’s lead level than he is about Vanessa’s and Lucas’ levels?

Attributions

• Yummies by cplbasilisk , licensed CC BY 2.0 via Flickr
• Lead Infographic by Center for Disease Control, public domain
• Text adapted from Human Biology by CK-12 licensed CC BY-NC 3.0

• Request new password
• Create a new account

Human Growth and Development

Welcome to  Tangled Webs , a new online case study resource designed to help you explore key issues and themes raised in  Human Growth and Development, 4e , and develop the skill of linking theory to practice. See pp xv-xvii of the book, 'Tangled Webs: a User's Guide' for a fuller introduction.

By following the lives of people living in the fictional London Borough of Bexford, this resource allows you to explore complex situations, much as you might do as a practitioner in real life, and consider what ideas about human growth and development might inform your thinking and practice.

Choose if you would like to start your journey by exploring a particular case study or topic and click on the below button. Good luck!

• Browse All Articles
• Newsletter Sign-Up

GrowthandDevelopmentStrategy →

No results found in working knowledge.

• Were any results found in one of the other content buckets on the left?
• Try removing some search filters.
• Use different search filters.

An official website of the United States government

The .gov means it’s official. Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you’re on a federal government site.

The site is secure. The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.

• Publications
• Account settings

Preview improvements coming to the PMC website in October 2024. Learn More or Try it out now .

• Advanced Search
• Journal List
• J Pediatr (Rio J)
• v.97(4); Jul-Aug 2021

The potential impact of the COVID-19 pandemic on child growth and development: a systematic review

Liubiana arantes de araújo.

a Universidade Federal de Minas Gerais (UFMG), Faculdade de Medicina, Departamento de Pediatria, Belo Horizonte, MG, Brazil

Cássio Frederico Veloso

b Universidade Federal de Minas Gerais (UFMG), Faculdade de Medicina, Departamento de Psicologia, Belo Horizonte, MG, Brazil

Matheus de Campos Souza

c Universidade Federal de Minas Gerais (UFMG), Faculdade de Medicina, Departamento de Medicina/Psicologia, Belo Horizonte, MG, Brazil

João Marcos Coelho de Azevedo

Giulio tarro.

d Azienda Ospedaliera “D. Cotugno”, Naples, Italy

e Commissione sulle Biotecnologie della Virosfera, WABT – UNESCO, Paris, France

f University Thomas More U.P.T.M., Rome, Italy

g Beaumont Bonelli per Le Ricerche Sul Cancro (ONLUS), Naples, Italy

This was a systematic review of studies that examined the impact of epidemics or social restriction on mental and developmental health in parents and children/adolescents.

Source of data

The PubMed, WHO COVID-19, and SciELO databases were searched on March 15, 2020, and on April 25, 2020, filtering for children (0–18 years) and humans.

Synthesis of data

The tools used to mitigate the threat of a pandemic such as COVID-19 may very well threaten child growth and development. These tools — such as social restrictions, shutdowns, and school closures — contribute to stress in parents and children and can become risk factors that threaten child growth and development and may compromise the Sustainable Development Goals. The studies reviewed suggest that epidemics can lead to high levels of stress in parents and children, which begin with concerns about children becoming infected. These studies describe several potential mental and emotional consequences of epidemics such as COVID-19, H1N1, AIDS, and Ebola: severe anxiety or depression among parents and acute stress disorder, post-traumatic stress, anxiety disorders, and depression among children. These data can be related to adverse childhood experiences and elevated risk of toxic stress. The more adverse experiences, the greater the risk of developmental delays and health problems in adulthood, such as cognitive impairment, substance abuse, depression, and non-communicable diseases.

Information about the impact of epidemics on parents and children is relevant to policy makers to aid them in developing strategies to help families cope with epidemic/pandemic-driven adversity and ensure their children’s healthy development.

Introduction

There are scarce data about the impact of epidemics on children’s growth and development. Preserving children’s well-being during stressful times such as pandemics needs greater attention in the medical literature. Children’s health is one of the most important issues in the Sustainable Development Goals (SDGs), and science has shown that genetic predispositions are modified by environmental influences, such as those experienced during a pandemic, and affect learning capacities, adaptive behaviors, lifelong physical and mental health, and adult productivity.

Epidemics or pandemics, such as COVID-19, produce potential risks to child development due to the risk of illness, protective confinement, social isolation, and the increased stress level of parents and caregivers. This situation becomes an adverse childhood experience (ACEs) and may generate toxic stress, with consequent potential losses for brain development, individual and collective health, and the long-term impairment of cognition, mental and physical health, and working capacity of future adults.

Studies to improve the understanding of the impact of epidemics and pandemics such as COVID-19 on children’s mental health and development can help to guide strategies to prevent damage to children’s growth and promote positive development.

The COVID-19 pandemic has produced impacts on general health and child development through exposure to the virus and consequent infection, as well as through the social confinement recommended or mandated in an attempt to slow the progress of COVID-19, enable adequate medical care, and prevent the collapse of health care systems.

Consequently, the pandemic demands that millions of parents and caregivers demonstrate a high capacity for resilience to ensure protective health measures to prevent contagion. One of the pillars for overcoming adversity is interaction among people, which is compromised by isolation, leading to increased stress in both parents and children. In addition to general care and strategies to minimize stress, preserving children's well-being is an important focus, increasingly highlighted in medical literature. Children’s good health is one of the most important issues for the SDGs, and science demonstrates that genetic predispositions (biology) are modified by environmental influences (ecology) and affect learning capacities, adaptive behaviors, lifelong physical and mental health, and adult productivity. 1

From this perspective, there are several factors that influence the physical and mental health of children and adolescents experiencing the stress inherent in a pandemic, such as isolation itself, school shutdown, reduced social life and physical activities, changes to routine, sleep difficulties, exposure to disharmony at home, excessive screen use, unhealthy diet, and others. 2

Depending on levels and kinds of support, high and continuous stress may either be tolerable or become toxic to children and adolescents. ACEs are traumatic or stressful events that occur in childhood, such as abuse, neglect, domestic violence, and parents with substance dependence or mental illness. The pandemic can be understood as another source of ACE. 3

This review of the scientific literature about the impacts of isolation, environmental restriction, social distancing, and the challenges of maintaining general child health and development within the context of previous epidemics and the COVID-19 pandemic was undertaken in light of the above.

The guidelines from the Preferred Reporting Items for Systematic Reviews 4 were used to conduct this review of the scientific literature about the impacts on the general health, development, and mental health of children and adolescents as a result of previous epidemics and/or the COVID-19 pandemic.

Observational, cross-sectional, cohort, and ecological studies, case series, and systematic reviews, without language restrictions were included in the study. Studies of non-human subjects and experimental studies were excluded. The target population for this review was that aged 0–18 years, with no limitations related to gender, race or health condition.

The PubMed, World Health Organization (WHO) COVID-19 and SciELO databases were searched on March 15, 2020, and again on April 25, 2020. All articles were double-screened by two authors according to title and summary in order to answer the following research question: "What are the consequences of previous epidemics and the COVID-19 pandemic on children’s quality of life, health, and development?" Health descriptors for research and related terms derived from DeCS and MeSH were: child, stress, pandemic, Ebola, influenza pandemic, and COVID-19. Combinations of descriptors were: (Child AND stress AND [pandemic OR Ebola OR flu pandemic OR COVID-19]), (child AND COVID-19), (pandemic AND COVID-19 AND child).

All of the studies were assessed in relation to their characteristics, quality, and congruence with the theme. Each study’s summary was initially analyzed and those that did not meet the inclusion criteria were excluded. Papers whose full-text was included were reviewed by author. A list of references for each article was analyzed in an attempt to select additional articles related to the topic. Experts in the field also suggested certain articles. Two tools were used to measure the quality of the articles included in this review: CASP and AMSTAR 2 ( Fig. 1 ).

Screening profile.

From the PubMed platform, 80 articles were selected, of which 14 were analyzed and eight were included in this review. A search for the descriptors resulted in only two studies from the WHO COVID-19 database, neither of which was selected, since they did not meet the criteria of the present review. No articles containing the descriptors were found on the Scielo platform. One further article was retrieved by manual search. In total, nine studies were included in this review. The CASP checklist resulted in scores greater than 5 in six studies and one less than 5. Using the ASTAR 2 criteria, the quality of the systematic reviews included was classified as high high ( Table 1 ).

Summary of the studies included in this review.

The study by Almond describes poor educational and physical performance and lower income and socioeconomic status as adults in children whose mothers were infected by the Spanish flu during the 1918 pandemic. 5

The study by Wang et al. on the psychological consequences of the COVID-19 pandemic, investigated 1210 individuals, the majority female (67.3%), from families of three to five people (80.7%), with children (67.4%), in 194 Chinese cities. In total, 53.8% of respondents rated the psychological impact of the outbreak as moderate or severe, 16.5% reported moderate to severe depressive symptoms, 28.8% reported moderate to severe anxiety symptoms, and 8.1% reported moderate to severe levels of stress. The majority of respondents spent 20 to 24 h a day at home (84.7%) and stated that they were concerned about family members contracting COVID-19. The “parents” group had higher levels of stress, anxiety, and depression when compared with the “no children” group, a statistically significant difference, and the majority of parents stated that they were “very” or “somewhat worried” about a child getting COVID-19. 6

In another study, data were obtained from 586 parents interviewed in 2009 in the United States, Mexico, and Canada about the H1N1 pandemic. 7 The respondents were predominantly female (78%), with an average age of 37 years. In the investigation of factors related to child stress, the most common diagnosis was acute stress disorder (16.7%), while 6.2% of children had post-traumatic stress disorder (PTSD). A total of 44.4% reported that their children did not receive professional mental health support, while 93.2% of the parents did not receive psychological assistance from professionals. Of the children who had access to mental health services during the pandemic, the most common diagnosis was anxiety disorder (20%), while only 1.4% had PTSD. Additionally, the criteria for diagnosing PTSD were found in 30% of the confined children and in 25% of the parents (based on reports from 398 parents), which indicates the high traumatic potential of social isolation and living in conditions of constant fear due to the advance of the pandemic. 7

Sharp et al. studied the level of child stress in 466 children between the ages of 7–11 years in South Africa orphaned due to HIV/AIDS, based on responses to a questionnaire survey. Of the respondents, 51.93% were female. Most respondents were in serious financial difficulties: 57% of the respondents did not have adequate clothes, and 60% did not have adequate school uniforms. Only 49.1% received three main meals a day. Just over half of the orphans' families had an income, 75% of which were based on subsidy. In addition, 31.7% of the surveyed children met the criteria for anxiety disorder, 26 (5.6%) met the criteria for affective disorder, and 40.6% of the sample met the criteria for ADHD. 8

Kamara et al. described a mental health awareness and promotion project in the midst of a high fatality Ebola epidemic in Sierra Leone, in which a large number of people reported psychosocial problems. A total of 8700 people were infected and 3600 died, resulting in 3400 orphaned children. In the 143 interviews of patients attending the psychosocial and counseling clinic, 19% were aged 0–17 years, and half of the patients (71) experienced mild distress or depression, anxiety disorders, and grief or social problems, while 30 patients (21%) had psychosis and needed medication. Interventions took the form of individual care in hospitals aimed at improving the mental health of patients and professionals. 9

A cross-sectional study assessed the psychological distress of 117 patients having an average age of 34 years who had survived or had contacts with the Ebola epidemic in Nigeria. 10 Of the 117 respondents to a questionnaire, 78 (66.7%) were female of maternal age, 77 (65.8%) had a university education, and 45 (38.5%) were healthcare professionals. The death of a friend (OR = 6.0, 95% CI, 1.2–32.9) was significantly associated with feeling unhappy or depressed and with loss of ability to concentrate. Additionally, the most reported psychological suffering was “inability to focus on the task at hand” (38.5%) and “loss of sleep due to worry” (33.3%).

The systematic review by Lachman et al. focused on three important challenges for the protection of children's physical and mental integrity in the 21st century: poverty, HIV/AIDS, and wars, especially in less developed countries. 11 The review specifically addressed problems associated with the economic situation in African countries (in Nigeria, for example, 58% of boys, 44% of girls, and 55% of children under 4 years of age were in a state of chronic malnutrition), and the challenges faced by those orphaned due to HIV/AIDS. The study suggests interventions and presents statistical data regarding weak economies and insufficient investments in countries such as Nigeria and Namibia, as well as citing data on the situation of refugees and on the psychological impact of wars (10–20% of children exposed to war are susceptible to psychiatric disorders).

Xie et al. investigated symptoms of depression and anxiety among students in Hubei province, China, during the COVID-19 school closures through an online crowdsourcing platform. Out of 2330 students, 1784 agreed to participate (1012 boys, 56.7%). A total of 22.6% of students reported depressive symptoms, while 18.9% reported anxiety symptoms. They concluded that serious infectious diseases, such as COVID-19, may cause mental health problems in children and that more studies are needed on this issue. 12

Brooks et al. conducted a review of studies on the psychological impact of quarantine due to COVID-19. Most studies reported anxiety, stress, and depression. 13 From the surveys included in the review, data revealed that more than 20% (230 out of 1057 individuals) reported fear, 18% reported nervousness and 186 reported sadness. Additionally, pre-quarantine predictors were shown to influence the level of psychological impact — for example, having a history of psychiatric illness was associated with feelings of anxiety and anger, while lower levels of formal education, lower age (16–24 years), female gender, and having one child as opposed to no children (although having three or more children appeared somewhat protective) were also associated with negative psychological impacts. The longer the quarantine, the greater the levels of post-traumatic stress. Fear of infection, a lack of basic supplies, and unclear information from officials were associated with frustration and anger. Among the post-quarantine stressors analyzed, financial loss was considered to be a risk factor for psychological disorders. Another study compared post-traumatic stress symptoms in quarantined parents and children with those who were not quarantined, revealing higher mean post-traumatic stress scores in children who had been quarantined than those who had not. Conversely, one study found that, although very few participants were extremely concerned about becoming infected or transmitting the virus to others, those who were concerned tended to be pregnant women and those with young children. Finally, the review proposed activities to mitigate the consequences of isolation, which included providing the population with as much clear information as possible, providing adequate supplies, seeking to reduce stress, and providing organizational support for health-care professionals. 13

The COVID-19 pandemic has imposed a number of changes on daily routines needed to preserve individual health. Meanwhile, it is important to note that children around the world continue to grow and develop. In this scenario, one priority challenge is identifying and discussing pandemic-related factors that can negatively affect children’s growth and development and impair each child’s full potential, in order to develop prevention strategies that enable a healthier and more productive population over both the short and long term.

The scientific literature describes healthy pregnancy, balanced nutrition, immunity to diseases, restful sleep, a family environment rich in positive stimuli, and a high-quality educational system as the fundamentals for optimal child growth and development. 14 All these fundamentals are relevant to the prevention of toxic stress and for the development of strong and lasting neural connections in the child's brain. 15

The high level of stress that humanity is experiencing as a result of the COVID-19 pandemic may generate tolerable or toxic stress for children and adolescents, depending on if and how support is ensured. Under the appropriate care and support of adults who provide children with constant feelings of security and affection, the child’s body reorganizes itself biochemically and quickly returns to levels of physiological functioning without further damage. 16 However, when this support is non-existent or inadequate, a failure of the body's functions to return to basal level primarily impacts the cardiovascular and neurological systems, with consequent irreversible loss of connections in the infant brain, due to toxic stress. 17 , 18

Several factors related to the pandemic are recognized as ACEs and negatively interfere in the construction and structuring of the child's brain architecture. 19 , 20 Restrictive social and economic reconfigurations, the fear of contagion, illness caused by COVID-19, isolated family life, school closures, the lack of support networks for other adults, the loss of loved ones, the difficulty of combining working from home with full-time childcare, financial challenges, increased exposure to pre-existing vulnerabilities (such as domestic violence, drug use, and mental illness in family members) can result in toxic stress, which will increase according to the sum of ACEs. 21

The literature demonstrates that, for both parents and children, sleep routines and the balance of daily activities are usually altered during social isolation. In this context, the quality and duration of sleep may be irregular, the level of physical and outdoor activities substantially decreases, and the use of electronic devices such as TVs, cell phones and tablets (screen time) increases. 2 These changes prevent child development from reaching its full potential. 22

An increase in parental stress levels during a pandemic, a factor that directly interferes in children's quality of life, is therefore evident. 6 Anxiety, excessive concern with cleanliness, excessive fear of falling ill or losing a loved one, concern for the elderly, increased domestic accidents, mood disorders, anxiety disorder, panic, or obsessive-compulsive disorder, and post-traumatic stress are consequences that children and adolescents may experience, according to research into pandemic situations similar to the current one. 7 , 23

In addressing the challenges for pregnant women during pandemics, fetal losses caused by possible maternal infection have been investigated; however, losses due to secondary causes, such as mood changes during pregnancy and in the postpartum period are also relevant. 24 , 25

The literature reveals that maternal anxiety and depression during pregnancy are related to impairments in children’s neurodevelopment and predispose increased behavioral disorders. 5

Although there are no consolidated studies on the possible impacts of COVID-19 on the health of pregnant women and their children, especially over the long term, the maternal stress caused during this period is a problem that needs to be more widely addressed. 26

Genetic developmental programming is strongly influenced by the environment. In an environment with social restrictions — where play and leisure activities are only possible within the home environment; where people wear masks and the learning of facial expressions, communication, and language is restricted; and where demonstrating affection is discouraged by many — there is a tendency towards limitations in the formation of certain areas of the brain, including the social brain, with consequent impairment in the acquisition of cognitive, behavioral, social, and communication skills. 27

Social isolation taken as a prophylactic measure during pandemics is important, but may have several negative impacts — such as anxiety and stress in adults and also in children — since free socialization and relationships are important for well-being, increasing social behaviors and stimulating synaptic connections, favoring the construction of the social brain. Physical activities relevant to adequate physical conditioning, emotional well-being, and growth and development in childhood are also restricted. 28 , 29

Studies comparing the symptoms of post-traumatic stress in parents and children confined in pandemic situations with those of families in normal routines indicate that stress levels are four times higher for children who have been in quarantine. 7

During pandemics such as the current one, one common measure is suspending in-person school activities to aid in controlling the spread of the virus. The possible ways and times to carry out such activities are heavily discussed in the scientific context and their impacts affect families in different ways.

The effectiveness of school shutdown as a measure to combat the spread of epidemics such as COVID-19 has been discussed. 30 Viner et al. examined 16 studies (ten studies of the SARS outbreak in 2003, one of other coronavirus epidemics, and five addressing COVID-19) and found scarce data relating to the effectiveness of closing schools to control COVID-19. Although some studies point to the effectiveness of school closure as part of a general package of social isolation measures, some studies using models indicate divergent results, while an isolated analysis of school shutdown was not found. In addition, school closure in cases of virus pandemic appeared to have better results when transmission was greater in children than adults, unlike with COVID-19.

A modeling study by Bayham et al. included information from 3.1-million American individuals and estimated the impact of school shutdown on healthcare professionals involved in the care of children between the ages of 3–13 years. 31 They concluded that, although there may be a decrease in COVID-19 mortality due to a reduction in cases as a result of school closures, loss of children’s access to school healthcare workers may result in an increase in mortality, i.e ., the net benefit of closures may be lower. A definitive conclusion could not be reached because the real damage to the health-related workforce and of possible social interactions to address this problem (local care networks and family for example) was not definitively known.

Kim et al., in a 2020 study based on a mathematical model that evaluated populations in two groups, one aged 19 years or below and another aged over 19, using a susceptibility-exposure-infection-recovery model to analyze school closure in Korea, concluded that this approach was essential in mitigating the COVID-19 epidemic. 32 They added that maintaining the suspension of classes would save 255 children in the Korean population, factoring a 30-fold increase in infection rate among students returning to school.

In families with more favorable socioeconomic conditions, children and caregivers need to adapt to a distance-learning model. This can generate increased demands for parents to provide guidance to their children about the excessive use of electronic devices (screen time). It is also important to note that, in many cases, closing schools in less developed countries causes a total shutdown of learning activities, since the socioeconomic reality of a large portion of the population prevents access to distance education projects using the internet. 2

In these countries, children have access to a range of playful, evaluative, extracurricular and socialization activities at school, and school closure therefore involves a substantial loss in the teaching/learning and socialization processes. In addition, a number of public policies take place in schools — mainly in public institutions — such as balanced and free food programs, guidance about personal hygiene, sports projects, citizenship incentives, and others.

In a context in which children spend the whole day at home, 33 there are increased lonely periods and moments for child self-care. Situations such as these are fragile, particularly for children under 13 years of age who care for younger siblings without assistance from adults, which can cause an increased risk of domestic accidents, serious behavioral impacts and developmental disorders, such as selective mutism, speech delay, social interaction deficits, and others. Other possible consequences of school closures are the possibility that child abuse may remain unreported and that the longer the period of school closures the higher the possibility that the child will never return to school.

There are also nutritional risks and other impacts on children’s growth and development. The literature demonstrates that a lack of basic supplies such as food, water, and clothing causes frustration and has been consistently associated with anxiety, months after quarantine in previous epidemics. 13

The causal factors of social contexts already related to dietary errors, child malnutrition, or obesity worsens due to decreased public support for the vulnerable (closures or limited functioning of schools that provide food, NGOs, and popular restaurants) with consequent difficulties with healthy nutrition.

The pandemic, by restricting the maintenance of outside activities and weight loss programs, encourages a sedentary lifestyle due to social distancing and a ban on attending gyms, parks, and leisure areas, alongside an increase in the consumption of canned food (high in sodium) and industrialized foods (with a longer shelf life) containing less essential nutrients for the developing brain, resulting in a negative impact on the growth of children and adolescents.

It is therefore important to anticipate malnutrition and childhood obesity classically associated with a higher incidence of respiratory infections and precarious immune response. In addition, there is a clear tendency for such patients to get worse due to these factors, and this may continue for many months after the pandemic has ended, due to a growing economic crisis and accentuated social vulnerabilities.

In turn, a cross-section of 1319 American adults — including 284 fathers — suggested that 68% of fathers feel closer or much closer to their children since the pandemic. 34

This increased involvement with their fathers can have many benefits for kids, including strengthening cognitive and emotional development and increasing the chances of academic and career success and life satisfaction. 35

Child toxic stress in previously unstructured homes

The pandemic experience of COVID-19 aggravates the rates of substance abuse, domestic violence, and untreated and pre-existing mental health problems. 2 Many caregivers have experienced symptoms of post-traumatic stress, confusion, anxiety, and anger. This leads to caregivers having a greater predisposition to mental health problems, compounded by the reduced availability of elective care, while users of illicit substances face increased levels of stress, and families with a history of domestic violence do not benefit from the supervision of guardianship services. 13 , 36

Issues such as these become even more relevant when analyzing children previously exposed to vulnerable domestic environments and who, through social isolation, are confined full time. 37 , 38 Added to this is the child's inability to access external support networks, such as school, tutoring services, friendly environments, and play activities.

It is thus evident that social isolation should be evaluated as a contributing factor for environments inappropriate to children's mental health. It is also necessary to understand that, in many homes, social isolation amplifies the harmful experiences that the child has faced for a long time, without the possibility of minimizing psychological aggression and resulting in toxic stress. There is therefore an urgent need for psychosocial support, especially for families that had already displayed risk factors for healthy child development prior to the pandemic.

Strategies for preventing health problems and promoting child growth and development

Around the world, millions of children live with ACEs and many adults live with their legacy. Scientific findings suggest that a 10% reduction in ACE prevalence could equate to annual savings of three million disability-adjusted life years (DALYs) or $105 billion. Programs to prevent ACEs and moderate their effects are hugely important, in line with SDG priorities. Rebalancing expenditures towards ensuring safe and nurturing childhoods is economically beneficial and would relieve pressures on healthcare systems. 3

Initiatives that have a great impact on the general and mental health of children and adolescents include: public health education and family support strategies; parental training in organizing play, physical activities, a balanced diet, appropriate screen time and content, mindfulness techniques, moments to share anguish, listening time for children, the transmission of a sense of security and resilience, affection, and reciprocity in relationships between parents and children; satisfactory school learning; and specialized treatment for children who suffer toxic stress and its consequences. 21 , 27 , 29

This systematic review has several limitations. Firstly, due to the immediacy imposed by the COVID-19 pandemic, this study was conducted in mere months. Secondly, the review revealed a scarcity of publications that address the topic of child development and health in epidemic contexts, which reflects the continued inadequate focus on child development and its determinants.

Conclusions

The COVID-19 pandemic has produced high morbidity and mortality rates within the global population, 39 as well as risk factors for healthy growth and development among children. The increase in parental stress, the suspension of classroom activities, social isolation measures, nutritional risks, children’s exposure to toxic stress, especially in previously unstructured homes, and a lack of physical activities are some of the factors found in the literature.

In the face of this pandemic, the creation of activities to promote health and healthy development and prevent toxic stress becomes a priority in order to improve the individual health of children and adolescents and their families, the health of the community, and the intellectual and working capacity of these individuals over the long term, with positive economic and social results for each nation, in order to ensure that the SDGs are fulfilled.

Conflicts of interest

The authors declare no conflicts of interest.

Acknowledgments

To librarian Marilene da Conceição Felix da Silva, who organized the reference list, and and to Warren Ediger, for grammar and spelling review.

Child Growth and Development

(12 reviews)

Jennifer Paris

Antoinette Ricardo

Dawn Rymond

Alexa Johnson

Copyright Year: 2018

Last Update: 2019

Publisher: College of the Canyons

Language: English

Formats Available

Conditions of use.

Learn more about reviews.

Reviewed by Mistie Potts, Assistant Professor, Manchester University on 11/22/22

This text covers some topics with more detail than necessary (e.g., detailing infant urination) yet it lacks comprehensiveness in a few areas that may need revision. For example, the text discusses issues with vaccines and offers a 2018 vaccine... read more

Comprehensiveness rating: 4 see less

This text covers some topics with more detail than necessary (e.g., detailing infant urination) yet it lacks comprehensiveness in a few areas that may need revision. For example, the text discusses issues with vaccines and offers a 2018 vaccine schedule for infants. The text brushes over “commonly circulated concerns” regarding vaccines and dispels these with statements about the small number of antigens a body receives through vaccines versus the numerous antigens the body normally encounters. With changes in vaccines currently offered, shifting CDC viewpoints on recommendations, and changing requirements for vaccine regulations among vaccine producers, the authors will need to revisit this information to comprehensively address all recommended vaccines, potential risks, and side effects among other topics in the current zeitgeist of our world.

Content Accuracy rating: 3

At face level, the content shared within this book appears accurate. It would be a great task to individually check each in-text citation and determine relevance, credibility and accuracy. It is notable that many of the citations, although this text was updated in 2019, remain outdated. Authors could update many of the in-text citations for current references. For example, multiple in-text citations refer to the March of Dimes and many are dated from 2012 or 2015. To increase content accuracy, authors should consider revisiting their content and current citations to determine if these continue to be the most relevant sources or if revisions are necessary. Finally, readers could benefit from a reference list in this textbook. With multiple in-text citations throughout the book, it is surprising no reference list is provided.

Relevance/Longevity rating: 4

This text would be ideal for an introduction to child development course and could possibly be used in a high school dual credit or beginning undergraduate course or certificate program such as a CDA. The outdated citations and formatting in APA 6th edition cry out for updating. Putting those aside, the content provides a solid base for learners interested in pursuing educational domains/careers relevant to child development. Certain issues (i.e., romantic relationships in adolescence, sexual orientation, and vaccination) may need to be revisited and updated, or instructors using this text will need to include supplemental information to provide students with current research findings and changes in these areas.

Clarity rating: 4

The text reads like an encyclopedia entry. It provides bold print headers and brief definitions with a few examples. Sprinkled throughout the text are helpful photographs with captions describing the images. The words chosen in the text are relatable to most high school or undergraduate level readers and do not burden the reader with expert level academic vocabulary. The layout of the text and images is simple and repetitive with photographs complementing the text entries. This allows the reader to focus their concentration on comprehension rather than deciphering a more confusing format. An index where readers could go back and search for certain terms within the textbook would be helpful. Additionally, a glossary of key terms would add clarity to this textbook.

Consistency rating: 5

Chapters appear in a similar layout throughout the textbook. The reader can anticipate the flow of the text and easily identify important terms. Authors utilized familiar headings in each chapter providing consistency to the reader.

Modularity rating: 4

Given the repetitive structure and the layout of the topics by developmental issues (physical, social emotional) the book could be divided into sections or modules. It would be easier if infancy and fetal development were more clearly distinct and stages of infant development more clearly defined, however the book could still be approached in sections or modules.

Organization/Structure/Flow rating: 4

The text is organized in a logical way when we consider our own developmental trajectories. For this reason, readers learning about these topics can easily relate to the flow of topics as they are presented throughout the book. However, when attempting to find certain topics, the reader must consider what part of development that topic may inhabit and then turn to the portion of the book aligned with that developmental issue. To ease the organization and improve readability as a reference book, authors could implement an index in the back of the book. With an index by topic, readers could quickly turn to pages covering specific topics of interest. Additionally, the text structure could be improved by providing some guiding questions or reflection prompts for readers. This would provide signals for readers to stop and think about their comprehension of the material and would also benefit instructors using this textbook in classroom settings.

Interface rating: 4

The online interface for this textbook did not hinder readability or comprehension of the text. All information including photographs, charts, and diagrams appeared to be clearly depicted within this interface. To ease reading this text online authors should create a live table of contents with bookmarks to the beginning of chapters. This book does not offer such links and therefore the reader must scroll through the pdf to find each chapter or topic.

Grammatical Errors rating: 5

No grammatical errors were found in reviewing this textbook.

Cultural Relevance rating: 3

Cultural diversity is represented throughout this text by way of the topics described and the images selected. The authors provide various perspectives that individuals or groups from multiple cultures may resonate with including parenting styles, developmental trajectories, sexuality, approaches to feeding infants, and the social emotional development of children. This text could expand in the realm of cultural diversity by addressing current issues regarding many of the hot topics in our society. Additionally, this textbook could include other types of cultural diversity aside from geographical location (e.g., religion-based or ability-based differences).

While this text lacks some of the features I would appreciate as an instructor (e.g., study guides, review questions, prompts for critical thinking/reflection) and it does not contain an index or glossary, it would be appropriate as an accessible resource for an introduction to child development. Students could easily access this text and find reliable and easily readable information to build basic content knowledge in this domain.

Reviewed by Caroline Taylor, Instructor, Virginia Tech on 12/30/21

Each chapter is comprehensively described and organized by the period of development. Although infancy and toddlerhood are grouped together, they are logically organized and discussed within each chapter. One helpful addition that would largely... read more

Each chapter is comprehensively described and organized by the period of development. Although infancy and toddlerhood are grouped together, they are logically organized and discussed within each chapter. One helpful addition that would largely contribute to the comprehensiveness is a glossary of terms at the end of the text.

From my reading, the content is accurate and unbiased. However, it is difficult to confidently respond due to a lack of references. It is sometimes clear where the information came from, but when I followed one link to a citation the link was to another textbook. There are many citations embedded within the text, but it would be beneficial (and helpful for further reading) to have a list of references at the end of each chapter. The references used within the text are also older, so implementing updated references would also enhance accuracy. If used for a course, instructors will need to supplement the textbook readings with other materials.

This text can be implemented for many semesters to come, though as previously discussed, further readings and updated materials can be used to supplement this text. It provides a good foundation for students to read prior to lectures.

Clarity rating: 5

This text is unique in its writing style for a textbook. It is written in a way that is easily accessible to students and is also engaging. The text doesn't overly use jargon or provide complex, long-winded examples. The examples used are clear and concise. Many key terms are in bold which is helpful to the reader.

For the terms that are in bold, it would be helpful to have a definition of the term listed separately on the page within the side margins, as well as include the definition in a glossary at the end.

Each period of development is consistently described by first addressing physical development, cognitive development, and then social-emotional development.

Modularity rating: 5

This text is easily divisible to assign to students. There were few (if any) large blocks of texts without subheadings, graphs, or images. This feature not only improves modularity but also promotes engagement with the reading.

Organization/Structure/Flow rating: 5

The organization of the text flows logically. I appreciate the order of the topics, which are clearly described in the first chapter by each period of development. Although infancy and toddlerhood are grouped into one period of development, development is appropriately described for both infants and toddlers. Key theories are discussed for infants and toddlers and clearly presented for the appropriate age.

Interface rating: 5

There were no significant interface issues. No images or charts were distorted.

It would be helpful to the reader if the table of contents included a navigation option, but this doesn't detract from the overall interface.

I did not see any grammatical errors.

This text includes some cultural examples across each area of development, such as differences in first words, parenting styles, personalities, and attachments styles (to list a few). The photos included throughout the text are inclusive of various family styles, races, and ethnicities. This text could implement more cultural components, but does include some cultural examples. Again, instructors can supplement more cultural examples to bolster the reading.

This text is a great introductory text for students. The text is written in a fun, approachable way for students. Though the text is not as interactive (e.g., further reading suggestions, list of references, discussion points at the end of each chapter, etc.), this is a great resource to cover development that is open access.

Reviewed by Charlotte Wilinsky, Assistant Professor of Psychology, Holyoke Community College on 6/29/21

This text is very thorough in its coverage of child and adolescent development. Important theories and frameworks in developmental psychology are discussed in appropriate depth. There is no glossary of terms at the end of the text, but I do not... read more

Comprehensiveness rating: 5 see less

This text is very thorough in its coverage of child and adolescent development. Important theories and frameworks in developmental psychology are discussed in appropriate depth. There is no glossary of terms at the end of the text, but I do not think this really hurts its comprehensiveness.

Content Accuracy rating: 5

The citations throughout the textbook help to ensure its accuracy. However, the text could benefit from additional references to recent empirical studies in the developmental field.

It seems as if updates to this textbook will be relatively easy and straightforward to implement given how well organized the text is and its numerous sections and subsections. For example, a recent narrative review was published on the effects of corporal punishment (Heilmann et al., 2021). The addition of a reference to this review, and other more recent work on spanking and other forms of corporal punishment, could serve to update the text's section on spanking (pp. 223-224; p. 418).

The text is very clear and easily understandable.

Consistency rating: 4

There do not appear to be any inconsistencies in the text. The lack of a glossary at the end of the text may be a limitation in this area, however, since glossaries can help with consistent use of language or clarify when different terms are used.

This textbook does an excellent job of dividing up and organizing its chapters. For example, chapters start with bulleted objectives and end with a bulleted conclusion section. Within each chapter, there are many headings and subheadings, making it easy for the reader to methodically read through the chapter or quickly identify a section of interest. This would also assist in assigning reading on specific topics. Additionally, the text is broken up by relevant photos, charts, graphs, and diagrams, depending on the topic being discussed.

This textbook takes a chronological approach. The broad developmental stages covered include, in order, birth and the newborn, infancy and toddlerhood, early childhood, middle childhood, and adolescence. Starting with the infancy and toddlerhood stage, physical, cognitive, and social emotional development are covered.

There are no interface issues with this textbook. It is easily accessible as a PDF file. Images are clear and there is no distortion apparent.

I did not notice any grammatical errors.

Cultural Relevance rating: 4

This text does a good job of including content relevant to different cultures and backgrounds. One example of this is in the "Cultural Influences on Parenting Styles" subsection (p. 222). Here the authors discuss how socioeconomic status and cultural background can affect parenting styles. Including references to specific studies could further strengthen this section, and, more broadly, additional specific examples grounded in research could help to fortify similar sections focused on cultural differences.

Overall, I think this is a terrific resource for a child and adolescent development course. It is user-friendly and comprehensive.

Reviewed by Lois Pribble, Lecturer, University of Oregon on 6/14/21

This book provides a really thorough overview of the different stages of development, key theories of child development and in-depth information about developmental domains. read more

This book provides a really thorough overview of the different stages of development, key theories of child development and in-depth information about developmental domains.

The book provides accurate information, emphasizes using data based on scientific research, and is stated in a non-biased fashion.

Relevance/Longevity rating: 5

The book is relevant and provides up-to-date information. There are areas where updates will need to be made as research and practices change (e.g., autism information), but it is written in a way where updates should be easy to make as needed.

The book is clear and easy to read. It is well organized.

Good consistency in format and language.

It would be very easy to assign students certain chapters to read based on content such as theory, developmental stages, or developmental domains.

Very well organized.

Clear and easy to follow.

I did not find any grammatical errors.

Cultural Relevance rating: 5

General content related to culture was infused throughout the book. The pictures used were of children and families from a variety of cultures.

This book provides a very thorough introduction to child development, emphasizing child development theories, stages of development, and developmental domains.

Reviewed by Nancy Pynchon, Adjunct Faculty, Middlesex Community College on 4/14/21

Overall this textbook is comprehensive of all aspects of children's development. It provided a brief introduction to the different relevant theorists of childhood development . read more

Overall this textbook is comprehensive of all aspects of children's development. It provided a brief introduction to the different relevant theorists of childhood development .

Content Accuracy rating: 4

Most of the information is accurately written, there is some outdated references, for example: Many adults can remember being spanked as a child. This method of discipline continues to be endorsed by the majority of parents (Smith, 2012). It seems as though there may be more current research on parent's methods of discipline as this information is 10 years old. (page 223).

The content was current with the terminology used.

Easy to follow the references made in the chapters.

Each chapter covers the different stages of development and includes the theories of each stage with guided information for each age group.

The formatting of the book makes it reader friendly and easy to follow the content.

Very consistent from chapter to chapter.

Provided a lot of charts and references within each chapter.

Formatted and written concisely.

Included several different references to diversity in the chapters.

There was no glossary at the end of the book and there were no vignettes or reflective thinking scenarios in the chapters. Overall it was a well written book on child development which covered infancy through adolescents.

Reviewed by Deborah Murphy, Full Time Instructor, Rogue Community College on 1/11/21

The text is excellent for its content and presentation. The only criticism is that neither an index nor a glossary are provided. read more

Comprehensiveness rating: 3 see less

The text is excellent for its content and presentation. The only criticism is that neither an index nor a glossary are provided.

The material seems very accurate and current. It is well written. It is very professionally done and is accessible to students.

This text addresses topics that will serve this field in positive ways that should be able to address the needs of students and instructors for the next several years.

Complex concepts are delivered accurately and are still accessible for students . Figures and tables complement the text . Terms are explained and are embedded in the text, not in a glossary. I do think indices and glossaries are helpful tools. Terminology is highlighted with bold fonts to accentuate definitions.

Yes the text is consistent in its format. As this is a text on Child Development it consistently addresses each developmental domain and then repeats the sequence for each age group in childhood. It is very logically presented.

Yes this text is definitely divisible. This text addresses development from conception to adolescents. For the community college course that my department wants to use it is very adaptable. Our course ends at middle school age development; our courses are offered on a quarter system. This text is adaptable for the content and our term time schedule.

This text book flows very clearly from Basic principles to Conception. It then divides each stage of development into Physical, Cognitive and Social Emotional development. Those concepts and information are then repeated for each stage of development. e.g. Infants and Toddler-hood, Early Childhood, and Middle Childhood. It is very clearly presented.

It is very professionally presented. It is quite attractive in its presentation .

I saw no errors

The text appears to be aware of being diverse and inclusive both in its content and its graphics. It discusses culture and represents a variety of family structures representing contemporary society.

It is wonderfully researched. It will serve our students well. It is comprehensive and constructed very well. I have enjoyed getting familiar with this text and am looking forward to using it with my students in this upcoming term. The authors have presented a valuable, well written book that will be an addition to our field. Their scholarly efforts are very apparent. All of this text earns high grades in my evaluation. My only criticism is, as mentioned above, is that there is not a glossary or index provided. All citations are embedded in the text.

Reviewed by Ida Weldon, Adjunct Professor, Bunker Hill Community College on 6/30/20

The overall comprehensiveness was strong. However, I do think some sections should have been discussed with more depth read more

The overall comprehensiveness was strong. However, I do think some sections should have been discussed with more depth

Most of the information was accurate. However, I think more references should have been provided to support some claims made in the text.

The material appeared to be relevant. However, it did not provide guidance for teachers in addressing topics of social justice, equality that most children will ask as they try to make sense of their environment.

The information was presented (use of language) that added to its understand-ability. However, I think more discussions and examples would be helpful.

The text appeared to be consistent. The purpose and intent of the text was understandable throughout.

The text can easily be divided into smaller reading sections or restructured to meet the needs of the professor.

The organization of the text adds to its consistency. However, some sections can be included in others decreasing the length of the text.

Interface issues were not visible.

The text appears to be free of grammatical errors.

While cultural differences are mentioned, more time can be given to helping teachers understand and create a culturally and ethnically focused curriculum.

The textbook provides a comprehensive summary of curriculum planing for preschool age children. However, very few chapters address infant/toddlers.

Reviewed by Veronica Harris, Adjunct Faculty, Northern Essex Community College on 6/28/20

This text explores child development from genetics, prenatal development and birth through adolescence. The text does not contain a glossary. However, the Index is clear. The topics are sequential. The text addresses the domains of physical,... read more

This text explores child development from genetics, prenatal development and birth through adolescence. The text does not contain a glossary. However, the Index is clear. The topics are sequential. The text addresses the domains of physical, cognitive and social emotional development. It is thorough and easy to read. The theories of development are inclusive to give the reader a broader understanding on how the domains of development are intertwined. The content is comprehensive, well - researched and sequential. Each chapter begins with the learning outcomes for the upcoming material and closes with an outline of the topics covered. Furthermore, a look into the next chapter is discussed.

The content is accurate, well - researched and unbiased. An historical context is provided putting content into perspective for the student. It appears to be unbiased.

Updated and accurate research is evidenced in the text. The text is written and organized in such a way that updates can be easily implemented. The author provides theoretical approaches in the psychological domains with examples along with real - life scenarios providing meaningful references invoking understanding by the student.

The text is written with clarity and is easily understood. The topics are sequential, comprehensive and and inclusive to all students. This content is presented in a cohesive, engaging, scholarly manner. The terminology used is appropriate to students studying Developmental Psychology spanning from birth through adolescents.

The book's approach to the content is consistent and well organized. . Theoretical contexts are presented throughout the text.

The text contains subheadings chunking the reading sections which can be assigned at various points throughout the course. The content flows seamlessly from one idea to the next. Written chronologically and subdividing each age span into the domains of psychology provides clarity without overwhelming the reader.

The book begins with an overview of child development. Next, the text is divided logically into chapters which focus on each developmental age span. The domains of each age span are addressed separately in subsequent chapters. Each chapter outlines the chapter objectives and ends with an outline of the topics covered and share an idea of what is to follow.

Pages load clearly and consistently without distortion of text, charts and tables. Navigating through the pages is met with ease.

The text is written with no grammatical or spelling errors.

The text did not present with biases or insensitivity to cultural differences. Photos are inclusive of various cultures.

The thoroughness, clarity and comprehensiveness promote an approach to Developmental Psychology that stands alongside the best of texts in this area. I am confident that this text encompasses all the required elements in this area.

Reviewed by Kathryn Frazier, Assistant Professor, Worcester State University on 6/23/20

This is a highly comprehensive, chronological text that covers genetics and conception through adolescence. All major topics and developmental milestones in each age range are given adequate space and consideration. The authors take care to... read more

This is a highly comprehensive, chronological text that covers genetics and conception through adolescence. All major topics and developmental milestones in each age range are given adequate space and consideration. The authors take care to summarize debates and controversies, when relevant and include a large amount of applied / practical material. For example, beyond infant growth patterns and motor milestone, the infancy/toddler chapters spend several pages on the mechanics of car seat safety, best practices for introducing solid foods (and the rationale), and common concerns like diaper rash. In addition to being generally useful information for students who are parents, or who may go on to be parents, this text takes care to contextualize the psychological research in the lived experiences of children and their parents. This is an approach that I find highly valuable. While the text does not contain an index, the search & find capacity of OER to make an index a deal-breaker for me.

The text includes accurate information that is well-sourced. Relevant debates, controversies and historical context is also provided throughout which results in a rich, balanced text.

This text provides an excellent summary of classic and updated developmental work. While the majority of the text is skewed toward dated, classic work, some updated research is included. Instructors may wish to supplement this text with more recent work, particularly that which includes diverse samples and specifically addresses topics of class, race, gender and sexual orientation (see comment below regarding cultural aspects).

The text is written in highly accessible language, free of jargon. Of particular value are the many author-generated tables which clearly organize and display critical information. The authors have also included many excellent figures, which reinforce and visually organize the information presented.

This text is consistent in its use of terminology. Balanced discussion of multiple theoretical frameworks are included throughout, with adequate space provided to address controversies and debates.

The text is clearly organized and structured. Each chapter is self-contained. In places where the authors do refer to prior or future chapters (something that I find helps students contextualize their reading), a complete discussion of the topic is included. While this may result in repetition for students reading the text from cover to cover, the repetition of some content is not so egregious that it outweighs the benefit of a flexible, modular textbook.

Excellent, clear organization. This text closely follows the organization of published textbooks that I have used in the past for both lifespan and child development. As this text follows a chronological format, a discussion of theory and methods, and genetics and prenatal growth is followed by sections devoted to a specific age range: infancy and toddlerhood, early childhood (preschool), middle childhood and adolescence. Each age range is further split into three chapters that address each developmental domain: physical, cognitive and social emotional development.

All text appears clearly and all images, tables and figures are positioned correctly and free of distortion.

The text contains no spelling or grammatical errors.

While this text provides adequate discussion of gender and cross-cultural influences on development, it is not sufficient. This is not a problem unique to this text, and is indeed a critique I have of all developmental textbooks. In particular, in my view this text does not adequately address the role of race, class or sexual orientation on development.

All in all, this is a comprehensive and well-written textbook that very closely follows the format of standard chronologically-organized child development textbooks. This is a fantastic alternative for those standard texts, with the added benefit of language that is more accessible, and content that is skewed toward practical applications.

Reviewed by Tony Philcox, Professor, Valencia College on 6/4/20

The subject of this book is Child Growth and Development and as such covers all areas and ideas appropriate for this subject. This book has an appropriate index. The author starts out with a comprehensive overview of Child Development in the... read more

The subject of this book is Child Growth and Development and as such covers all areas and ideas appropriate for this subject. This book has an appropriate index. The author starts out with a comprehensive overview of Child Development in the Introduction. The principles of development were delineated and were thoroughly presented in a very understandable way. Nine theories were presented which gave the reader an understanding of the many authors who have contributed to Child Development. A good backdrop to start a conversation. This book discusses the early beginnings starting with Conception, Hereditary and Prenatal stages which provides a foundation for the future developmental stages such as infancy, toddler, early childhood, middle childhood and adolescence. The three domains of developmental psychology – physical, cognitive and social emotional are entertained with each stage of development. This book is thoroughly researched and is written in a way to not overwhelm. Language is concise and easily understood.

This book is a very comprehensive and detailed account of Child Growth and Development. The author leaves no stone unturned. It has the essential elements addressed in each of the developmental stages. Thoroughly researched and well thought out. The content covered was accurate, error-free and unbiased.

The content is very relevant to the subject of Child Growth and Development. It is comprehensive and thoroughly researched. The author has included a number of relevant subjects that highlight the three domains of developmental psychology, physical, cognitive and social emotional. Topics are included that help the student see the relevancy of the theories being discussed. Any necessary updates along the way will be very easy and straightforward to insert.

The text is easily understood. From the very beginning of this book, the author has given the reader a very clear message that does not overwhelm but pulls the reader in for more information. The very first chapter sets a tone for what is to come and entices the reader to learn more. Well organized and jargon appropriate for students in a Developmental Psychology class.

This book has all the ingredients necessary to address Child Growth and Development. Even at the very beginning of the book the backdrop is set for future discussions on the stages of development. Theorists are mentioned and embellished throughout the book. A very consistent and organized approach.

This book has all the features you would want. There are textbooks that try to cover too much in one chapter. In this book the sections are clearly identified and divided into smaller and digestible parts so the reader can easily comprehend the topic under discussion. This book easily flows from one subject to the next. Blocks of information are being built, one brick on top of another as you move through the domains of development and the stages of development.

This book starts out with a comprehensive overview in the introduction to child development. From that point forward it is organized into the various stages of development and flows well. As mentioned previously the information is organized into building blocks as you move from one stage to the next.

The text does not contain any significant interface issued. There are no navigation problems. There is nothing that was detected that would distract or confuse the reader.

There are no grammatical errors that were identified.

This book was not culturally insensitive or offensive in any way.

This book is clearly a very comprehensive approach to Child Growth and Development. It contains all the essential ingredients that you would expect in a discussion on this subject. At the very outset this book went into detail on the principles of development and included all relevant theories. I was never left with wondering why certain topics were left out. This is undoubtedly a well written, organized and systematic approach to the subject.

Reviewed by Eleni Makris, Associate Professor, Northeastern Illinois University on 5/6/20

This book is organized by developmental stages (infancy, toddler, early childhood, middle childhood and adolescence). The book begins with an overview of conception and prenatal human development. An entire chapter is devoted to birth and... read more

This book is organized by developmental stages (infancy, toddler, early childhood, middle childhood and adolescence). The book begins with an overview of conception and prenatal human development. An entire chapter is devoted to birth and expectations of newborns. In addition, there is a consistency to each developmental stage. For infancy, early childhood, middle childhood, and adolescence, the textbook covers physical development, cognitive development, and social emotional development for each stage. While some textbooks devote entire chapters to themes such as physical development, cognitive development, and social emotional development and write about how children change developmentally in each stage this book focuses on human stages of development. The book is written in clear language and is easy to understand.

There is so much information in this book that it is a very good overview of child development. The content is error-free and unbiased. In some spots it briefly introduces multicultural traditions, beliefs, and attitudes. It is accurate for the citations that have been provided. However, it could benefit from updating to research that has been done recently. I believe that if the instructor supplements this text with current peer-reviewed research and organizations that are implementing what the book explains, this book will serve as a strong source of information.

While the book covers a very broad range of topics, many times the citations have not been updated and are often times dated. The content and information that is provided is correct and accurate, but this text can certainly benefit from having the latest research added. It does, however, include a great many topics that serve to inform students well.

The text is very easy to understand. It is written in a way that first and second year college students will find easy to understand. It also introduces students to current child and adolescent behavior that is important to be understood on an academic level. It does this in a comprehensive and clear manner.

This book is very consistent. The chapters are arranged by developmental stage. Even within each chapter there is a consistency of theorists. For example, each chapter begins with Piaget, then moves to Vygotsky, etc. This allows for great consistency among chapters. If I as the instructor decide to have students write about Piaget and his development theories throughout the life span, students will easily know that they can find this information in the first few pages of each chapter.

Certainly instructors will find the modularity of this book easy. Within each chapter the topics are self-contained and extensive. As I read the textbook, I envisioned myself perhaps not assigning entire chapters but assigning specific topics/modules and pages that students can read. I believe the modules can be used as a strong foundational reading to introduce students to concepts and then have students read supplemental information from primary sources or journals to reinforce what they have read in the chapter.

The organization of the book is clear and flows nicely. From the table of context students understand how the book is organized. The textbook would be even stronger if there was a more detailed table of context which highlights what topics are covered within each of the chapter. There is so much information contained within each chapter that it would be very beneficial to both students and instructor to quickly see what content and topics are covered in each chapter.

The interface is fine and works well.

The text is free from grammatical errors.

While the textbook does introduce some multicultural differences and similarities, it does not delve deeply into multiracial and multiethnic issues within America. It also offers very little comment on differences that occur among urban, rural, and suburban experiences. In addition, while it does talk about maturation and sexuality, LGBTQ issues could be more prominent.

Overall I enjoyed this text and will strongly consider using it in my course. The focus is clearly on human development and has very little emphasis on education. However, I intend to supplement this text with additional readings and videos that will show concrete examples of the concepts which are introduced in the text. It is a strong and worthy alternative to high-priced textbooks.

Reviewed by Mohsin Ahmed Shaikh, Assistant Professor, Bloomsburg University of Pennsylvania on 9/5/19

The content extensively discusses various aspects of emotional, cognitive, physical and social development. Examples and case studies are really informative. Some of the areas that can be elaborated more are speech-language and hearing... read more

The content extensively discusses various aspects of emotional, cognitive, physical and social development. Examples and case studies are really informative. Some of the areas that can be elaborated more are speech-language and hearing development. Because these components contribute significantly in development of communication abilities and self-image.

Content covered is pretty accurate. I think the details impressive.

The content is relevant and is based on the established knowledge of the field.

Easy to read and follow.

The terminology used is consistent and appropriate.

I think of using various sections of this book in some of undergraduate and graduate classes.

The flow of the book is logical and easy to follow.

There are no interface issues. Images, charts and diagram are clear and easy to understand.

Well written

The text appropriate and do not use any culturally insensitive language.

I really like that this is a book with really good information which is available in open text book library.

Table of Contents

• Chapter 1: Introduction to Child Development
• Chapter 2: Conception, Heredity, & Prenatal Development
• Chapter 3: Birth and the Newborn
• Chapter 4: Physical Development in Infancy & Toddlerhood
• Chapter 5: Cognitive Development in Infancy and Toddlerhood
• Chapter 6: Social and Emotional Development in Infancy and Toddlerhood
• Chapter 7: Physical Development in Early Childhood
• Chapter 8: Cognitive Development in Early Childhood
• Chapter 9: Social Emotional Development in Early Childhood
• Chapter 10: Middle Childhood - Physical Development
• Chapter 11: Middle Childhood – Cognitive Development
• Chapter 12: Middle Childhood - Social Emotional Development
• Chapter 13: Adolescence – Physical Development
• Chapter 14: Adolescence – Cognitive Development
• Chapter 15: Adolescence – Social Emotional Development

Ancillary Material

About the book.

Welcome to Child Growth and Development. This text is a presentation of how and why children grow, develop, and learn. We will look at how we change physically over time from conception through adolescence. We examine cognitive change, or how our ability to think and remember changes over the first 20 years or so of life. And we will look at how our emotions, psychological state, and social relationships change throughout childhood and adolescence.

About the Contributors

Contribute to this page.

Want to create or adapt books like this? Learn more about how Pressbooks supports open publishing practices.

1 Chapter 1: Introduction to Child Development

Chapter objectives.

After this chapter, you should be able to:

• Describe the principles that underlie development.
• Differentiate periods of human development.
• Evaluate issues in development.
• Distinguish the different methods of research.
• Explain what a theory is.
• Compare and contrast different theories of child development.

Introduction

Welcome to Child Growth and Development. This text is a presentation of how and why children grow, develop, and learn.

We will look at how we change physically over time from conception through adolescence. We examine cognitive change, or how our ability to think and remember changes over the first 20 years or so of life. And we will look at how our emotions, psychological state, and social relationships change throughout childhood and adolescence. 1

Principles of Development

There are several underlying principles of development to keep in mind:

• Development is lifelong and change is apparent across the lifespan (although this text ends with adolescence). And early experiences affect later development.
• Development is multidirectional. We show gains in some areas of development, while showing loss in other areas.
• Development is multidimensional. We change across three general domains/dimensions; physical, cognitive, and social and emotional.
• The physical domain includes changes in height and weight, changes in gross and fine motor skills, sensory capabilities, the nervous system, as well as the propensity for disease and illness.
• The cognitive domain encompasses the changes in intelligence, wisdom, perception, problem-solving, memory, and language.
• The social and emotional domain (also referred to as psychosocial) focuses on changes in emotion, self-perception, and interpersonal relationships with families, peers, and friends.

All three domains influence each other. It is also important to note that a change in one domain may cascade and prompt changes in the other domains.

• Development is characterized by plasticity, which is our ability to change and that many of our characteristics are malleable. Early experiences are important, but children are remarkably resilient (able to overcome adversity).
• Development is multicontextual. 2 We are influenced by both nature (genetics) and nurture (the environment) – when and where we live and our actions, beliefs, and values are a response to circumstances surrounding us.  The key here is to understand that behaviors, motivations, emotions, and choices are all part of a bigger picture. 3

Now let’s look at a framework for examining development.

Periods of Development

Think about what periods of development that you think a course on Child Development would address. How many stages are on your list? Perhaps you have three: infancy, childhood, and teenagers. Developmentalists (those that study development) break this part of the life span into these five stages as follows:

• Prenatal Development (conception through birth)
• Infancy and Toddlerhood (birth through two years)
• Early Childhood (3 to 5 years)
• Middle Childhood (6 to 11 years)
• Adolescence (12 years to adulthood)

This list reflects unique aspects of the various stages of childhood and adolescence that will be explored in this book. So while both an 8 month old and an 8 year old are considered children, they have very different motor abilities, social relationships, and cognitive skills. Their nutritional needs are different and their primary psychological concerns are also distinctive.

Prenatal Development

Conception occurs and development begins. All of the major structures of the body are forming and the health of the mother is of primary concern. Understanding nutrition, teratogens (or environmental factors that can lead to birth defects), and labor and delivery are primary concerns.

Figure 1.1 – A tiny embryo depicting some development of arms and legs, as well as facial features that are starting to show. 4

Infancy and Toddlerhood

The two years of life are ones of dramatic growth and change. A newborn, with a keen sense of hearing but very poor vision is transformed into a walking, talking toddler within a relatively short period of time. Caregivers are also transformed from someone who manages feeding and sleep schedules to a constantly moving guide and safety inspector for a mobile, energetic child.

Figure 1.2 – A swaddled newborn. 5

Early Childhood

Early childhood is also referred to as the preschool years and consists of the years which follow toddlerhood and precede formal schooling. As a three to five-year-old, the child is busy learning language, is gaining a sense of self and greater independence, and is beginning to learn the workings of the physical world. This knowledge does not come quickly, however, and preschoolers may initially have interesting conceptions of size, time, space and distance such as fearing that they may go down the drain if they sit at the front of the bathtub or by demonstrating how long something will take by holding out their two index fingers several inches apart. A toddler’s fierce determination to do something may give way to a four-year-old’s sense of guilt for action that brings the disapproval of others.

Figure 1.3 – Two young children playing in the Singapore Botanic Gardens 6

Middle Childhood

The ages of six through eleven comprise middle childhood and much of what children experience at this age is connected to their involvement in the early grades of school. Now the world becomes one of learning and testing new academic skills and by assessing one’s abilities and accomplishments by making comparisons between self and others. Schools compare students and make these comparisons public through team sports, test scores, and other forms of recognition. Growth rates slow down and children are able to refine their motor skills at this point in life. And children begin to learn about social relationships beyond the family through interaction with friends and fellow students.

Figure 1.4 – Two children running down the street in Carenage, Trinidad and Tobago 7

Adolescence

Adolescence is a period of dramatic physical change marked by an overall physical growth spurt and sexual maturation, known as puberty. It is also a time of cognitive change as the adolescent begins to think of new possibilities and to consider abstract concepts such as love, fear, and freedom. Ironically, adolescents have a sense of invincibility that puts them at greater risk of dying from accidents or contracting sexually transmitted infections that can have lifelong consequences. 8

Figure 1.5 – Two smiling teenage women. 9

There are some aspects of development that have been hotly debated. Let’s explore these.

Issues in Development

Nature and nurture.

Why are people the way they are? Are features such as height, weight, personality, being diabetic, etc. the result of heredity or environmental factors-or both? For decades, scholars have carried on the “nature/nurture” debate. For any particular feature, those on the side of Nature would argue that heredity plays the most important role in bringing about that feature. Those on the side of Nurture would argue that one’s environment is most significant in shaping the way we are. This debate continues in all aspects of human development, and most scholars agree that there is a constant interplay between the two forces. It is difficult to isolate the root of any single behavior as a result solely of nature or nurture.

Continuity versus Discontinuity

Is human development best characterized as a slow, gradual process, or is it best viewed as one of more abrupt change? The answer to that question often depends on which developmental theorist you ask and what topic is being studied. The theories of Freud, Erikson, Piaget, and Kohlberg are called stage theories. Stage theories or discontinuous development assume that developmental change often occurs in distinct stages that are qualitatively different from each other, and in a set, universal sequence. At each stage of development, children and adults have different qualities and characteristics. Thus, stage theorists assume development is more discontinuous. Others, such as the behaviorists, Vygotsky, and information processing theorists, assume development is a more slow and gradual process known as continuous development. For instance, they would see the adult as not possessing new skills, but more advanced skills that were already present in some form in the child. Brain development and environmental experiences contribute to the acquisition of more developed skills.

Figure 1.6 – The graph to the left shows three stages in the continuous growth of a tree. The graph to the right shows four distinct stages of development in the life cycle of a ladybug. 10

Active versus Passive

How much do you play a role in your own developmental path? Are you at the whim of your genetic inheritance or the environment that surrounds you? Some theorists see humans as playing a much more active role in their own development. Piaget, for instance believed that children actively explore their world and construct new ways of thinking to explain the things they experience. In contrast, many behaviorists view humans as being more passive in the developmental process. 11

How do we know so much about how we grow, develop, and learn? Let’s look at how that data is gathered through research

Research Methods

An important part of learning any science is having a basic knowledge of the techniques used in gathering information. The hallmark of scientific investigation is that of following a set of procedures designed to keep questioning or skepticism alive while describing, explaining, or testing any phenomenon. Some people are hesitant to trust academicians or researchers because they always seem to change their story. That, however, is exactly what science is all about; it involves continuously renewing our understanding of the subjects in question and an ongoing investigation of how and why events occur. Science is a vehicle for going on a never-ending journey. In the area of development, we have seen changes in recommendations for nutrition, in explanations of psychological states as people age, and in parenting advice. So think of learning about human development as a lifelong endeavor.

Take a moment to write down two things that you know about childhood. Now, how do you know? Chances are you know these things based on your own history (experiential reality) or based on what others have told you or cultural ideas (agreement reality) (Seccombe and Warner, 2004). There are several problems with personal inquiry. Read the following sentence aloud:

Paris in the

Are you sure that is what it said? Read it again:

If you read it differently the second time (adding the second “the”) you just experienced one of the problems with personal inquiry; that is, the tendency to see what we believe. Our assumptions very often guide our perceptions, consequently, when we believe something, we tend to see it even if it is not there. This problem may just be a result of cognitive ‘blinders’ or it may be part of a more conscious attempt to support our own views. Confirmation bias is the tendency to look for evidence that we are right and in so doing, we ignore contradictory evidence. Popper suggests that the distinction between that which is scientific and that which is unscientific is that science is falsifiable; scientific inquiry involves attempts to reject or refute a theory or set of assumptions (Thornton, 2005). Theory that cannot be falsified is not scientific. And much of what we do in personal inquiry involves drawing conclusions based on what we have personally experienced or validating our own experience by discussing what we think is true with others who share the same views.

Science offers a more systematic way to make comparisons guard against bias.

Scientific Methods

One method of scientific investigation involves the following steps:

• Determining a research question
• Reviewing previous studies addressing the topic in question (known as a literature review)
• Determining a method of gathering information
• Conducting the study
• Interpreting results
• Drawing conclusions; stating limitations of the study and suggestions for future research
• Making your findings available to others (both to share information and to have your work scrutinized by others)

Your findings can then be used by others as they explore the area of interest and through this process a literature or knowledge base is established. This model of scientific investigation presents research as a linear process guided by a specific research question. And it typically involves quantifying or using statistics to understand and report what has been studied. Many academic journals publish reports on studies conducted in this manner.

Another model of research referred to as qualitative research may involve steps such as these:

• Begin with a broad area of interest
• Gain entrance into a group to be researched
• Gather field notes about the setting, the people, the structure, the activities or other areas of interest
• Ask open ended, broad “grand tour” types of questions when interviewing subjects
• Modify research questions as study continues
• Note patterns or consistencies
• Explore new areas deemed important by the people being observed
• Report findings

In this type of research, theoretical ideas are “grounded” in the experiences of the participants. The researcher is the student and the people in the setting are the teachers as they inform the researcher of their world (Glazer & Strauss, 1967). Researchers are to be aware of their own biases and assumptions, acknowledge them and bracket them in efforts to keep them from limiting accuracy in reporting. Sometimes qualitative studies are used initially to explore a topic and more quantitative studies are used to test or explain what was first described.

Let’s look more closely at some techniques, or research methods, used to describe, explain, or evaluate. Each of these designs has strengths and weaknesses and is sometimes used in combination with other designs within a single study.

Observational Studies

Observational studies involve watching and recording the actions of participants. This may take place in the natural setting, such as observing children at play at a park, or behind a one-way glass while children are at play in a laboratory playroom. The researcher may follow a checklist and record the frequency and duration of events (perhaps how many conflicts occur among 2-year-olds) or may observe and record as much as possible about an event (such as observing children in a classroom and capturing the details about the room design and what the children and teachers are doing and saying). In general, observational studies have the strength of allowing the researcher to see how people behave rather than relying on self-report. What people do and what they say they do are often very different. A major weakness of observational studies is that they do not allow the researcher to explain causal relationships. Yet, observational studies are useful and widely used when studying children. Children tend to change their behavior when they know they are being watched (known as the Hawthorne effect) and may not survey well.

Experiments

Experiments are designed to test hypotheses (or specific statements about the relationship between variables) in a controlled setting in efforts to explain how certain factors or events produce outcomes. A variable is anything that changes in value. Concepts are operationalized or transformed into variables in research, which means that the researcher must specify exactly what is going to be measured in the study.

Three conditions must be met in order to establish cause and effect. Experimental designs are useful in meeting these conditions.

The independent and dependent variables must be related. In other words, when one is altered, the other changes in response. (The independent variable is something altered or introduced by the researcher. The dependent variable is the outcome or the factor affected by the introduction of the independent variable. For example, if we are looking at the impact of exercise on stress levels, the independent variable would be exercise; the dependent variable would be stress.)

The cause must come before the effect. Experiments involve measuring subjects on the dependent variable before exposing them to the independent variable (establishing a baseline). So we would measure the subjects’ level of stress before introducing exercise and then again after the exercise to see if there has been a change in stress levels. (Observational and survey research does not always allow us to look at the timing of these events, which makes understanding causality problematic with these designs.)

The cause must be isolated. The researcher must ensure that no outside, perhaps unknown variables are actually causing the effect we see. The experimental design helps make this possible. In an experiment, we would make sure that our subjects’ diets were held constant throughout the exercise program. Otherwise, diet might really be creating the change in stress level rather than exercise.

A basic experimental design involves beginning with a sample (or subset of a population) and randomly assigning subjects to one of two groups: the experimental group or the control group. The experimental group is the group that is going to be exposed to an independent variable or condition the researcher is introducing as a potential cause of an event. The control group is going to be used for comparison and is going to have the same experience as the experimental group but will not be exposed to the independent variable. After exposing the experimental group to the independent variable, the two groups are measured again to see if a change has occurred. If so, we are in a better position to suggest that the independent variable caused the change in the dependent variable.

The major advantage of the experimental design is that of helping to establish cause and effect relationships. A disadvantage of this design is the difficulty of translating much of what happens in a laboratory setting into real life.

Case Studies

Case studies involve exploring a single case or situation in great detail. Information may be gathered with the use of observation, interviews, testing, or other methods to uncover as much as possible about a person or situation. Case studies are helpful when investigating unusual situations such as brain trauma or children reared in isolation. And they are often used by clinicians who conduct case studies as part of their normal practice when gathering information about a client or patient coming in for treatment. Case studies can be used to explore areas about which little is known and can provide rich detail about situations or conditions. However, the findings from case studies cannot be generalized or applied to larger populations; this is because cases are not randomly selected and no control group is used for comparison.

Figure 1.7 – Illustrated poster from a classroom describing a case study. 12

Surveys are familiar to most people because they are so widely used. Surveys enhance accessibility to subjects because they can be conducted in person, over the phone, through the mail, or online. A survey involves asking a standard set of questions to a group of subjects. In a highly structured survey, subjects are forced to choose from a response set such as “strongly disagree, disagree, undecided, agree, strongly agree”; or “0, 1-5, 6-10, etc.” This is known as Likert Scale . Surveys are commonly used by sociologists, marketing researchers, political scientists, therapists, and others to gather information on many independent and dependent variables in a relatively short period of time. Surveys typically yield surface information on a wide variety of factors, but may not allow for in-depth understanding of human behavior.

Of course, surveys can be designed in a number of ways. They may include forced choice questions and semi-structured questions in which the researcher allows the respondent to describe or give details about certain events. One of the most difficult aspects of designing a good survey is wording questions in an unbiased way and asking the right questions so that respondents can give a clear response rather than choosing “undecided” each time. Knowing that 30% of respondents are undecided is of little use! So a lot of time and effort should be placed on the construction of survey items. One of the benefits of having forced choice items is that each response is coded so that the results can be quickly entered and analyzed using statistical software. Analysis takes much longer when respondents give lengthy responses that must be analyzed in a different way. Surveys are useful in examining stated values, attitudes, opinions, and reporting on practices. However, they are based on self-report or what people say they do rather than on observation and this can limit accuracy.

Developmental Designs

Developmental designs are techniques used in developmental research (and other areas as well). These techniques try to examine how age, cohort, gender, and social class impact development.

Longitudinal Research

Longitudinal research involves beginning with a group of people who may be of the same age and background, and measuring them repeatedly over a long period of time. One of the benefits of this type of research is that people can be followed through time and be compared with them when they were younger.

Figure 1.8 – A longitudinal research design. 13

A problem with this type of research is that it is very expensive and subjects may drop out over time. The Perry Preschool Project which began in 1962 is an example of a longitudinal study that continues to provide data on children’s development.

Cross-sectional Research

Cross-sectional research involves beginning with a sample that represents a cross-section of the population. Respondents who vary in age, gender, ethnicity, and social class might be asked to complete a survey about television program preferences or attitudes toward the use of the Internet. The attitudes of males and females could then be compared, as could attitudes based on age. In cross-sectional research, respondents are measured only once.

Figure 1.9 – A cross-sectional research design. 14

This method is much less expensive than longitudinal research but does not allow the researcher to distinguish between the impact of age and the cohort effect. Different attitudes about the use of technology, for example, might not be altered by a person’s biological age as much as their life experiences as members of a cohort.

Sequential Research

Sequential research involves combining aspects of the previous two techniques; beginning with a cross-sectional sample and measuring them through time.

Figure 1.10 – A sequential research design. 15

This is the perfect model for looking at age, gender, social class, and ethnicity. But the drawbacks of high costs and attrition are here as well. 16

Table 1 .1 – Advantages and Disadvantages of Different Research Designs 17

Consent and Ethics in Research

Research should, as much as possible, be based on participants’ freely volunteered informed consent. For minors, this also requires consent from their legal guardians. This implies a responsibility to explain fully and meaningfully to both the child and their guardians what the research is about and how it will be disseminated. Participants and their legal guardians should be aware of the research purpose and procedures, their right to refuse to participate; the extent to which confidentiality will be maintained; the potential uses to which the data might be put; the foreseeable risks and expected benefits; and that participants have the right to discontinue at any time.

But consent alone does not absolve the responsibility of researchers to anticipate and guard against potential harmful consequences for participants. 18 It is critical that researchers protect all rights of the participants including confidentiality.

Child development is a fascinating field of study – but care must be taken to ensure that researchers use appropriate methods to examine infant and child behavior, use the correct experimental design to answer their questions, and be aware of the special challenges that are part-and-parcel of developmental research. Hopefully, this information helped you develop an understanding of these various issues and to be ready to think more critically about research questions that interest you. There are so many interesting questions that remain to be examined by future generations of developmental scientists – maybe you will make one of the next big discoveries! 19

Another really important framework to use when trying to understand children’s development are theories of development. Let’s explore what theories are and introduce you to some major theories in child development.

Developmental Theories

What is a theory.

Students sometimes feel intimidated by theory; even the phrase, “Now we are going to look at some theories…” is met with blank stares and other indications that the audience is now lost. But theories are valuable tools for understanding human behavior; in fact they are proposed explanations for the “how” and “whys” of development. Have you ever wondered, “Why is my 3 year old so inquisitive?” or “Why are some fifth graders rejected by their classmates?” Theories can help explain these and other occurrences. Developmental theories offer explanations about how we develop, why we change over time and the kinds of influences that impact development.

A theory guides and helps us interpret research findings as well. It provides the researcher with a blueprint or model to be used to help piece together various studies. Think of theories as guidelines much like directions that come with an appliance or other object that requires assembly. The instructions can help one piece together smaller parts more easily than if trial and error are used.

Theories can be developed using induction in which a number of single cases are observed and after patterns or similarities are noted, the theorist develops ideas based on these examples. Established theories are then tested through research; however, not all theories are equally suited to scientific investigation.  Some theories are difficult to test but are still useful in stimulating debate or providing concepts that have practical application. Keep in mind that theories are not facts; they are guidelines for investigation and practice, and they gain credibility through research that fails to disprove them. 20

Let’s take a look at some key theories in Child Development.

Sigmund Freud’s Psychosexual Theory

We begin with the often controversial figure, Sigmund Freud (1856-1939). Freud has been a very influential figure in the area of development; his view of development and psychopathology dominated the field of psychiatry until the growth of behaviorism in the 1950s. His assumptions that personality forms during the first few years of life and that the ways in which parents or other caregivers interact with children have a long-lasting impact on children’s emotional states have guided parents, educators, clinicians, and policy-makers for many years. We have only recently begun to recognize that early childhood experiences do not always result in certain personality traits or emotional states. There is a growing body of literature addressing resilience in children who come from harsh backgrounds and yet develop without damaging emotional scars (O’Grady and Metz, 1987). Freud has stimulated an enormous amount of research and generated many ideas. Agreeing with Freud’s theory in its entirety is hardly necessary for appreciating the contribution he has made to the field of development.

Figure 1.11 – Sigmund Freud. 21

Freud’s theory of self suggests that there are three parts of the self.

The id is the part of the self that is inborn. It responds to biological urges without pause and is guided by the principle of pleasure: if it feels good, it is the thing to do. A newborn is all id. The newborn cries when hungry, defecates when the urge strikes.

The ego develops through interaction with others and is guided by logic or the reality principle. It has the ability to delay gratification. It knows that urges have to be managed. It mediates between the id and superego using logic and reality to calm the other parts of the self.

The superego represents society’s demands for its members. It is guided by a sense of guilt. Values, morals, and the conscience are all part of the superego.

The personality is thought to develop in response to the child’s ability to learn to manage biological urges. Parenting is important here. If the parent is either overly punitive or lax, the child may not progress to the next stage. Here is a brief introduction to Freud’s stages.

Table 1. 2 – Sigmund Freud’s Psychosexual Theory

Strengths and Weaknesses of Freud’s Theory

Freud’s theory has been heavily criticized for several reasons. One is that it is very difficult to test scientifically. How can parenting in infancy be traced to personality in adulthood? Are there other variables that might better explain development? The theory is also considered to be sexist in suggesting that women who do not accept an inferior position in society are somehow psychologically flawed. Freud focuses on the darker side of human nature and suggests that much of what determines our actions is unknown to us. So why do we study Freud? As mentioned above, despite the criticisms, Freud’s assumptions about the importance of early childhood experiences in shaping our psychological selves have found their way into child development, education, and parenting practices. Freud’s theory has heuristic value in providing a framework from which to elaborate and modify subsequent theories of development. Many later theories, particularly behaviorism and humanism, were challenges to Freud’s views. 22

Erik Erikson’s Psychosocial Theory

Now, let’s turn to a less controversial theorist, Erik Erikson. Erikson (1902-1994) suggested that our relationships and society’s expectations motivate much of our behavior in his theory of psychosocial development. Erikson was a student of Freud’s but emphasized the importance of the ego, or conscious thought, in determining our actions. In other words, he believed that we are not driven by unconscious urges. We know what motivates us and we consciously think about how to achieve our goals. He is considered the father of developmental psychology because his model gives us a guideline for the entire life span and suggests certain primary psychological and social concerns throughout life.

Figure 1.12 – Erik Erikson. 23

Erikson expanded on his Freud’s by emphasizing the importance of culture in parenting practices and motivations and adding three stages of adult development (Erikson, 1950; 1968). He believed that we are aware of what motivates us throughout life and the ego has greater importance in guiding our actions than does the id. We make conscious choices in life and these choices focus on meeting certain social and cultural needs rather than purely biological ones. Humans are motivated, for instance, by the need to feel that the world is a trustworthy place, that we are capable individuals, that we can make a contribution to society, and that we have lived a meaningful life. These are all psychosocial problems.

Erikson divided the lifespan into eight stages. In each stage, we have a major psychosocial task to accomplish or crisis to overcome.  Erikson believed that our personality continues to take shape throughout our lifespan as we face these challenges in living. Here is a brief overview of the eight stages:

Table 1. 3 – Erik Erikson’s Psychosocial Theory

These eight stages form a foundation for discussions on emotional and social development during the life span. Keep in mind, however, that these stages or crises can occur more than once. For instance, a person may struggle with a lack of trust beyond infancy under certain circumstances. Erikson’s theory has been criticized for focusing so heavily on stages and assuming that the completion of one stage is prerequisite for the next crisis of development. His theory also focuses on the social expectations that are found in certain cultures, but not in all. For instance, the idea that adolescence is a time of searching for identity might translate well in the middle-class culture of the United States, but not as well in cultures where the transition into adulthood coincides with puberty through rites of passage and where adult roles offer fewer choices. 24

Behaviorism

While Freud and Erikson looked at what was going on in the mind, behaviorism rejected any reference to mind and viewed overt and observable behavior as the proper subject matter of psychology. Through the scientific study of behavior, it was hoped that laws of learning could be derived that would promote the prediction and control of behavior. 25

Ivan Pavlov

Ivan Pavlov (1880-1937) was a Russian physiologist interested in studying digestion. As he recorded the amount of salivation his laboratory dogs produced as they ate, he noticed that they actually began to salivate before the food arrived as the researcher walked down the hall and toward the cage. “This,” he thought, “is not natural!” One would expect a dog to automatically salivate when food hit their palate, but BEFORE the food comes? Of course, what had happened was . . . you tell me. That’s right! The dogs knew that the food was coming because they had learned to associate the footsteps with the food. The key word here is “learned”. A learned response is called a “conditioned” response.

Figure 1.13 – Ivan Pavlov. 26

Pavlov began to experiment with this concept of classical conditioning . He began to ring a bell, for instance, prior to introducing the food. Sure enough, after making this connection several times, the dogs could be made to salivate to the sound of a bell. Once the bell had become an event to which the dogs had learned to salivate, it was called a conditioned stimulus . The act of salivating to a bell was a response that had also been learned, now termed in Pavlov’s jargon, a conditioned response. Notice that the response, salivation, is the same whether it is conditioned or unconditioned (unlearned or natural). What changed is the stimulus to which the dog salivates. One is natural (unconditioned) and one is learned (conditioned).

Let’s think about how classical conditioning is used on us. One of the most widespread applications of classical conditioning principles was brought to us by the psychologist, John B. Watson.

John B. Watson

John B. Watson (1878-1958) believed that most of our fears and other emotional responses are classically conditioned. He had gained a good deal of popularity in the 1920s with his expert advice on parenting offered to the public.

Figure 1.14 – John B. Watson. 27

He tried to demonstrate the power of classical conditioning with his famous experiment with an 18 month old boy named “Little Albert”. Watson sat Albert down and introduced a variety of seemingly scary objects to him: a burning piece of newspaper, a white rat, etc. But Albert remained curious and reached for all of these things. Watson knew that one of our only inborn fears is the fear of loud noises so he proceeded to make a loud noise each time he introduced one of Albert’s favorites, a white rat. After hearing the loud noise several times paired with the rat, Albert soon came to fear the rat and began to cry when it was introduced. Watson filmed this experiment for posterity and used it to demonstrate that he could help parents achieve any outcomes they desired, if they would only follow his advice. Watson wrote columns in newspapers and in magazines and gained a lot of popularity among parents eager to apply science to household order.

Operant conditioning, on the other hand, looks at the way the consequences of a behavior increase or decrease the likelihood of a behavior occurring again. So let’s look at this a bit more.

B.F. Skinner and Operant Conditioning

B. F. Skinner (1904-1990), who brought us the principles of operant conditioning, suggested that reinforcement is a more effective means of encouraging a behavior than is criticism or punishment. By focusing on strengthening desirable behavior, we have a greater impact than if we emphasize what is undesirable. Reinforcement is anything that an organism desires and is motivated to obtain.

Figure 1.15 – B. F. Skinner. 28

A reinforcer is something that encourages or promotes a behavior. Some things are natural rewards. They are considered intrinsic or primary because their value is easily understood. Think of what kinds of things babies or animals such as puppies find rewarding.

Extrinsic or secondary reinforcers are things that have a value not immediately understood. Their value is indirect. They can be traded in for what is ultimately desired.

The use of positive reinforcement involves adding something to a situation in order to encourage a behavior. For example, if I give a child a cookie for cleaning a room, the addition of the cookie makes cleaning more likely in the future. Think of ways in which you positively reinforce others.

Negative reinforcement occurs when taking something unpleasant away from a situation encourages behavior. For example, I have an alarm clock that makes a very unpleasant, loud sound when it goes off in the morning. As a result, I get up and turn it off. By removing the noise, I am reinforced for getting up. How do you negatively reinforce others?

Punishment is an effort to stop a behavior. It means to follow an action with something unpleasant or painful. Punishment is often less effective than reinforcement for several reasons. It doesn’t indicate the desired behavior, it may result in suppressing rather than stopping a behavior, (in other words, the person may not do what is being punished when you’re around, but may do it often when you leave), and a focus on punishment can result in not noticing when the person does well.

Not all behaviors are learned through association or reinforcement. Many of the things we do are learned by watching others. This is addressed in social learning theory.

Social Learning Theory

Albert Bandura (1925-) is a leading contributor to social learning theory. He calls our attention to the ways in which many of our actions are not learned through conditioning; rather, they are learned by watching others (1977). Young children frequently learn behaviors through imitation

Figure 1.16 – Albert Bandura. 29

Sometimes, particularly when we do not know what else to do, we learn by modeling or copying the behavior of others. A kindergartner on his or her first day of school might eagerly look at how others are acting and try to act the same way to fit in more quickly. Adolescents struggling with their identity rely heavily on their peers to act as role-models. Sometimes we do things because we’ve seen it pay off for someone else. They were operantly conditioned, but we engage in the behavior because we hope it will pay off for us as well. This is referred to as vicarious reinforcement (Bandura, Ross and Ross, 1963).

Bandura (1986) suggests that there is interplay between the environment and the individual. We are not just the product of our surroundings, rather we influence our surroundings. Parents not only influence their child’s environment, perhaps intentionally through the use of reinforcement, etc., but children influence parents as well. Parents may respond differently with their first child than with their fourth. Perhaps they try to be the perfect parents with their firstborn, but by the time their last child comes along they have very different expectations both of themselves and their child. Our environment creates us and we create our environment. 30

Theories also explore cognitive development and how mental processes change over time.

Jean Piaget’s Theory of Cognitive Development

Jean Piaget (1896-1980) is one of the most influential cognitive theorists. Piaget was inspired to explore children’s ability to think and reason by watching his own children’s development. He was one of the first to recognize and map out the ways in which children’s thought differs from that of adults. His interest in this area began when he was asked to test the IQ of children and began to notice that there was a pattern in their wrong answers. He believed that children’s intellectual skills change over time through maturation. Children of differing ages interpret the world differently.

Figure 1.17 – Jean Piaget. 32

Piaget believed our desire to understand the world comes from a need for cognitive equilibrium . This is an agreement or balance between what we sense in the outside world and what we know in our minds. If we experience something that we cannot understand, we try to restore the balance by either changing our thoughts or by altering the experience to fit into what we do understand. Perhaps you meet someone who is very different from anyone you know. How do you make sense of this person? You might use them to establish a new category of people in your mind or you might think about how they are similar to someone else.

A schema or schemes are categories of knowledge. They are like mental boxes of concepts. A child has to learn many concepts. They may have a scheme for “under” and “soft” or “running” and “sour”. All of these are schema. Our efforts to understand the world around us lead us to develop new schema and to modify old ones.

One way to make sense of new experiences is to focus on how they are similar to what we already know. This is assimilation . So the person we meet who is very different may be understood as being “sort of like my brother” or “his voice sounds a lot like yours.” Or a new food may be assimilated when we determine that it tastes like chicken!

Another way to make sense of the world is to change our mind. We can make a cognitive accommodation to this new experience by adding new schema. This food is unlike anything I’ve tasted before. I now have a new category of foods that are bitter-sweet in flavor, for instance. This is  accommodation . Do you accommodate or assimilate more frequently? Children accommodate more frequently as they build new schema. Adults tend to look for similarity in their experience and assimilate. They may be less inclined to think “outside the box.”

Piaget suggested different ways of understanding that are associated with maturation. He divided this into four stages:

Table 1.4 – Jean Piaget’s Theory of Cognitive Development

Criticisms of Piaget’s Theory

Piaget has been criticized for overemphasizing the role that physical maturation plays in cognitive development and in underestimating the role that culture and interaction (or experience) plays in cognitive development. Looking across cultures reveals considerable variation in what children are able to do at various ages. Piaget may have underestimated what children are capable of given the right circumstances. 33

Lev Vygotsky’s Sociocultural Theory

Lev Vygotsky (1896-1934) was a Russian psychologist who wrote in the early 1900s but whose work was discovered in the United States in the 1960s but became more widely known in the 1980s. Vygotsky differed with Piaget in that he believed that a person not only has a set of abilities, but also a set of potential abilities that can be realized if given the proper guidance from others. His sociocultural theory emphasizes the importance of culture and interaction in the development of cognitive abilities. He believed that through guided participation known as scaffolding, with a teacher or capable peer, a child can learn cognitive skills within a certain range known as the zone of proximal development . 34 His belief was that development occurred first through children’s immediate social interactions, and then moved to the individual level as they began to internalize their learning. 35

Figure 1.18- Lev Vygotsky. 36

Have you ever taught a child to perform a task? Maybe it was brushing their teeth or preparing food. Chances are you spoke to them and described what you were doing while you demonstrated the skill and let them work along with you all through the process. You gave them assistance when they seemed to need it, but once they knew what to do-you stood back and let them go. This is scaffolding and can be seen demonstrated throughout the world. This approach to teaching has also been adopted by educators. Rather than assessing students on what they are doing, they should be understood in terms of what they are capable of doing with the proper guidance. You can see how Vygotsky would be very popular with modern day educators. 37

Comparing Piaget and Vygotsky

Vygotsky concentrated more on the child’s immediate social and cultural environment and his or her interactions with adults and peers. While Piaget saw the child as actively discovering the world through individual interactions with it, Vygotsky saw the child as more of an apprentice, learning through a social environment of others who had more experience and were sensitive to the child’s needs and abilities. 38

Like Vygotsky’s, Bronfenbrenner looked at the social influences on learning and development.

Urie Bronfenbrenner’s Ecological Systems Model

Urie Bronfenbrenner (1917-2005) offers us one of the most comprehensive theories of human development. Bronfenbrenner studied Freud, Erikson, Piaget, and learning theorists and believed that all of those theories could be enhanced by adding the dimension of context. What is being taught and how society interprets situations depends on who is involved in the life of a child and on when and where a child lives.

Figure 1.19 – Urie Bronfenbrenner. 39

Bronfenbrenner’s ecological systems model explains the direct and indirect influences on an individual’s development.

Table 1.5 – Urie Bronfenbrenner’s Ecological Systems Model

For example, in order to understand a student in math, we can’t simply look at that individual and what challenges they face directly with the subject. We have to look at the interactions that occur between teacher and child. Perhaps the teacher needs to make modifications as well. The teacher may be responding to regulations made by the school, such as new expectations for students in math or constraints on time that interfere with the teacher’s ability to instruct. These new demands may be a response to national efforts to promote math and science deemed important by political leaders in response to relations with other countries at a particular time in history.

Figure 1.20 – Bronfenbrenner’s ecological systems theory. 40

Bronfenbrenner’s ecological systems model challenges us to go beyond the individual if we want to understand human development and promote improvements. 41

In this chapter we looked at:

underlying principles of development

the five periods of development

three issues in development

Various methods of research

important theories that help us understand development

Next, we are going to be examining where we all started with conception, heredity, and prenatal development.

Child Growth and Development Copyright © by Jean Zaar is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

Share This Book

• Search Menu
• Browse content in Arts and Humanities
• Browse content in Archaeology
• Anglo-Saxon and Medieval Archaeology
• Archaeological Methodology and Techniques
• Archaeology by Region
• Archaeology of Religion
• Archaeology of Trade and Exchange
• Biblical Archaeology
• Contemporary and Public Archaeology
• Environmental Archaeology
• Historical Archaeology
• History and Theory of Archaeology
• Industrial Archaeology
• Landscape Archaeology
• Mortuary Archaeology
• Prehistoric Archaeology
• Underwater Archaeology
• Urban Archaeology
• Zooarchaeology
• Browse content in Architecture
• Architectural Structure and Design
• History of Architecture
• Residential and Domestic Buildings
• Theory of Architecture
• Browse content in Art
• Art Subjects and Themes
• History of Art
• Industrial and Commercial Art
• Theory of Art
• Biographical Studies
• Byzantine Studies
• Browse content in Classical Studies
• Classical History
• Classical Philosophy
• Classical Mythology
• Classical Literature
• Classical Reception
• Classical Art and Architecture
• Classical Oratory and Rhetoric
• Greek and Roman Epigraphy
• Greek and Roman Law
• Greek and Roman Papyrology
• Greek and Roman Archaeology
• Late Antiquity
• Religion in the Ancient World
• Digital Humanities
• Browse content in History
• Colonialism and Imperialism
• Diplomatic History
• Environmental History
• Genealogy, Heraldry, Names, and Honours
• Genocide and Ethnic Cleansing
• Historical Geography
• History by Period
• History of Emotions
• History of Agriculture
• History of Education
• History of Gender and Sexuality
• Industrial History
• Intellectual History
• International History
• Labour History
• Legal and Constitutional History
• Local and Family History
• Maritime History
• Military History
• National Liberation and Post-Colonialism
• Oral History
• Political History
• Public History
• Regional and National History
• Revolutions and Rebellions
• Slavery and Abolition of Slavery
• Social and Cultural History
• Theory, Methods, and Historiography
• Urban History
• World History
• Browse content in Language Teaching and Learning
• Language Learning (Specific Skills)
• Language Teaching Theory and Methods
• Browse content in Linguistics
• Applied Linguistics
• Cognitive Linguistics
• Computational Linguistics
• Forensic Linguistics
• Grammar, Syntax and Morphology
• Historical and Diachronic Linguistics
• History of English
• Language Acquisition
• Language Evolution
• Language Reference
• Language Variation
• Language Families
• Lexicography
• Linguistic Anthropology
• Linguistic Theories
• Linguistic Typology
• Phonetics and Phonology
• Psycholinguistics
• Sociolinguistics
• Translation and Interpretation
• Writing Systems
• Browse content in Literature
• Bibliography
• Children's Literature Studies
• Literary Studies (Asian)
• Literary Studies (European)
• Literary Studies (Eco-criticism)
• Literary Studies (Romanticism)
• Literary Studies (American)
• Literary Studies (Modernism)
• Literary Studies - World
• Literary Studies (1500 to 1800)
• Literary Studies (19th Century)
• Literary Studies (20th Century onwards)
• Literary Studies (African American Literature)
• Literary Studies (British and Irish)
• Literary Studies (Early and Medieval)
• Literary Studies (Fiction, Novelists, and Prose Writers)
• Literary Studies (Gender Studies)
• Literary Studies (Graphic Novels)
• Literary Studies (History of the Book)
• Literary Studies (Plays and Playwrights)
• Literary Studies (Poetry and Poets)
• Literary Studies (Postcolonial Literature)
• Literary Studies (Queer Studies)
• Literary Studies (Science Fiction)
• Literary Studies (Travel Literature)
• Literary Studies (War Literature)
• Literary Studies (Women's Writing)
• Literary Theory and Cultural Studies
• Mythology and Folklore
• Shakespeare Studies and Criticism
• Browse content in Media Studies
• Browse content in Music
• Applied Music
• Dance and Music
• Ethics in Music
• Ethnomusicology
• Gender and Sexuality in Music
• Medicine and Music
• Music Cultures
• Music and Religion
• Music and Media
• Music and Culture
• Music Education and Pedagogy
• Music Theory and Analysis
• Musical Scores, Lyrics, and Libretti
• Musical Structures, Styles, and Techniques
• Musicology and Music History
• Performance Practice and Studies
• Race and Ethnicity in Music
• Sound Studies
• Browse content in Performing Arts
• Browse content in Philosophy
• Aesthetics and Philosophy of Art
• Epistemology
• Feminist Philosophy
• History of Western Philosophy
• Metaphysics
• Moral Philosophy
• Non-Western Philosophy
• Philosophy of Science
• Philosophy of Language
• Philosophy of Mind
• Philosophy of Perception
• Philosophy of Action
• Philosophy of Law
• Philosophy of Religion
• Philosophy of Mathematics and Logic
• Practical Ethics
• Social and Political Philosophy
• Browse content in Religion
• Biblical Studies
• Christianity
• East Asian Religions
• History of Religion
• Judaism and Jewish Studies
• Qumran Studies
• Religion and Education
• Religion and Health
• Religion and Politics
• Religion and Science
• Religion and Law
• Religion and Art, Literature, and Music
• Religious Studies
• Browse content in Society and Culture
• Cookery, Food, and Drink
• Cultural Studies
• Customs and Traditions
• Ethical Issues and Debates
• Hobbies, Games, Arts and Crafts
• Lifestyle, Home, and Garden
• Natural world, Country Life, and Pets
• Popular Beliefs and Controversial Knowledge
• Sports and Outdoor Recreation
• Technology and Society
• Travel and Holiday
• Visual Culture
• Browse content in Law
• Arbitration
• Browse content in Company and Commercial Law
• Commercial Law
• Company Law
• Browse content in Comparative Law
• Systems of Law
• Competition Law
• Browse content in Constitutional and Administrative Law
• Government Powers
• Judicial Review
• Local Government Law
• Military and Defence Law
• Parliamentary and Legislative Practice
• Construction Law
• Contract Law
• Browse content in Criminal Law
• Criminal Procedure
• Criminal Evidence Law
• Sentencing and Punishment
• Employment and Labour Law
• Environment and Energy Law
• Browse content in Financial Law
• Banking Law
• Insolvency Law
• History of Law
• Human Rights and Immigration
• Intellectual Property Law
• Browse content in International Law
• Private International Law and Conflict of Laws
• Public International Law
• IT and Communications Law
• Jurisprudence and Philosophy of Law
• Law and Politics
• Law and Society
• Browse content in Legal System and Practice
• Courts and Procedure
• Legal Skills and Practice
• Primary Sources of Law
• Regulation of Legal Profession
• Medical and Healthcare Law
• Browse content in Policing
• Criminal Investigation and Detection
• Police and Security Services
• Police Procedure and Law
• Police Regional Planning
• Browse content in Property Law
• Personal Property Law
• Study and Revision
• Terrorism and National Security Law
• Browse content in Trusts Law
• Wills and Probate or Succession
• Browse content in Medicine and Health
• Browse content in Allied Health Professions
• Arts Therapies
• Clinical Science
• Dietetics and Nutrition
• Occupational Therapy
• Operating Department Practice
• Physiotherapy
• Radiography
• Speech and Language Therapy
• Browse content in Anaesthetics
• General Anaesthesia
• Neuroanaesthesia
• Browse content in Clinical Medicine
• Acute Medicine
• Cardiovascular Medicine
• Clinical Genetics
• Clinical Pharmacology and Therapeutics
• Dermatology
• Endocrinology and Diabetes
• Gastroenterology
• Genito-urinary Medicine
• Geriatric Medicine
• Infectious Diseases
• Medical Toxicology
• Medical Oncology
• Pain Medicine
• Palliative Medicine
• Rehabilitation Medicine
• Respiratory Medicine and Pulmonology
• Rheumatology
• Sleep Medicine
• Sports and Exercise Medicine
• Clinical Neuroscience
• Community Medical Services
• Critical Care
• Emergency Medicine
• Forensic Medicine
• Haematology
• History of Medicine
• Browse content in Medical Dentistry
• Oral and Maxillofacial Surgery
• Paediatric Dentistry
• Restorative Dentistry and Orthodontics
• Surgical Dentistry
• Browse content in Medical Skills
• Clinical Skills
• Communication Skills
• Nursing Skills
• Surgical Skills
• Medical Ethics
• Medical Statistics and Methodology
• Browse content in Neurology
• Clinical Neurophysiology
• Neuropathology
• Nursing Studies
• Browse content in Obstetrics and Gynaecology
• Gynaecology
• Occupational Medicine
• Ophthalmology
• Otolaryngology (ENT)
• Browse content in Paediatrics
• Neonatology
• Browse content in Pathology
• Chemical Pathology
• Clinical Cytogenetics and Molecular Genetics
• Histopathology
• Medical Microbiology and Virology
• Patient Education and Information
• Browse content in Pharmacology
• Psychopharmacology
• Browse content in Popular Health
• Caring for Others
• Complementary and Alternative Medicine
• Self-help and Personal Development
• Browse content in Preclinical Medicine
• Cell Biology
• Molecular Biology and Genetics
• Reproduction, Growth and Development
• Primary Care
• Professional Development in Medicine
• Browse content in Psychiatry
• Addiction Medicine
• Child and Adolescent Psychiatry
• Forensic Psychiatry
• Learning Disabilities
• Old Age Psychiatry
• Psychotherapy
• Browse content in Public Health and Epidemiology
• Epidemiology
• Public Health
• Browse content in Radiology
• Clinical Radiology
• Interventional Radiology
• Nuclear Medicine
• Radiation Oncology
• Reproductive Medicine
• Browse content in Surgery
• Cardiothoracic Surgery
• Gastro-intestinal and Colorectal Surgery
• General Surgery
• Neurosurgery
• Paediatric Surgery
• Peri-operative Care
• Plastic and Reconstructive Surgery
• Surgical Oncology
• Transplant Surgery
• Trauma and Orthopaedic Surgery
• Vascular Surgery
• Browse content in Science and Mathematics
• Browse content in Biological Sciences
• Aquatic Biology
• Biochemistry
• Bioinformatics and Computational Biology
• Developmental Biology
• Ecology and Conservation
• Evolutionary Biology
• Genetics and Genomics
• Microbiology
• Molecular and Cell Biology
• Natural History
• Plant Sciences and Forestry
• Research Methods in Life Sciences
• Structural Biology
• Systems Biology
• Zoology and Animal Sciences
• Browse content in Chemistry
• Analytical Chemistry
• Computational Chemistry
• Crystallography
• Environmental Chemistry
• Industrial Chemistry
• Inorganic Chemistry
• Materials Chemistry
• Medicinal Chemistry
• Mineralogy and Gems
• Organic Chemistry
• Physical Chemistry
• Polymer Chemistry
• Study and Communication Skills in Chemistry
• Theoretical Chemistry
• Browse content in Computer Science
• Artificial Intelligence
• Computer Architecture and Logic Design
• Game Studies
• Human-Computer Interaction
• Mathematical Theory of Computation
• Programming Languages
• Software Engineering
• Systems Analysis and Design
• Virtual Reality
• Browse content in Computing
• Business Applications
• Computer Security
• Computer Games
• Computer Networking and Communications
• Digital Lifestyle
• Graphical and Digital Media Applications
• Operating Systems
• Browse content in Earth Sciences and Geography
• Atmospheric Sciences
• Environmental Geography
• Geology and the Lithosphere
• Maps and Map-making
• Meteorology and Climatology
• Oceanography and Hydrology
• Palaeontology
• Physical Geography and Topography
• Regional Geography
• Soil Science
• Urban Geography
• Browse content in Engineering and Technology
• Agriculture and Farming
• Biological Engineering
• Civil Engineering, Surveying, and Building
• Electronics and Communications Engineering
• Energy Technology
• Engineering (General)
• Environmental Science, Engineering, and Technology
• History of Engineering and Technology
• Mechanical Engineering and Materials
• Technology of Industrial Chemistry
• Transport Technology and Trades
• Browse content in Environmental Science
• Applied Ecology (Environmental Science)
• Conservation of the Environment (Environmental Science)
• Environmental Sustainability
• Environmentalist Thought and Ideology (Environmental Science)
• Management of Land and Natural Resources (Environmental Science)
• Natural Disasters (Environmental Science)
• Nuclear Issues (Environmental Science)
• Pollution and Threats to the Environment (Environmental Science)
• Social Impact of Environmental Issues (Environmental Science)
• History of Science and Technology
• Browse content in Materials Science
• Ceramics and Glasses
• Composite Materials
• Metals, Alloying, and Corrosion
• Nanotechnology
• Browse content in Mathematics
• Applied Mathematics
• Biomathematics and Statistics
• History of Mathematics
• Mathematical Education
• Mathematical Finance
• Mathematical Analysis
• Numerical and Computational Mathematics
• Probability and Statistics
• Pure Mathematics
• Browse content in Neuroscience
• Cognition and Behavioural Neuroscience
• Development of the Nervous System
• Disorders of the Nervous System
• History of Neuroscience
• Invertebrate Neurobiology
• Molecular and Cellular Systems
• Neuroendocrinology and Autonomic Nervous System
• Neuroscientific Techniques
• Sensory and Motor Systems
• Browse content in Physics
• Astronomy and Astrophysics
• Atomic, Molecular, and Optical Physics
• Biological and Medical Physics
• Classical Mechanics
• Computational Physics
• Condensed Matter Physics
• Electromagnetism, Optics, and Acoustics
• History of Physics
• Mathematical and Statistical Physics
• Measurement Science
• Nuclear Physics
• Particles and Fields
• Plasma Physics
• Quantum Physics
• Relativity and Gravitation
• Semiconductor and Mesoscopic Physics
• Browse content in Psychology
• Affective Sciences
• Clinical Psychology
• Cognitive Psychology
• Cognitive Neuroscience
• Criminal and Forensic Psychology
• Developmental Psychology
• Educational Psychology
• Evolutionary Psychology
• Health Psychology
• History and Systems in Psychology
• Music Psychology
• Neuropsychology
• Organizational Psychology
• Psychological Assessment and Testing
• Psychology of Human-Technology Interaction
• Psychology Professional Development and Training
• Research Methods in Psychology
• Social Psychology
• Browse content in Social Sciences
• Browse content in Anthropology
• Anthropology of Religion
• Human Evolution
• Medical Anthropology
• Physical Anthropology
• Regional Anthropology
• Social and Cultural Anthropology
• Theory and Practice of Anthropology
• Browse content in Business and Management
• Business Strategy
• Business Ethics
• Business History
• Business and Government
• Business and Technology
• Business and the Environment
• Comparative Management
• Corporate Governance
• Corporate Social Responsibility
• Entrepreneurship
• Health Management
• Human Resource Management
• Industrial and Employment Relations
• Industry Studies
• Information and Communication Technologies
• International Business
• Knowledge Management
• Management and Management Techniques
• Operations Management
• Organizational Theory and Behaviour
• Pensions and Pension Management
• Public and Nonprofit Management
• Strategic Management
• Supply Chain Management
• Browse content in Criminology and Criminal Justice
• Criminal Justice
• Criminology
• Forms of Crime
• International and Comparative Criminology
• Youth Violence and Juvenile Justice
• Development Studies
• Browse content in Economics
• Agricultural, Environmental, and Natural Resource Economics
• Asian Economics
• Behavioural Finance
• Behavioural Economics and Neuroeconomics
• Econometrics and Mathematical Economics
• Economic Systems
• Economic History
• Economic Methodology
• Economic Development and Growth
• Financial Markets
• Financial Institutions and Services
• General Economics and Teaching
• Health, Education, and Welfare
• History of Economic Thought
• International Economics
• Labour and Demographic Economics
• Law and Economics
• Macroeconomics and Monetary Economics
• Microeconomics
• Public Economics
• Urban, Rural, and Regional Economics
• Welfare Economics
• Browse content in Education
• Adult Education and Continuous Learning
• Care and Counselling of Students
• Early Childhood and Elementary Education
• Educational Equipment and Technology
• Educational Strategies and Policy
• Higher and Further Education
• Organization and Management of Education
• Philosophy and Theory of Education
• Schools Studies
• Secondary Education
• Teaching of a Specific Subject
• Teaching of Specific Groups and Special Educational Needs
• Teaching Skills and Techniques
• Browse content in Environment
• Applied Ecology (Social Science)
• Climate Change
• Conservation of the Environment (Social Science)
• Environmentalist Thought and Ideology (Social Science)
• Natural Disasters (Environment)
• Social Impact of Environmental Issues (Social Science)
• Browse content in Human Geography
• Cultural Geography
• Economic Geography
• Political Geography
• Browse content in Interdisciplinary Studies
• Communication Studies
• Museums, Libraries, and Information Sciences
• Browse content in Politics
• African Politics
• Asian Politics
• Chinese Politics
• Comparative Politics
• Conflict Politics
• Elections and Electoral Studies
• Environmental Politics
• European Union
• Foreign Policy
• Gender and Politics
• Human Rights and Politics
• Indian Politics
• International Relations
• International Organization (Politics)
• International Political Economy
• Irish Politics
• Latin American Politics
• Middle Eastern Politics
• Political Methodology
• Political Communication
• Political Philosophy
• Political Sociology
• Political Behaviour
• Political Economy
• Political Institutions
• Political Theory
• Politics and Law
• Public Administration
• Public Policy
• Quantitative Political Methodology
• Regional Political Studies
• Russian Politics
• Security Studies
• State and Local Government
• UK Politics
• US Politics
• Browse content in Regional and Area Studies
• African Studies
• Asian Studies
• East Asian Studies
• Japanese Studies
• Latin American Studies
• Middle Eastern Studies
• Native American Studies
• Scottish Studies
• Browse content in Research and Information
• Research Methods
• Browse content in Social Work
• Addictions and Substance Misuse
• Adoption and Fostering
• Care of the Elderly
• Child and Adolescent Social Work
• Couple and Family Social Work
• Developmental and Physical Disabilities Social Work
• Direct Practice and Clinical Social Work
• Emergency Services
• Human Behaviour and the Social Environment
• International and Global Issues in Social Work
• Mental and Behavioural Health
• Social Justice and Human Rights
• Social Policy and Advocacy
• Social Work and Crime and Justice
• Social Work Macro Practice
• Social Work Practice Settings
• Social Work Research and Evidence-based Practice
• Welfare and Benefit Systems
• Browse content in Sociology
• Childhood Studies
• Community Development
• Comparative and Historical Sociology
• Economic Sociology
• Gender and Sexuality
• Gerontology and Ageing
• Health, Illness, and Medicine
• Marriage and the Family
• Migration Studies
• Occupations, Professions, and Work
• Organizations
• Population and Demography
• Race and Ethnicity
• Social Theory
• Social Movements and Social Change
• Social Research and Statistics
• Social Stratification, Inequality, and Mobility
• Sociology of Religion
• Sociology of Education
• Sport and Leisure
• Urban and Rural Studies
• Browse content in Warfare and Defence
• Defence Strategy, Planning, and Research
• Land Forces and Warfare
• Military Administration
• Military Life and Institutions
• Naval Forces and Warfare
• Other Warfare and Defence Issues
• Peace Studies and Conflict Resolution
• Weapons and Equipment

• < Previous chapter
• Next chapter >

21 Country Case Studies

• Published: December 2021
• Cite Icon Cite
• Permissions Icon Permissions

Is there a one-size-fits-all approach to inclusive growth? This chapter looks at four key case studies across advanced and emerging markets—the Nordics, India, Brazil, and Egypt—to try to answer this question. It highlights qualitatively in these countries the key components of inclusive growth models, outcomes from these models, and the road ahead for these models in the respective countries. Some of the analysis focuses on co-operative labor markets in the Nordics, Direct Benefit transfers in India, the role of social assistance and commodity boom in Brazil, and the inequality puzzle in Egypt. The chapter finds that there is a lack of homogeneity among the approaches by these countries and identifies the need for customized solutions to inclusive growth in the respective countries. A one-size-fits-all approach doesn’t seem to work. The more customized the inclusive growth model, the better the overall outcomes.

I. Introduction

Countries’ success in ensuring strong, sustainable, and inclusive growth has varied considerably. 1 In general, the share of the population that has access to basic services such as health, education, infrastructure, and finance is correlated with per capita income (Cerra 2021 ). The level of development is associated with a range of other policies and outcomes too, such as the ability to raise tax revenue and use it effectively for social safety nets and initiatives to strengthen the business environment. However, correlation is not determination, and at every development level, countries’ performances differ. In addition, countries may do well on some dimensions but fall short on others.

Achieving inclusive growth requires policy actions across many fronts. How have countries fared along different dimensions of inclusive growth? What have been countries’ experiences with implementing reforms to improve it? This chapter aims to take a holistic review of policies and actions that were effective in making growth inclusive. The chapter reviews some case studies in countries’ experiences, with examples drawn from different regions and levels of development.

We begin these case studies with the example of the Nordic countries, which are typically among the top performers on nearly every dimension of well-being. For example, the Nordic countries regularly rank at or near the top of the World Happiness Report and score first in other cross-country rankings of quality of life (e.g., the OECD better lives index). We examine the key features of the policy framework that has driven these successes.

Emerging and developing economies face stiff challenges. At lower levels of development, countries have to make difficult choices in prioritizing the use of their limited resources. They face an array of hurdles such as poor infrastructure, a legacy of weak governance, less diversified economies, and a large share of the population in poverty or located in hard-to-reach rural areas. Even so, while it may be difficult to replicate the broad successes of the Nordic countries, EMDEs made progress along some dimensions.

Following the discussion of the Nordic model, we next present case studies of select EMDE countries. The countries of India, Brazil, and Egypt—representing three different regions—have faced different challenges and headwinds based on their circumstances. In many dimensions of inclusive growth, they still have scope for considerable improvements. Even so, they have undertaken successful reforms in some areas, providing hope that a commitment to reform can bear fruit. Their experiences can provide lessons for other countries, especially for other EMDEs with similar resource constraints and challenges.

II. The Nordic Model of Inclusive Growth

The Nordics are widely seen as being successful in achieving inclusive growth, although they still face challenges in some areas (Figure 21.1 ). For this chapter, the Nordics comprise Denmark, Finland, Norway, and Sweden. These countries share some common features in their policy frameworks, often referred to as the “Nordic model,” but there are significant policy differences among this group, and their policy frameworks have evolved over time.

GDP per Capita and Gini Coefficient (x-axis, index; y axis, in thousands USD PPP-20210)

A. Main Features of the Nordic Model

The foundation of the Nordic model is a strong economy, with high levels of employment and productivity, which generates the resources needed to support strong social services. A central theme of the model is maintaining the flexibility to adapt to developments in trade and technology. Key elements of the Nordic model include:

Cooperative labor markets : enterprises and unions seek sustainable wages and conditions, providing an environment conducive for investment and training. Flexibility to adopt new technology or changes to improve efficiency is enabled, such as by employers and unions providing re-employment support for those losing jobs as seen in Sweden. Wage dispersion is low (Figure 21.2 ), reflecting the bargaining priorities of unions to protect low-income workers.

Competitive markets and innovation : productivity is likely promoted by high openness to trade and sound regulation of goods, services, and network industries that limits entry/exit barriers which in turn promote competition and innovation. R&D spending and intangible investment are relatively high and digitalization amongst firms is one of the highest in the OECD. (See Figure 21.3 .)

Strong social services and welfare are underpinned by sound fiscal policy : Investment in public education and health services supports high-quality human capital, while universal social welfare limits poverty, together with promoting social inclusion. As a result, government spending is high relative to GDP (Figure 21.4 ), especially in Finland and Denmark (2nd and 3rd in the OECD at around 55 percent of GDP). 2

  Tax burdens are relatively high , but the tax system seeks to limit the impact on potential growth, by relying to a relatively large extent on income and consumption taxation. In particular, personal income taxes are among the highest in the OECD, yet the labor tax wedge (including social security and payroll taxes) is contained, helping to protect employment (Figure 21.5 ). 3 , 4 Corporate income tax revenue is modestly below OECD average, limiting drag on investment and productivity. Taxes on goods and services are relatively high, yet these have less impact on growth. The prudent medium-term fiscal policy supports moderate public debt, providing fiscal space to cushion shocks, and underpinning public confidence in the ability of the government to sustain strong services and welfare support, which helps make high taxes more acceptable. Kleven ( 2014 ) finds that the high tax levels in the Nordic countries are supported by broad tax bases and substantial third-party reporting, which discourage tax evasion, while the subsidization and public provision of goods that are complementary to working (e.g. subsidized child care) encourages a high labor supply. 5

Gender equity : High female labor participation is promoted through policies including parental leave, subsidized childcare, and scope for shorter working hours for those with young families which made it easier for women to enter the workforce and return following childbirth. Gender wage gaps are among the smallest across OECD countries.

Climate change : The Nordics also have some of the most ambitious climate targets in the world and invest a considerable amount into climate change mitigation making them leaders in this area as well. Most Nordic countries implemented their climate targets into domestic law binding future ruling parties to abide by these reduction goals in the next years to come. Sweden is currently topping the Climate Change Performance Index (CCPI) and Denmark has announced to end all oil and gas activities in the North Sea by 2050. However, challenges remain, while the Nordics are on track to meet their EU climate targets, current annual rates of reductions are below what is required to meet their own targets.

Wage Dispersion(Income decile 9/decile 1)

Firms with High Level of Digital Intensity(Percent of firms)

Note : Data of Australia, New Zealand and Switzerland are from 2017, Austria and Colombia from 2019, and the others from 2018.

Social Services: Public Spending on Health and Education, 2019(Thousands of US dollars per capita and percent of GDP)

Source : OECD

Tax Wedge, 2019(Percent of labor cost)

B. Inclusive Growth Policies in Nordic Countries

The following sections highlight key aspects of the policy frameworks in Denmark and Sweden as an example.

Denmark enjoys one of the world’s highest standards of living. Strong institutions combined with sound economic and social policies have delivered robust economic performance and high social inclusion. The business climate ranks among the best in the world and education levels are high. Measures of well-being suggest Danes are among the happiest people in the world, as in other Nordic countries (IMF 2019a).

Inequality effects of new policies are usually analyzed, reflecting the importance attached to equality by Danish society. If policies are estimated to lead to sizable negative impacts on equality their political feasibility is questionable (IMF 2016). While this approach is not enshrined in law, it is a common practice when new policies are discussed in parliament. 6

The “flexicurity” labor market model has fostered high employment and incomes with low-income inequality. Denmark’s labor market model combines flexibility for businesses with security for its citizens through active labor market policies (ALPMs), high mobility, and a comprehensive income safety net (Figure 21.6 ). Despite high union and collective bargaining coverage, Danish employers can hire and fire employees without large costs, so they can quickly adapt to changing market conditions. In return, laid-off workers are supported for up to two years through an unemployment insurance fund with high replacement rates for low-income groups (up to 90 percent of previous earnings). In addition, they receive extensive job search services and educational training that is matched with current skill shortages, and employers that hire the unemployed or unskilled workers can receive subsidies. 7 Nonetheless, the very high ALMP spending does not translate in higher employment for the low-skilled when compared with countries that spend much less on ALMPs (OECD 2019).

Public Spending on Active Labor Market Policies(2016 or latest available year, percent of GDP)

Recent reforms have succeeded in boosting labor participation rates and reducing long-term unemployment, but challenges remain. Policies have been designed to keep people in employment longer, incentivize labor participation, avoid inactivity traps, upgrade skills, and improve migrant integration. For example, the 2011 pension reform raised the employment rate of older workers by linking the statutory retirement age to life expectancy. More recent initiatives include the 2018 tax reform that increased deductions for pension contributions. Nonetheless, youth inactivity has risen since the crisis due to the high skills needed to enter the Danish labor market. Moreover, skill shortages are increasing and access to skilled foreign labor remains cumbersome.

Strong employment has contributed to enhanced well-being and reduced poverty in Sweden. Sweden is a knowledge-based economy, well-integrated in global value chains, which ensures high standards of living, well-being, income, and gender equality, as well as high environmental quality to its inhabitants.

The policy framework in Sweden, the so-called “Swedish model,” puts inclusive growth at its core and is based on three pillars. In particular, it aims to “increase prosperity to the benefit of all, while safeguarding the autonomy and independence of citizens” and is based on three pillars: (i) a flexible labor market, (ii) a universal welfare system, and (iii) an economic framework that promotes openness and stability. 8 To ensure the effective functioning of these pillars, a number of prerequisites are present in Sweden: strong public finances, trust in the system, high employment, and strong social partners.

The first pillar is a flexible labor market that supports adaptation to new developments and technologies. The characteristics of the Swedish labor market are coordinated wage formation, an active labor market policy including employer-financed “job-security councils,” and generous unemployment benefits. Wages in Sweden are set through collective agreements between the unions and employers rather than through state interventions and laws. For instance, there are no statutory minimum wages in Sweden. In the past, unions have been usually constructive and embraced transformation in return for income security and active labor support measures. This framework resulted in steady real wage growth that has been in line with productivity advancements. Three active labor market policies support mobility in the labor market by (i) providing training to laid-off workers, (ii) providing subsidies to employers that hire unemployed people, and (iii) matching unemployed people with jobs. A unique feature of the Swedish model is job-security councils. These are funded by employers and actively help laid-off workers to find a job as soon as possible through financial support and job counseling. By “not protecting the job but the worker” this active labor market policy is enabling Sweden to support structural economic change. Lastly, generous unemployment benefits provide income security but are made conditional upon active job search or participation in training to incentives work.

The second pillar is a generous welfare policy that aims to achieve high and equitably distributed prosperity while promoting high employment and competitiveness. Swedish welfare policy can be distinguished by a high degree of universality, i.e. public services and transfers are designed as social rights that cover the entire population and not only disadvantaged groups. This approach avoids costly needs-testing and enhances the efficiency of the system. 9 This covers welfare services such as childcare, schools, and healthcare, social transfer systems such as social insurance, parental leave insurance, and unemployment insurance. These services support a high employment rate among women and the highest employment rate in the EU (Figure 21.7 ).

Employment Rates, 2019(Total, annual % of working age population)

The third pillar is the orientation of economic policies towards a stable economy while promoting openness and competition. The mandate of shielding the economy against major fluctuations is with the central bank. The Riksbank is tasked with attaining a 2 percent inflation target and supporting sustainable growth and a high level of employment. Fiscal policy aims to contribute to prosperity and equitable distribution of prosperity gains while stabilizing the economy through unemployment insurance and fiscal support in severe economic situations. An important prerequisite for this is Sweden’s large fiscal buffers.

Sweden Has Adopted Labor Market Reforms in Recent Years, but Challenges Remain

Seeking to raise employment of the low-skilled and migrants, the budget for 2018 boosted resources for education and streamlined active labor market policies with the aim of increasing employer participation. Nonetheless, unemployment rates of the foreign-born and low-skilled much exceed that of natives, partly reflecting bargained high de facto minimum wages which do not allow for a wage adjustment for lower-skilled. 10 , 11 Further reforms, including employment protection and public employment services, should support the employment of the low-skilled and migrants, aided by enhanced education and training (IMF 2019b). Sweden also has a long history of highly concentrated wealth, high regional inequality and has experienced one of the fastest increases in inequality in recent years. 12

The Nordic model may not be easily replicated in a wholesale manner, but it may provide inspiration for policies other countries may consider for improving inclusive growth. The sustainability of the Nordic model hinges on a high level of social trust and responsibility, including strong social norms to be working despite the availability of social supports. These social conditions including a more ethnically and culturally homogeneous population have facilitated high levels of trust and cooperation and high tax compliance. As a result, Nordic policies and institutions cannot be easily exported to other countries that are more heterogeneous or very large. Nonetheless, it is still important to learn from it and adapt parts of it that are transferable. 13 For instance, in 2008 the European Council adopted the common principles of flexicurity and called on the Member States to take them into account when drawing up and implementing “national flexicurity pathways.” 14 To help assess progress made in the implementation of the flexicurity principles, the Employment Committee agreed in 2012 on a set of monitoring indicators. These indicators are used in the annual Joint Employment Report on employment developments in the EU.

III. India: Economic Reforms for Inclusion, 1990–2020

A. introduction.

India has been one of the fastest-growing emerging market economies over the last few decades. The country’s rapid growth combined with a large population, demographics, and abundant natural resources makes it an interesting case study to understand inclusive growth and its challenges (Figure 21.8 ).

Poverty Headcount Ratio at $1.90 a day (2011 PPP) (% of population)

B. Main Features of the Indian Model

The main features of the Indian growth model have been a combination of high growth driven by economic reforms, improved macro-economic stability, and welfare schemes for the poor. All of these have contributed to enormous growth and poverty reduction.

High Growth Through Economic Reforms

GDP has grown almost five-fold since the 1990s and the per capita income has increased by four times over the same time period (Figure 21.9 ). This increase in growth was kick-started by the liberalization reforms in the 1990s and subsequent structural reforms over the years (Ahluwalia 2019 ). These reforms include dismantling of the “license-raj” (industrial licensing), opening up of Foreign Direct Investment (FDI) in many sectors, and liberalization of trade policies. While some of these reforms have taken some time, they have been pursued by various administrations. Recently, the introduction of pro-poor agricultural marketing reforms announced by the National Democratic Alliance (NDA) government is expected to boost growth. 15 Many policymakers consider this rapid growth to be central to the poverty reduction story (Bhalla 2002 ).

GDP and GDP per capita (1990–2020)

The increase in growth is noteworthy when compared with other countries during similar time periods (Table 21.1 ).

Macro-economic Stability

India’s focus on macro-economic stability in recent decades has been pivotal to its growth story. The continuity of economic policies aimed at fiscal prudence along with the Reserve Bank of India’s (RBI) monetary policies has provided a good platform for sustained growth. In addition, much of this growth has been accomplished with a sustainable level of government debt. That is, even though the average ratio of public debt to GDP has been high, much of India’s debt profile is consistent with debt sustainability given that it has been largely held by residents, denominated in domestic currency, and with a relatively long maturity. 16 The ratio of external debt to GDP has been relatively low (Figure 21.10 ).

Ratio of External Debt to GDP (Percentage to GDP, 2001–2020)

Recent policies such as the Goods and Services Tax (GST) and the Insolvency and Bankruptcy Code (IBC) have further provided a stable environment for investors. Furthermore, the introduction of inflation targeting in 2016 by the Reserve Bank of India (RBI) helped to reduce fiscal dominance in the economy and the influence of inflation in reducing real incomes of India’s poor. 17

Redistribution Through Welfare Policies

The welfare policies of successive administrations in the country were major drivers of poverty reduction besides economic growth. Overall, India has a very thin benefit system. Since there is no social security system, welfare benefits are focused on providing income support to the poorest of the poor and comprise mainly of food price subsidies and subsidies for heating oil and fuel. The previous administration (from 2004–2014) focused on food subsidies and cash transfers but this resulted in large leakages in the system (due to corruption) including food wastages. The Mahatma Gandhi Rural Employment Guarantee Scheme (MGNREGS) was one such initiative that was started in 2005. It was one of the world’s largest employment guarantee schemes that provided direct cash to the poor. This accounted for an average of 2.3 percent of GDP in 2008 (Ahmad 2013 ). The employment scheme helped pioneer cash transfers in India until 2014. However, there were leakages in the system that led to the NDA government using digitization and the Direct Benefits Transfer (DBT) system (discussed below) to improve efficiency.

Since 2014, a variety of other schemes have also been introduced to reduce leakages through digitization, and also improve sanitation and health care among the poor. The Swachh Bharat initiative, which was started with the goal of universal sanitation coverage for all Indians, has improved the lives of poor Indians significantly. 18 The scheme helped to improve the coverage of sanitation in the country from less than 50 percent in 2014 to almost 100 percent in 2019. 19

C. Inclusive Growth in India

Inequality in India has been increasing in recent years driven largely by urban inequality (Balasubramanian, Kumar, and Loungani 2021 ). As seen in Figure 21.11 , the net Gini coefficient for consumption has been gradually increasing in the last few decades. Compared to other countries such as China and Indonesia, the increase in inequality is not as large. 20

Comparative Consumption Gini Coefficients: China, India, and Indonesia

One can also measure inequality through the Growth Incidence Curves (GIC). The GIC could be represented in terms of growth rate in incomes for a percentile of the income distribution (Ravallion and Chen 2003 ) or by using the mean income in the quantile group for a percentile of the income distribution as in (Lakner and Milanovic 2016 ). As shown in Figure 21.12 , we use the mean income in the quantile group similar to (Lakner and Milanovic 2016 ). 21 For every decile of the population and subpopulation (rural, urban) we compute annual consumption growth rates in 2011 PPP dollars. An upward sloping GIC indicates higher growth among relatively richer groups (more unequal) while if all growth is equally shared by all quantiles of the population, then the GIC should be flat. As seen in Figure 21.12 , for the national aggregate, the 1st decile bottom 10 percent grew by only 1.7 percent whereas the 10th decile (topmost decile) top 10 percent grew by almost 2.38 percent from 1983–2011. 22 Similarly, for the rural areas, the 1st decile bottom 10 percent grew by 1.75 percent whereas the 10th decile top 10 percent grew by almost 1.95 percent. Unsurprisingly, much of the inequality seems to be in the urban areas with the 1st decile bottom 10 percent growing by 1.25 percent (lesser than the rural bottom 10 percent, 1 st decile) and the 10th decile top 10 percent growing by 2.5 percent (much higher than the rural top 10 percent, 10th decile) respectively. This further corroborates that much of the Indian inequality story is driven by urban inequality than anything else.

Growth Incidence Curve (1983–2011)

Poverty reduction in India has been achieved through a combination of rapid growth and redistributive welfare policies in the country. Even though many efforts have been done to eradicate poverty, approximately 270 million people are still considered to be poor.

Economic growth has played an important role in eradicating poverty. Besides improving the quality of life in the upper and middle classes, rapid growth has also reduced poverty significantly. Table 21.2 below highlights the impact economic growth had on poverty in the last few decades:

Note : The annual averages are for the period preceding the year indicated. Thus, 6.2% is the annual average growth of GDP from 1993–1994 to 2004–2005.

As seen in the table, the percentage of the population in poverty fell from 403.7 million (45.3 percent) to 269.8 million (21.9 percent) people within the span of two decades. Much of this correlation can be attributed to the vast set of opportunities that opened up for the poor as a result of rapid growth during this time. It was also during this phase that education and health indicators for the poor improved significantly. Besides growth, redistribution policies mentioned earlier also helped achieve inclusive growth.

One of the main recent re-distribution initiatives has been the Direct Benefit Transfers (DBT) to the lowest income people in India. With the aim of improving the efficiency of welfare schemes to improve targeting of beneficiaries, de-duplication, and reduction of fraud, the DBT was formally announced as a flagship initiative in 2013 (Narayanan 2013 ). 23 The JAM trinity (Economic Survey 2015 /2016)—Jan Dhan, Aadhar, and Mobile—has further improved the efficiency of the DBT scheme. 24 The Aadhar initiative has ensured that over a billion Indians have a digital ID and there has been an equal number of mobile connections in the country. Both of these have been integrated with the Pradhan Mantri Jan Dhan Yogana scheme (Today 2019 ) which has created more than 410 million bank accounts for Indians who are poor. One of the biggest advantages of the DBT scheme is that the transfers are targeted to persons with incomes below the poverty line, i.e the 10th and 20th decile levels in the GIC shown earlier. While there are still data challenges in terms of micro-data, general trends seem to indicate substantive progress in uplifting the poor.

The evolution of DBT in recent years has improved the efficiency of direct transfers significantly. Figure 21.13 below shows the evolution of DBT transfers from 2013 onwards until early 2021. The DBT transfers have increased from almost 1,034 million USD in 2013/14 to almost 33,660 million USD in 2018 (approximately 1.3 percent of India’s GDP) followed by approximately further 27,757 million USD till early-2021. There has been a more than 50 percent increase in transfers since data was first shared in 2013. The integration of the JAM Trinity has accelerated significantly and the resulting improvements in efficiency have further improved the outcomes especially in the context of identification of fake accounts and reduction of corruption due to the elimination of middlemen in many of these transactions (Kumar 2019 ).

DBT Overall Progress vs Year 2013–2020/21

Note : *2020–21 as of 2/14/2021

There are many plausible scenarios through which this could impact inequality in India. Since the DBT scheme is targeted at the lower decile levels, i.e. the transfers are directly transferred to the 10th and 20th decile of the population, if all of the efficiency gains are transferred back to the DBT schemes, it could result in strong income growth of the poor and could reduce inequality between the lower and top decile levels. If the efficiency gains were used elsewhere other than the DBT schemes, the reduction in inequality could be lower. Lastly, if the expansion of DBT continues for the next 5–10 years, there could be substantial growth in incomes for the 10th and 20th decile levels, further reducing inequality between the lower and the top decile levels.

There are also challenges within the DBT system that needs to be met to sustain outcomes. These include the need for greater penetration of the JAM trinity among the remaining population, more tracing and elimination of fake recipients, and improvements in the infrastructure to sustain these transfers at a larger scale. Data privacy concerns, and as a consequence, access to micro-data for researchers also need to be addressed as India ramps up these initiatives.

In retrospect, the Indian inclusive growth model provides an important perspective in addressing inequality. While it is still a work in progress, it provides a large enough case study for other countries to learn from, especially on the impact efficacy of the welfare schemes mentioned above. A combination of rapid growth, macro-economic stability, and targeted welfare schemes can promote inclusive growth as shown in India.

IV. Growth and Equity in Brazil

Brazil has been striving to strengthen its inclusive growth since the early 2000s. The commodity boom of 2000 to 2014 and social policies of the 2000s improved GDP growth and equity and reduced both informality and poverty. At the same time, growth in Brazil was still lower than that of its peers. The 2015–2016 crisis and subsequent slowdown once again reinforced the need for Brazil to improve its inclusive growth. The case of Brazil allows us to explore how long-standing growth constraints and successful macroeconomic and social reforms affect development.

A. Growth Dynamics

Since 2000, growth in Brazil, on average, underperformed average growth in EMDEs and emerging Asian economies (Figure 21.14 , left chart). Albeit slower than in its peers, growth had been accelerating in the 1990–2000s, supported by the commodity boom and increasing external demand. However, in 2015–2016, large macroeconomic imbalances, a loss of investors’ and consumers’ confidence, lower commodity prices, and tight financing conditions triggered a deep recession.

Growth Dynamics

Brazil grew slower than its peers with similar income per capita. Figure 21.14 (right chart) illustrates a standard growth theory idea that countries at a higher income level grow slower. Since per capita GDP in Brazil in 2000 was above that of Emerging Asian economies, the theory predicts that Brazil should have grown slower than them in the years that followed. Slower convergence with advanced economies and slower growth would, in this model, be explained by the smaller gap between Brazil and advanced economies. However, between 2000 and 2015, Brazil grew even slower than most economies with similar income per capita due to country-specific growth constraints (Figure 21.14 , right chart accordingly shows that economies with income per capita broadly similar to Brazil grew faster, as indicated by their position above Brazil).

Hausmann et al. (2005) and Arnold ( 2011 ) found that low domestic savings and high cost of finance were binding constraints for growth. Hausmann et al. (2005) noted that both saving and investment rates were low. 25 At the same time, Brazil actively borrowed abroad and was limited by external borrowing constraints. Brazil also had high real interest rates and loan-deposit interest spreads. These high interest rates and accumulating external debt indicated that Brazil’s growth constraint stemmed from low domestic savings rather than low return on investment. 26 Entrepreneurs wanted to invest despite a weak business environment, high taxes, inadequate infrastructure, and insufficient human capital but were limited by Brazil’s constrained financial resources.

Accumulated fiscal imbalances contributed to the 2015–2016 recession and became an important constraint on subsequent growth. Unsustainable public finances and a governance crisis caused large macroeconomic and policy uncertainty. As of 2018, Brazil had higher debt and taxes, and a weaker business environment relative to its peers (Balasubramanian et al. 2021 ). Given its relatively young population, public pension spending in Brazil is high, amounting to about 14 percent of GDP in 2018. Large pension expenditure stemmed from low retirement age (54 vs 64 years in the OECD economies), generous benefits relative to earnings (70 vs 53 percent in the OECD), and special regimes for civil servants and armed forces (IMF 2019). High-skilled workers and public employees benefited from the pension system more than the low-skilled and those in rural areas, as (the present discounted value of) the difference between lifetime pension benefits and contributions were higher (IMF 2019). Reducing pension and other current expenditures became a key near-term task.

Between 2016 and 2019, Brazil passed several important laws improving fiscal sustainability. It introduced a fiscal rule imposing a ceiling on current expenditure. The landmark pension law, approved in October 2019, was expected to reduce spending by 11 percent of GDP over ten years relative to the counterfactual without this reform. The new pension law was also intended to improve domestic savings and address an important growth constraint.

B. Inclusive Policies

With growth in 2000 to 2014 being higher than in the 1990s, Brazil achieved significant progress in the reduction of poverty and informality before the recent recession of 2015–2016. Between 2000–2014, the poverty rate declined from 9.9 to 2.4 percent but somewhat increased during the 2015–2016 recession (Figure 21.15 , left chart). The female labor force participation rate continued its rising trend in the early 2000s and stabilized around 55 percent after 2004. Available survey data shows a decline in informality from 34 to 28 percent of adults between 2005 and 2015. 27

Inequality and Poverty

Brazil was able to reduce its poverty rate more than many other counties with similar GDP growth rates and initial poverty rates (Figure 21.15 , right chart). The 2003–2013 commodity boom that drove GDP growth was particularly helpful in reducing poverty rates, as it created a demand for a low-skilled labor force. In addition, innovations in social assistance contributed to poverty reduction in Brazil.

The 2000–2014 commodity boom reduced poverty and informality rates by boosting demand for a low-skilled labor force and providing resources for fiscal expenditure (IMF 2018). Labor-intensive domestic mineral mines were especially helpful in reducing poverty, as they increased employment. Capital-intensive offshore oil and gas producers contributed to the reduction of poverty mostly through the fiscal channel: the government had resources to increase public investment and employment. Higher-income due to the commodity boom also increased domestic demand and drew labor from agricultural and informal sectors into services and construction.

Brazil has been at the forefront of anti-poverty government policies. In 2003, Brazil launched the Bolsa Familia Program (BFP). In 2015, this program constituted 0.44 percent of GDP or one-third of the annual spending on the social safety net program (almost two-thirds belonged to social pensions) (World Bank 2018 ). This program provides conditional cash transfers (CCTs) to the extremely poor while supporting human capital accumulation by requiring better school attendance, vaccination, and pre-natal visits. About 60 percent of the poorest quintile receive CCTs and about 80 percent of CCTs go to the two poorest quantiles (World Bank 2018 ). In 2018, more than 20 percent of the population was enrolled in the BFP. The BFP helps increase women’s share in the household income, as 90 percent of direct recipients are women.

While the BFP has clearly been instrumental in supporting the poor, its effects on (formal) employment have been the focus of many studies. Potentially, larger social assistance and higher tax rates on marginal earnings can reduce labor supply (Moffit 2002; Borjas 2005 ). In addition, the BFP eligibility criteria can potentially create incentives to stay in the informal economy: informal workers can underreport their incomes to become eligible for stable BFP transfers. However, Fruttero et al. (2020) found that the BFP has been instrumental in reducing informality and supporting formal labor market participation for both men and women, especially in younger cohorts. Fruttero et al. (2020) offer two explanations why CCTs improve formal labor market participation: (i) transfers cover the costs of job searching; (ii) they also improve psychological well-being that is necessary to break free from a cycle of poverty (Mullainathan and Shafir 2013 ).

Brazil has reduced the gender gap between 1990 and 2014. The female labor force participation rate increased from 42 percent in 1990 to about 55 percent in 2004 and plateaued afterward. Women’s relative wages have also improved: women’s wages were only 53 percent of men’s wages in 1995; this share increased to 70 percent in 2014 (Pinheiro et al. 2016 ). According to the WEF’s Global Gender Gap Index, the gender gap declined from 35 percent to 31 percent between 2006–2014. 28 A decline in the educational gap between men and women played a major role in these improvements: by 1991 women had more years of education than men and by 2000 this gap had increased further, while overall years of education continued to increase both for women and men (Beltrão and Alves 2013 ). Policies also contributed to this positive dynamic. For example, the administration of President Lula de Silva introduced the National Plan for Women’s Policies in 2004 focusing on women’s access to education, financial services, the labor market, health services, and protection against violence.

While Brazil has reduced inequality to an extent, it remains one of the most unequal economies in the world. Between 2000–2014, the Gini coefficient declined from 58.4 to 51.9 (Figure 21.15 , left chart). Using state-level Gini coefficients, Goes and Karpowicz (2017) found that labor income growth, formalization, and schooling contributed to the decline in inequality during 2004–2014. However, the Gini coefficient is based on surveys and may not take into account the income of top earners. Tax data provided by the World Inequality Database shows that the top 10 percent of earners received around 55 percent of total income between 2001–2018 and that this share was stable. Assouad et al. ( 2018 ) explained persistently high inequality by large regional inequality stemming from the colonial and slave-owning period. In the twentieth century, meanwhile, industrialization favored a minority of formal workers, while a limited agrarian reform led to the high concentration of land ownership. Education is still unequally distributed, and most adults do not have secondary schooling (Medeiros 2016 ). Providing access to education and closing the quality gap between private and public schools is necessary to reduce inequality.

In summary, Brazil provides an important case for development economists and policymakers. Some long-term constraints, such as low domestic savings, limited Brazil’s growth in the 2000s. Accumulated fiscal imbalances became an important growth constraint and contributed to a deep recession in 2015–2016. The public pension system that had required reforms for many years connected these two constraints: large spending on pensions reduced incentives to accumulate private savings, limiting public saving, and undermining public sustainability. At the same time, Brazil achieved progress in reducing poverty rates and informality. It did so by boosting employment during the commodity boom and creating an effective social assistance system.

V. The Middle East: The Case of Egypt

Egypt has averaged economic growth of about 4 percent over the past two decades, mainly driven by capital deepening. While Egypt is considered as a fast-growing economy in the Middle East (MEs) region (Figure 21.16 , left side), economic growth has been insufficient to improve the living standards in a context marked by high population growth. Figure 21.16 shows the GDP per capita during the past decade, 2010–2019, which point to a wide gap between Egypt and MEs and EMDEs. This performance could be explained by the growth model relying mainly on capital deepening, while labor and productivity contributions were lagging (IMF 2018a).

Average Growth and GDP per capita from 2010–2019

Like many other emerging market economies, Egypt is perceived as a country with high inequality. During the Arab Spring in 2011, inequality and poverty have been cited as the main cause of the uprisings. Since then, inequality and poverty have been an important concern for both policymakers and the general public (World Bank, 2015 ).

Looking at official measures of income inequality suggests low-income inequality, in stark contrast with the general perception. For instance, Enbaby and Galal (2015) confirm that the wide perceptions of income inequality are at odds with standard measurements, such as the Gini index, which shows only slightly declining levels of income inequality. The conflict between perceptions and evidence from available data has given rise to a “MENA inequality puzzle” (Verme et al. 2014 ), which is particularly relevant to Egypt. This section explores this puzzle, together with measurement issues, and provides some explanations from the literature.

On the macroeconomic front, Egypt implemented in the past inconsistent macroeconomic policies which, by 2016, had led to a build-up of significant imbalances. Large budget deficits, loose monetary policy, and a fixed exchange rate had resulted in a drastic reduction in foreign exchange reserves, high inflation, and unsustainably high levels of public debt. Growth had fallen and unemployment increased, especially among women and youth. As part of an IMF program concluded in late 2019, an Extended Fund Facility (EFF), Egypt paid special attention to policies and reforms to reduce inequality and alleviate poverty. These reforms consist of targeted cash transfers, reducing energy subsidies, and policies to increase female labor participation.

A. Inequality Between Perceptions and Official Data

The Gini coefficient is arguably the most commonly used measure of inequality. Since 1958, the Egyptian income distribution has been relatively egalitarian by the standards of developing countries, with the Gini index ranging from a high of 32.8 in 1999 to a low of about 31.5 in 2017. This narrow range points to the relative stability of income inequality in Egypt despite facing significant economic changes and shocks over this period. However, as highlighted in Verme et al. (2014), Gini estimates in Egypt are characterized by a large discrepancy between different studies in the literature.

Figure 21.17 shows that Egypt is more egalitarian than many emerging economies and several advanced countries. The most unequal countries are on the right with a high Gini index. Egypt’s Gini is just over 0.3, which is low by international standards and even by the standards of the rest of the MENA countries.

Gini Index for 75 Countries from Around the World in 2015

However, there are significant perceptions of high inequality in Egypt. Measures of public perceptions come from the World Values Survey (WVS). The WVS is a global survey of views and opinions across a wide range of issues and is conducted every five years. The survey asks a question on people’s attitudes toward inequality, measured on a scale from one to ten, where one indicates a desire for more equality and ten indicates a tolerance for higher inequality.

Figure 21.18 depicts the results from WVS surveys during 2001, 2008, and 2012 for the same question on inequality. The figure clearly shows that the group in favor of income equality has been rising over time—comprised more than 35 percent of respondents in 2012 (up from 2.6 percent in 2001). At the same time, the group tolerant for inequality has become smaller, reaching 10 percent of respondents in 2012 (down from 32.8 percent in 2001). The increase in aversion to inequality in Egypt is comparable to MENA countries, while greater than elsewhere in the world (WVS 2001, 2008, 2012).

Public Perception of Inequality (as % of Respondents)

Overall, the change in people’s perceptions observed over the period from 2000 to 2012 has been a result of two factors. First, economic aspects became more important as the country experienced various shocks. For instance, spillovers from the Global Financial Crisis (GFC) in 2008 and the economic crisis following the uprisings of 2011 had a major impact on people’s lives and wellbeing. Second, regional factors have been also behind the changing perceptions on inequality, as rising globalization during 2000–2012 and the opening to GCC countries have made people more aware of income distribution in the region. 29

The relatively low and stable measured inequality is at odds with the general perception of high inequality. This observation could hide a few data issues as raised in Alvaredo and Piketty ( 2014 ). Data sources relying on income surveys are insufficient to derive reliable estimates of income inequality in Middle East countries, and particularly in Egypt. Household income and expenditure surveys could underestimate the level of inequality possibly by a very large margin (e.g. Latin America). To check the reliability of Gini coefficient estimates, one would need reliable fiscal data on income tax in order to complement survey results, as household surveys often fail to account for top incomes.

B. Solving the Puzzle: Data vs Perceptions

Several studies investigate whether inequality is underestimated or misreported. Hlasny and Verme ( 2018 ) focus on understanding whether the low estimates for the Gini coefficient in Egypt are a result of top households systematically under-representing their incomes in surveys. Their main finding is that households’ income survey data do not appear to suffer from this potential systematic bias. However, Van der Weide, Lakner, and Ianchovichina (2016), using data on house prices to estimate the top tail of the income distribution, find evidence that inequality is considerably underestimated in Egypt, where the Gini coefficient for urban Egypt was revised from 0.36 to 0.47. Johannesen ( 2015 ) provides evidence of high wealth inequality using data on financial assets held abroad by MENA individuals. The author uses a dataset from the Bank of International Settlements (BIS) on cross-border bank deposits to estimate the size of wealth hidden in tax haven bank deposits. The findings indicate that the size of haven deposits is not linked to expenditure inequality, suggesting that quantitative evidence does not support the perception of such wealth held abroad while. 30 Using different approaches and data sources, these papers show mixed results on the accuracy of Gini estimates.

Another stream of this literature, such as Assaad et al. (2018), has examined inequality of opportunity, which can better capture the notion of unfairness and social injustice that may lie at the root of popular perceptions. Assaad et al. (2018) use survey data between 1988 and 2012 to link individual wages to parental education as well as household consumption to parental education of the household head. While inequality of opportunity did not show any increase during the study period, the paper shows that the wealth of those born to middle-class families collapsed toward those born to lower-class families, and the gap between the latter and those with an upper-middle-class background narrowed. At the same time, those at the higher end of the income distribution have remained quite apart from the rest. This finding shed light on the growing discontent of the middle class, which is potentially behind rising inequality perceptions.

Moreover, one of the sharp observations on the inequality of opportunity is related to education. As shown by Assaad ( 2013 ), the probability of a boy from a poor family enrolling in university is estimated to be only 9 percent compared to 97 percent for a boy from a most advantaged family. In addition, estimates of inequality of opportunity in educational achievement (TIMSS scores for eighth-graders) also show considerable inequality in Egypt.

Attempts to solve the inequality puzzle for Egypt clearly indicate mixed results suggesting that there are several factors at play. Missing top incomes, data quality issues, and inequality of opportunity are all good candidates for an underestimated Gini coefficient, which is one piece of the puzzle. On the other hand, people’s beliefs are also important to examine in order to explain the other piece of the puzzle. Indeed, perceptions about inequality and the unfairness of the distribution could be determined by regional or global inequality, and not only on a national level. Also, the middle-class growing discontent could be related to upward mobility rigidity. People judge inequality not only by the perceived gap between their own income and the income of others but also by the perceived gap between their actual income and their expected income. With high growth rates in the run-up to the GFC, people feel frustrated that benefits of growth are not shared, and their income did not grow as expected.

C. Policies in Favor of More Inclusion

Inconsistent economic policy management, together with other structural factors and the economic hit of the 2011 revolution, led to large imbalances. Low economic growth and investment, rising inflation, high government debt, and high unemployment characterized this period. To counter these imbalances Egypt engaged in a home-grown economic reform program, supported by the IMF over three years, starting from November 2016. The program achieved its key objective of macroeconomic stability, which is a precondition to attract investment, raise growth, and create jobs. This sets the stage for broader reforms, such as improving the business climate and fostering inclusive growth.

Indeed, one component of the authorities’ program was to address extensive fuel subsidies, which were a significant drain on the budget and benefited the rich. These subsidies made fuel in Egypt one of the cheapest in the world, encouraging excessive consumption and benefiting the well-off far more than the poor because those with means consumed more. Phasing out fuel subsidies created more room in the budget for better-targeted social spending, as well as more investment in health, education, and public infrastructure.

The authorities’ reform program also entailed a modern social spending system of a couple of cash transfer programs targeted to those most in need. For example, Takaful and Karama, which were implemented in March 2015 and expanded during the program, are conditional and unconditional cash transfer programs. “Takaful” or “Solidarity” is a conditional (on school attendance among other criteria) cash transfer program aimed at supporting vulnerable families’ consumption, reducing poverty while encouraging families to keep children in school and providing them with needed health care. The main goal of this program is to build the “human capital” of the next generation and give them an opportunity for upward mobility. On the other hand, “Karama” or “Dignity” is an unconditional cash transfer program aiming at supporting poor elderly citizens. These programs were the most cost-effective way to ensure that the poor did not bear the costs of these economic adjustments. Social policy centered around Takaful and Karama was critical to ensuring public support for the broader reforms Egypt needed to undertake to stabilize the economy and to lay the foundation for higher and more inclusive growth.

These cash transfer programs have enrolled about 2.25 million families with a significant social and economic impact. The International Food Policy Research Institute (IFPRI) has conducted an evaluation of these programs in late 2018 through a survey conducted across the country (IFPRI 2018). The findings of this assessment point to about 89 percent of the sample are either very satisfied or somewhat satisfied. About 93 percent of transfer recipients reported no difficulties in receiving this support. On the economic impact, these programs have helped households to increase their consumption by about 8.4 percent, compared to people who did not receive the transfers.

Policies were also implemented to foster job creation for women and the youth. Policies in favor of women inclusion in the labor market, implemented in 2017, were centered around allocating more public expenditure to improve the availability of public nurseries and other facilities to enhance the ability of women to actively seek jobs. Efforts in this area also included establishing a joint Ministerial committee as well as representatives of the Women’s council, academia, and business community with the objective to improve women’s participation rate in the labor force. The committee is working with UN women to introduce and effectively implement gender budgeting in the future. It is also responsible for simplifying rules and facilitating registration of home-based nurseries, to expand job opportunities for women and child-care for working mothers (IMF 2018b). The outcome of these policies was positive but somehow limited to the extent that female labor participation has increased only slightly from 21.8 percent in 2017 to 22.1 percent in 2020. Other programs included Forsa, a program that helps create job opportunities, launched in early 2018, and Mastoura, a program for microcredit directed to women, which covered more than 6000 projects in its first phase of inception in 2017.

Further, Egypt’s recent policies are focused on revamping the growth model allowing more room for the private sector to take the lead in job creation. The government has undertaken several structural reforms to promote inclusive growth. For instance, the authorities have initiated reforms in areas related to competition policy, the public procurement system, management and transparency of State-Owned Enterprises, industrial land allocation, and management of public finances. These reforms have the potential to significantly improve the investment climate and, therefore, boost job creation, which would absorb a large and growing young population.

More broadly, the path to inclusive growth and more equality in income is tied to the opportunities offered by the economy. Significant progress has been achieved with a positive impact on, both, social and economic levels. Looking forward, broadening and better targeting these programs together with sustainable economic growth are sine qua non conditions to make growth more inclusive.

VI. Lessons and Conclusions

The country cases demonstrate that achieving inclusive growth requires a multipronged approach to policies. In each country example, government policies address several facets of the economy and society that are key to inclusion. For example, these range from labor market policies to business regulation and policies for trade, migration, and capital flows to the use of tax policy and public spending. Programs also need to target different groups that fall behind, especially the extreme poor, who are also often women or youth.

The Nordic model represents some of the best practices in inclusive growth and exemplifies the wide span of policies that bear on success. The policy framework creates an extensive role for government, but not just in terms of redistribution. The government facilitates a strong business environment for stable and sustainable growth by ensuring macroeconomic stability. It fosters competition and innovation in domestic markets and promotes integration with international markets. Social partners cooperate in labor markets to reduce wage inequality while ensuring labor market flexibility and social cohesion. The government combines broad safety net programs to support incomes and assure access to public services, with policies such as retraining to help people find new jobs and adjust to changing economic conditions.

The efficacy of policy measures depends on their interaction with other measures and the country’s economic conditions. For instance, Sweden does not have a minimum wage, yet protects worker wages through a strong collective bargaining system. With Sweden’s high rate of employment and strong capacity in mobilizing fiscal revenue, it can afford a system of universal social services. In contrast, a system of universal income services is out of fiscal reach for most developing countries, as in the case of India.

The cases show that policies to promote high and stable economic growth are still relevant for achieving inclusion. High rates of growth were especially pivotal in reducing poverty in India and Brazil over much of the past two decades. Growth led to increases in jobs and incomes in the private sector. Growth also expanded public resources to raise social assistance programs. Conversely, bouts of economic instability or episodes of crises have set back progress in inclusion, especially in poverty reduction.

Growth is not a panacea though and well-designed public programs can go a long way in fostering inclusion. Brazil realized more poverty reduction than Chile, despite having lower growth per capita during 2000–2015. Its Bolsa Familia Program covered a large share of the extreme poor and coupled its income support with conditionality to improve education, health, and support to women. Unconditional and conditional cash transfers were successful features of social assistance in Brazil and Egypt and direct benefit transfers in India. Education has been important across the board for helping people escape from poverty and raising the labor force participation of women.

Likewise, poorly designed or targeted policies can impede inclusive growth. Although on the surface it may seem that a generous pension system could be a feature of inclusion, the case of Brazil demonstrated that an overly generous and poorly targeted system contributed to fiscal deficits and low domestic savings, which factored into high-interest rates and lower growth relative to peer countries. Prior to the reform introducing the direct benefit transfers, India’s social assistance was plagued by leakages and corruption. Egypt’s extensive energy subsidies mainly benefited higher-income households and were large drains on public finances that could have been used for programs more targeted to the poor. And even well-managed inclusive growth frameworks, such as in Denmark and Sweden, have room for improvement on some dimensions, such as enhancing work opportunities for the low-skilled and foreign-born workers.

Technology can drastically improve the scope for implementing effective policies, even in developing countries. This is illustrated best in the case of India, where the use of digital IDs has enabled the expansion and more efficient administration of public transfers, with less corruption, as well as spurred the creation of millions of bank accounts that increased financial inclusion.

Statistics on distribution are important for understanding the state of inclusiveness and for designing the policy response. The case of Egypt demonstrates that official data on inequality had not suitably reflected the perception of it. More work is required, for all countries, to fill in data gaps related to misreported income and wealth. The example also suggests that the public’s tolerance for inequality may not be adequately represented by the Gini coefficient as an indicator. It may also depend on perceptions of the scope for social mobility over time and over generations, and whether improvements in economic and social match expectations of them.

Ahluwalia, M.S.   2019 . “ India’s Economic Reforms: Achievements and Next Steps. ” Asian Economic Policy Review 14(1): 46–62.

Google Scholar

Ahmad, E.   2013 , April. Effects of Mahatma Gandhi National Rural Employment Guarantee Scheme on expenditure in rural households.

Google Preview

Alvaredo, F. and T. Piketty . 2014. Measuring Top Incomes and Inequality in the Middle East: Data Limitations and Illustration with the Case of Egypt . Economic Research Forum Working Paper 832.

Arnold, J. 2011. “Raising Investment in Brazil,” OECD Economics Department Working Papers, No. 900, OECD Publishing, Paris.

Assaad, R.   2013 . “Equality for All? Egypt’s Free Public Higher Education Policy Breeds Inequality of Opportunity.” In Does Free Education in Egypt Lead to Equality of Opportunity? , edited by A. Elbadawy and C. Krafft . Cairo: Population Council.

Assaad, R. , C. Krafft , J. Roemer , and D. Salehi-Isfahani . 2018 . “ Inequality of Opportunity in Wages and Consumption in Egypt. ” Review of Income and Wealth 64: S26–S54.

Assouad L. , L. Chancel , and M. Morgan . 2018 . “ Extreme Inequality: Evidence from Brazil, India, the Middle East, and South Africa ”, AEA Papers and Proceedings 2018, 108: 119–23.

Balasubramanian S. , L. Bounader , J. Bricco , and D. Vasilyev . 2021. “Is There a One-Fits-All Approach to Inclusive Growth? A Case Study Approach,” IMF Working Paper WP/21/111.

Balasubramanian, S. , R. Kumar , and P. Loungani . 2021 . “ Inequality and Locational Determinants of the Distribution of Living Standards in India. ” IMF WP/21/50.

Beltrão, K.I. , and J.E.D. Alves . 2013 . “ The Reversal of the Gender Gap in Brazilian Education in the Twentieth Century. ” Cadernos de Pesquisa 39(136): 125–56.

Bhalla, S.S.   2002 . Imagine There’s No Country: Poverty, Inequality and Growth in the Era of Globalisation . USA: Peterson Institute for International Economics.

Borjas, G.J.   2005 . Labor Economics . New York: McGraw-Hill/Irwin.

Central Statistics Office. 2014. National Accounts Statistics (various years). Ministry of Statistics and Programme Implementation, Government of India. Accessed 23 March 2018: www.mospi.nic.in

Cerra, V.   2021 . “An Inclusive Growth Framework.” In How to Achieve Inclusive Growth , edited by V. Cerra , B. Eichengreen , A. El-Ganainy , and M. Schindler . London: Oxford University Press.

Danish Agency for Labor Market and Recruitment, “Flexicurity” https://star.dk/en/about-the-danish-agency-for-labour-market-and-recruitment/flexicurity/

David A. , C.E. Gonçalves , and A.M. Werner . 2020. “Reexamining the National Savings-Investment Nexus Across Time and Countries,” IMF Working Paper WP/20/124.

Economic Survey, G.   2015 /2016. Spreading JAM across India’s economy. Economic Survey, Government of India.

European Council. 2008 . Implementation of the common principles of flexicurity within the framework of the 2008–2010 round of the Lisbon Strategy- Report by the “flexicurity” mission. 17047/1/08.

El Enbaby, H. and R. Galal . 2015. September. “Inequality of Opportunity in Individuals’ Wages and Households’ Assets in Egypt.” In Economic Research Forum Working Paper Series No (Vol. 942).

Fruttero A. , A.L. Leichsenring , and L.H. Paiva . 2020. “Social Programs and Formal Employment: Evidence from the Brazilian Bolsa Família Program,” IMF Working Paper WP/20/99.

Goes Carlos, Izabela Karpowicz . 2017. “Inequality in Brazil: A Regional Perspective,” IMF Working Paper WP/17/225.

Government Offices of Sweden. 2017 . Ministry of Finance “The Swedish Model”.

Hausmann, R. , D. Rodrik , and A. Velasco . 2005 . “ Growth Diagnostics, ” John F. Kennedy School of Government, Harvard University (Cambridge, Massachusetts).

Hlasny, V. , and P. Verme . 2018 . “ Top Incomes and the Measurement of Inequality in Egypt. ” The World Bank Economic Review 32(2): 428–55.

International Food Policy Research Institute. 2018 . “ Egypt’s Takaful and Karama Cash Transfer Program Evaluation of Program Impacts and Recommendations ”. IFPRI Policy Brief.

International Monetary Fund (IMF). 2016 . “ Denmark 2016 Article IV Consultation—Staff Report, ” Box 1. Income Inequality in Denmark.

International Monetary Fund (IMF). 2017 a. India: 2017 Article IV Consultation Staff Report. IMF Country Report No. 17/54. Washington DC: International Monetary Fund.

International Monetary Fund (IMF). 2017 b. India: 2017 Selected Issues. IMF Country Report No. 17/55. Washington DC: International Monetary Fund.

International Monetary Fund (IMF). 2018 . “ Poverty and Inequality in Latin America: Gains during the Commodity Boom but an Uncertain Outlook, ” IMF Regional Economic Outlook (Western Hemisphere Region), Chapter 5, May 2018.

International Monetary Fund (IMF). 2018 a. Egypt 2017 Article IV Consultation, Second Review Under The Extended Fund Facility.

International Monetary Fund (IMF). 2018 b. Egypt Third Review under the Extended Fund Facility (EFF).

International Monetary Fund (IMF). 2019 a. “ Denmark 2019 Article IV Consultation—Staff Report, ” IMF Country Report No. 19/178.

International Monetary Fund (IMF). 2019 b. “ Sweden 2019 Article IV Consultation – Staff Report ”, IMF Country Report No. 19/88.

International Monetary Fund (IMF). 2019 c. “ Brazil 2019 Article IV Consultation – Staff Report, ” IMF Country Report No. 19/242.

Johannesen, N.   2015 . Economic Inequality in the MENA Countries—Evidence from Cross-Border Deposits. mimeo.

Kleven, H.J.   2014 . “ How Can Scandinavians Tax So Much? ” Journal of Economic Perspectives 28(4): 77–98.

Kumar, S.B.   2019 . For Indian farmers, Direct Benefit Transfers can work better than fertilizer subsidies. International Food Policy Research Institute.

Lakner, C. , and B. Milanovic . 2016 . “ Global Income Distribution: From the Fall of the Berlin Wall to the Great Recession. ” World Bank Economic Review 30: 203–32.

Ljungqvist, Lars , and Thomas Sargent . 2008 . “ Two Questions about European Unemployment. ” Econometrica 76(1): 1–29.

Medeiros, M.   2016 . “ Income Inequality in Brazil: New Evidence from Combined Tax and Survey Data, ” World Social Science Report 2016.

Moffitt, R. A.   2002 . “Welfare Programs and Labor Supply.” In Handbook of Public Economics , edited by A.J. Auerbach and M. Feldstein (org.)., Vol. 4. North-Holland: Elsevier.

Mullainathan, S. , and E. Shafir . 2013 . Scarcity: Why Having Too Little Means Too Much . New York: Henry Holt.

Narayanan, K.   2013 . Press Information Bureau, Government of India. Retrieved from Press Information Bureau, Government of India: https://pib.gov.in/newsite/mbErel.aspx?relid=92113 .

Organisation for Economic Co-operation and Development (OECD). 2019 . “ OECD Economic Surveys: Denmark 2019, ” OECD Publishing, Paris.

Pinheiro, L.J. , A.T. Lima Junior , N. Fontoura , and R. Silva . 2016 . Women and Labor: Brief Analysis of the 2004–2014 period. Technical Note, IPEA, Brasilia.

Rangarajan, C.   2014 . Report of the Expert Group to Review the Methodology for Measurement of Poverty. Planning Commission, Government of India. Accessed 23 March 2018: www.planningcommission.nic.in

Ravallion, M. , and S. Chen . 2003 . “ Measuring Pro-poor Growth. ” Economics Letters 78(1)93–9.

Today, I.   2019 , April. Over Rs 1 lakh crore deposited in Pradhan Mantri Jan Dhan Yojana accounts, reveals RTI. India Today Magazine.

van der Weide, R. , C. Lakner , and E. Ianchovichina . 2016. “Is Inequality Underestimated in Egypt? Evidence from House Prices,” World Bank Policy Research Working Paper 7727.

Verme, P. , B. Milanovic , S. Al-Shawarby , S. El Tawila , M. Gadallah , and A. El-Majeed . 2014 . Inside Inequality in the Arab Republic of Egypt: Facts and Perceptions Across People, Time, and Space . Washington, DC: World Bank.

World Bank. 2015 . Inequality, Uprisings, and Conflict in the Arab World. MENA Economic Monitor . Washington, DC.

World Bank. 2018 . The State of Social Safety Nets 2018 . Washington, DC.

We thank Valerie Cerra, Martin Schindler, Barry Eichengreen, Craig Beaumont, Miguel Segoviano, Khaled Sakr, Yuanyan Sophia Zhang, Valentina Flamini, Prakash Loungani and other IMF collegues as well as participants in the Inclusive Growth book seminar series organized by the IMF Institute for Capacity Developments for their comments.

OECD statistics: https://data.oecd.org/gga/general-government-spending.htm

OECD statistics on income revenues: https://data.oecd.org/tax/tax-revenue.htm#indicator-chart

OECD statistics on labor tax wedge: https://data.oecd.org/tax/tax-wedge.htm#indicator-chart

Kleven ( 2014 ) also considers social and cultural influences and finds that correlations are quite striking and favor the notion that the Nordics are more socially motivated, but that the evidence is difficult to interpret.

According to Danish officials, before policies are enshrined in law, there are opportunities to discuss their impact on inequality during parliamentary debates. However, “inequality impact studies” are not mandatory.

Government Offices of Sweden ( 2017 ) “The Swedish Model.”

While need-tested services also exist in Sweden, there are intended to work as the last social safety net when the rights-based system is insufficient.

Legally there are no minimum wages in Sweden.

Ljungqvist and Sargent ( 2008 ) show how unemployment dynamics depend upon a country’s labor market policies through their effect on job separation and finding rates, which depend on the interaction of policies and shocks.

https://nordregio.org/nordregio-magazine/issues/state-of-the-nordic-region-2020/sweden-inequality-in-sweden-grows-much-faster-than-in-the-nordics-overall/

https://theconversation.com/what-the-world-can-learn-about-equality-from-the-nordic-model-99797

http://ec.europa.eu/social/BlobServlet?docId=1515&langId=en

https://www.ifpri.org/blog/covid-19-crisis-opportunity-long-delayed-agricultural-reforms-india

https://www.imf.org/en/News/Articles/2019/12/23/pr19488-india-imf-executive-board-concludes-2019-article-iv-consultation

https://economictimes.indiatimes.com/news/economy/indicators/india-adopts-inflation-target-of-4-for-next-five-years-under-monetary-policy-framework/articleshow/53564923.cms

The initiative “aimed at eliminating open defecation in rural areas during the period 2014 to 2019 through mass behavior change, construction of household-owned and community-owned toilets and establishing mechanisms for monitoring toilet construction and usage.” https://swachhbharatmission.gov.in/SBMCMS/about-us.htm

These and other key structural reforms, and their contribution to enhancing gender and income equality, are described in recent IMF India Article IV Staff Reports and India Selected Issues papers (see IMF, India: 2017 Article IV Consultation Staff Report. IMF Country Report No. 17/54, 2017a, (IMF, India: 2017 Selected Issues. IMF Country Report No. 17/55, 2017b)) and the references contained therein.

It’s important to use this as a benchmark but the Gini on its own has many shortcomings. An important caveat here is that all the countries have consumption survey data so the comparison is relevant.

Note that this GIC is anonymous and that we are not accounting for movement of individuals between deciles over time.

The decile levels arrange the data in order from lowest to highest and are done on a scale of one to ten where each successive number corresponds to an increase of 10 percentage points. In the case of GIC, the 1st decile represents the 10th percentile of the consumption distribution whereas the 10th decile value represents the 100th percentile of the consumption distribution.

See IMF, India: 2017 Article IV Consultation Staff Report. IMF Country Report No. 17/54, 2017a.

Pradhan Mantri Jandan Yogana (PMJY) is the flagship scheme to open bank accounts for the poor. Aadhar is the world’s largest bio-metric exercise which has created more than a billion digital IDs for residents in India. Mobile refers to more than 700 million mobile phones in India. The JAM trinity integrates all these three features to enable DBT transfers.

Gross national saving and total investment averaged 18–19 percent of GDP in the 2010s and declined by 1–2 percent of GDP in the 2010s.

Capital inflows could not compensate for low domestic savings and provide enough financing for investment. In emerging market economies, domestic saving is positively correlated with investment—the empirical puzzle named after Feldstein and Horioka (FH). Using panel data analysis, David et al. ( 2020 ) show that lower domestic saving causes lower investment, particularly in emerging market economies.

An informal worker is a salaried worker in small firms, non-professional self-employed, and zero-income worker.

The Global Gender Gap Index consists of four sub-categories: economic participation and opportunity, educational attainment, health and survival, and political empowerment.

People tend to approach inequality thinking about the region (MENA) as a single community. The middle class in Egypt compares themselves not only to rich people in Egypt but also to the middle class in GCC countries, which raises inequality perceptions (Verme et al. 2014 ).

Expenditure inequality stands for the measurement of inequality from households’ expenditures as opposed to households’ income.

• About Oxford Academic
• Publish journals with us
• University press partners
• What we publish
• New features  
• Open access
• Institutional account management
• Rights and permissions
• Get help with access
• Accessibility
• Advertising
• Media enquiries
• Oxford University Press
• Oxford Languages
• University of Oxford

Oxford University Press is a department of the University of Oxford. It furthers the University's objective of excellence in research, scholarship, and education by publishing worldwide

• Copyright © 2024 Oxford University Press
• Cookie settings
• Cookie policy
• Privacy policy
• Legal notice

This Feature Is Available To Subscribers Only

Sign In or Create an Account

This PDF is available to Subscribers Only

For full access to this pdf, sign in to an existing account, or purchase an annual subscription.

• Get involved

Case studies of sustained and successful development cooperation - Supporting Transformational Change Booklet

October 30, 2015.

UNDP has been engaged in development cooperation for more than 50 years. While the modalities of its projects and programmes have evolved, the ultimate purpose of its work has remained the same: to assist UN Member States to improve the living standards and life opportunities of their citizens (empow¬ered lives) by supporting the development of national capacity so that member states can manage their own development programmes (resilient nations). UNDP has not been the only development agency which has worked towards this objective, and indeed it has always worked as an integral part of the wider UN System in each country, as well as alongside many other multilateral, bilateral and non-governmental practitioners. Nonetheless, UNDP is one of those with the longest engagement, the broadest mandate, the most partner countries and the most extensive country representation.

The value of development cooperation is under renewed challenge and UNDP is embarking on a process of institutional renewal. The time is ripe, therefore, for UNDP to identify and document examples of successful and sustained development cooperation that have contributed to transformational change at the country or subregional level. These examples — presented here — help to identify generic lessons for successful development cooperation that can be applied in future programme design and implementation.

Document Type

Related publications, publications, sdg push through social protection programmes: reflecting....

This brief explores such questions by revisiting women who participated in a UNDP social protection initiative in one of Bangladesh’s most climate-vulnerable di...

Poverty and the Household Economy of Myanmar: a Disappear...

The decline in incomes and limited income-generating capacity are pushing households to adopt negative coping mechanisms, such as cutting non-food expenditure. ...

No Soft Landing for Developing Economies

Many developing economies are stuck in a negative debt-development feedback loop keeping them from undertaking new growth- and welfare-enhancing investments. Fo...

The G20 Contribution to the 2030 Agenda in Times of Crise...

This joint UNDP-OECD report assesses G20’s attempts over the last four years to drive global recovery and progress towards the SDGs.

Learning from Provincial and District Responses to Traffi...

Human trafficking for forced criminality in the Greater Mekong Subregion is on the rise.  UNDP and World Vision partnered with provincial and district level pra...

Harnessing the Role of Private Sector in Waste Management...

The case study aims to take a snapshot of the municipal waste management ecosystems of certain countries in the Global South, particularly focusing on private s...

NorthGate: A case study in political development

Subsidies produce neither jobs nor economic growth.

Gov. Gretchen Whitmer touted her economic accomplishments when she offered supply chain management company NorthGate $1 million in taxpayer money to add 374 jobs in 2021.

“These investments will create hundreds of promising jobs for Genesee County residents as we continue to grow Michigan’s economy and build strategic industries across the state,” the governor said in October 2021. "Today's business expansions are helping us stay laser-focused on creating good jobs, growing our economy, and continuing to lead in key industries like manufacturing and supply chain logistics.”

These investments did not create hundreds of promising jobs. The company had not lived up to its agreement as of 2022, and the state ended its deal with the company in 2023, according to state reports. The state made no payments on its $1 million award. That’s the good news. The bad news is that it’s unclear whether NorthGate added any jobs or simply moved them around the company’s different locations in the state or elsewhere. The state does not give adequate assessments of whether its subsidies create jobs or move them around at taxpayer costs.

The money offered to the company was not to sway managers from moving elsewhere. The program it came from has no requirement to use the subsidy to address competitive offers or to ensure that the company expands in Michigan rather than elsewhere. In other words, the company was likely to have announced that it was expanding in Michigan with or without extra cash from the state.

The program gives an excuse for elected officials to thump their chests about jobs, as Whitmer did. They do this regardless of whether companies need the money or actually create jobs.

Whitmer used the NorthGate announcement as an opportunity to promote herself and her pro-jobs position. Her fanciful claims got widely reported, but no reporter followed up to learn that the company never created the jobs the state announced. Lawmakers can use these examples to bolster support even without effecting Michigan’s economic trends. They are examples of political development more than economic development.

Political development can still cost the taxpayer, even though it did not in the NorthGate deal. Lawmakers have authorized $4.4 billion in business subsidies since the legislative session began in January 2023.

Handing out taxpayer money to companies regardless of whether they need it is costly to the state treasury. It requires public payments without economic benefits.

Given that this money could have been better used elsewhere, subsidies also create a drag on the economy as a whole.

Companies that got deals from the program that approved NorthGate’s award were no more likely to create jobs than other companies, a study from the Mackinac Center found. In other words, handing out deals costs the state without increasing jobs.

Permission to reprint this blog post in whole or in part is hereby granted, provided that the author (or authors) and the Mackinac Center for Public Policy are properly cited.

Stay Engaged

Get insightful commentary and the most reliable research on Michigan issues sent straight to your inbox.

Related Articles

Michigan’s lawless corporate welfare

Michael Van Beek | March 16, 2024

Voting Against Subsidies Isn't Killing Jobs

James M. Hohman | August 18, 2022

The Mackinac Center for Public Policy is a nonprofit research and educational institute that advances the principles of free markets and limited government. Through our research and education programs, we challenge government overreach and advocate for a free-market approach to public policy that frees people to realize their potential and dreams.

Please consider contributing to our work to advance a freer and more prosperous state.

Donate | About | Blog | Pressroom | Publications | Careers | Site Map | Email Signup | Contact

(989) 631-0900 | 140 W. Main Street Midland, MI 48640 P.O. Box 568 | [email protected] | © 2024 Mackinac Center for Public Policy

• Open supplemental data
• Reference Manager
• Simple TEXT file

People also looked at

Original research article, assessing policy coherence for developing a blue economy: a case study in the republic of panama.

• 1 Ocean Nexus, School of Public Policy, Oregon State University, Corvallis, OR, United States
• 2 Nippon Foundation Ocean Nexus Center, EarthLab, University of Washington, Seattle, WA, United States
• 3 Coiba-AIP Scientific Research Station, Panama City, Panama
• 4 Smithsonian Tropical Research Institute, Panama City, Panama
• 5 Ocean Nexus, School of Resource and Environmental Management, Simon Fraser University, Vancouver, BC, Canada

The blue economy approach to ocean governance promises environmentally sustainable, economically viable, and socially equitable ocean-based economic growth. However, the blue economy has been inconsistently defined, interpreted, and applied, often leading to incompatibilities between the blue economy approach and existing ocean policies. We explore the blue economy in the Republic of Panama, where recent government commitments include designing and implementing a blue economy approach to ocean sector development. We use qualitative text analysis and a policy coherence assessment to examine the consistency of objectives across existing ocean policies in Panama and their compatibility with broader blue economy goals. Our results indicate that Panama’s existing ocean policies address some blue economy goals but also reveal how policy coherence assessments and precise deliberation can inform a more contextually sensitive blue economy approach that aligns with existing ocean policies while also adding value to ocean governance and better integrating blue economy objectives. Findings suggest that Panama’s existing ocean policies could better address social, environmental, and resource use objectives, without disregarding the need to reinforce economic and governance goals; elevating social objectives, especially social equity, can truly differentiate Panama’s blue economy from its current ocean governance approach. Finally, while we acknowledge that greater policy coherence can potentially increase the likelihood of attaining policy objectives, our findings show that coherence alone does not ensure their realization in practice. Our study contributes to blue economy scholarship by providing the first Latin America-based case study using policy coherence to assess compatibilities between existing ocean policies and a blue economy. Other countries seeking to transition to a blue economy could use our findings to inform the design of their approach and its integration with their existing ocean policy frameworks.

1 Introduction

As threats to global ocean health intensify and the demand for marine resources increases, ensuring the continuity of the ocean’s life support roles requires new approaches to govern human-ocean interactions ( Brodie Rudolph et al., 2020 ). Overfishing, marine pollution, human-caused climate drivers, and other anthropogenic activities threaten marine ecosystem health and, consequently, the well-being of people whose livelihoods are ocean-dependent ( Brodie Rudolph et al., 2020 ; Spalding and de Ycaza, 2020 ). The multidimensional and interconnected nature of the ocean makes it a challenging space to govern, and governance approaches have changed over time ( Brodie Rudolph et al., 2020 ; Spalding and de Ycaza, 2020 ; Blythe et al., 2021 ). Among recent approaches to ocean governance is the blue economy, which aims for environmentally sustainable, economically viable, and socially equitable ocean-based economic growth ( Cisneros-Montemayor, 2019 ; Cisneros-Montemayor et al., 2019 ; Lee et al., 2020 ; Cisneros-Montemayor et al., 2021 ).

Since the inception of the term in 2012, the ‘blue economy’ has gained traction as the go-to approach to link economic development strategies with ocean sustainability and attract investments in ocean industries ( Brent et al., 2018 ; Wenhai et al., 2019 ; Lee et al., 2020 ; Spalding and de Ycaza, 2020 ). However, despite its prevalence, there is no single, common definition for the blue economy or consensus on what the approach comprises, making it susceptible to multiple interpretations with real-world impacts on implementation strategies and outcomes ( Silver et al., 2015 ; Voyer et al., 2018 ; Cisneros-Montemayor et al., 2019 ; Garland et al., 2019 ; Graziano et al., 2019 ; Voyer and van Leeuwen, 2019 ; Benzaken and Hoareau, 2021 ; Voyer et al., 2022 ). Studies have revealed that different ocean actors interpret the blue economy to reflect their own perspectives and interests, resulting in various definitions that include distinct sectors, activities, and objectives, and leading to various approaches to its implementation ( Silver et al., 2015 ; Voyer et al., 2018 , 2022 ). Examples include regional strategies such as those in Africa, Europe, and Central America ( European Commission, 2012 ; Bond, 2019 ; Childs and Hicks, 2019 ; OSPESCA, 2020 ). Some countries have opted for a national approach, creating dedicated blue economy agencies, national policies, and master plans ( Wenhai et al., 2019 ; Voyer et al., 2022 ). Less explicit examples include acknowledging the blue economy within national legislation, policies, governance strategies, research agendas, and broader economic development plans ( Patil et al., 2016 ; Graziano et al., 2019 ; Katila et al., 2019 ; Wenhai et al., 2019 ; Voyer et al., 2022 ).

The variety of interpretations of the blue economy and resulting approaches to its implementation make it challenging to assess its compatibility with policy frameworks for ocean governance already in place. Assessing the extent to which a blue economy approach is compatible with existing ocean policies is an important consideration and an essential step toward its design and implementation ( Voyer et al., 2020a , b ). In not accounting for this compatibility or lack thereof, there is an inherent risk of disregarding, displacing, or replacing current frameworks for ocean governance that may, in varying degrees, already have the capacity to deliver the outcomes sought by a blue economy ( Voyer et al., 2020a , b ). Similarly, the lack of a careful assessment could also result in a missed opportunity to update or replace outdated or inefficient ocean policies or broader ocean governance frameworks.

One existing tool to assess policy compatibility is a policy coherence assessment. Policy coherence refers to the extent to which different policies or broader governance approaches are compatible with and supportive of each other toward achieving specified outcomes ( OECD, 1996 , 2009 , 2018 ). Greater policy coherence increases the probability of successfully integrating and achieving policy objectives, whereas lower levels of coherence decrease this probability ( Jordan and Halpin, 2006 ; Howlett and Rayner, 2007 ; Nilsson et al., 2012 ; Howlett and Mukherjee, 2014 ; Howlett, 2014a , b ; Cohen et al., 2017 ). Policy coherence assessments can facilitate the integration of new policy objectives into existing governance frameworks without disregarding those already in place ( OECD, 2009 ; King et al., 2012 ; Koff et al., 2020 ). Governments can use this tool to compare proposed and existing governance approaches, identify if and where gaps exist, and assess if and how new approaches can complement and strengthen governance objectives as a whole ( Howlett and Rayner, 2007 ; OECD, 2009 ; King et al., 2012 ).

Policy coherence assessments have been used to evaluate compatibilities between proposed blue economy approaches and existing policy frameworks for ocean governance in Timor Leste, a country in Southeast Asia, and New South Wales, a state on the southeastern coast of Australia ( Voyer et al., 2020a , b ). These assessments yielded insights into designing a blue economy that could better align with and complement existing policy objectives and add value to ocean governance as a whole. For instance, in Timor Leste, a policy coherence assessment revealed a poor and inconsistent representation of social objectives across existing ocean policies ( Voyer et al., 2020a ). Therefore, designing a blue economy approach for Timor Leste that focuses on elevating social objectives could help address this evident gap in the current ocean policy framework and better align ocean governance in the country with blue economy goals ( Voyer et al., 2020a ).

While these country and regional-level assessments provided valuable insights for developing a blue economy in Timor Leste and New South Wales, they have not been done elsewhere. Policy coherence assessments in other countries and regions may be important because developing a blue economy must be sensitive to local contexts ( Garland et al., 2019 ; Voyer et al., 2020a , b ); just as country-level and regional interests, ocean-based sectors, and governance frameworks vary, so too must policy coherence assessments that aim to reconcile existing national or regional policies and interests with proposed blue economy approaches. Where such jurisdictionally specific assessments have not been conducted, existing case studies reveal how incompatibilities have emerged between proposed blue economy approaches and aims and existing national governance and goals, leading to implementation problems, conflicts between actors on the ground, and little progress toward blue economy objectives ( Bond, 2019 ; Childs and Hicks, 2019 ). While policy coherence assessments cannot eliminate differences among actors who disagree on what ocean governance should achieve or how it should deliver on those aims, assessments can help illuminate where these differences may be rooted in or manifested by policies. Identifying these differences between existing policy frameworks and newly proposed approaches is also a first step in reconciling them or, at the very least, a step toward more transparent decision-making processes.

Among the settings that could benefit from such a country-level assessment is the Republic of Panama, a Central American country with an ocean-dependent economy. In 2019, the government of Panama committed to developing and implementing a blue economy approach, but efforts toward this goal are still nascent. Academic literature on marine and coastal policy in Panama is scarce. However, existing studies have characterized the country’s ocean governance as fragmented, uncoordinated, and legally complicated ( Suman, 1987 , 2002 , 2007 ; Spalding et al., 2015 ; Seemann et al., 2023 ). These issues raise concerns, as studies have shown that the development and implementation of a blue economy approach requires an already robust, organized, and functional ocean governance framework that is coherent and reliable ( Voyer et al., 2020a , b ). Therefore, it is uncertain if Panama’s current ocean governance framework can tackle new governance approaches such as the blue economy. While a policy coherence assessment might not be the only tool required to address these issues in Panama, it can provide insights into better aligning the country’s ocean governance objectives across existing ocean policies and elevate their alignment with the aims of a blue economy. Using a case study approach, we explore Panama’s interpretation of the blue economy and examine the extent to which objectives are consistent across the country’s existing ocean policy framework and with blue economy goals. To do this, we sought to answer the following research questions:

1) How is the blue economy defined by Panama’s current policy framework for ocean governance, and which sectors are included?

2) What are the objectives of policies that govern Panama’s blue economy sectors, and to what extent are these objectives shared across existing ocean policies?

3) To what extent are the objectives of policies that govern Panama’s blue economy sectors consistent with the goals of the proposed blue economy approach?

Subsequent sections of this manuscript provide relevant background information on Panama and the methodology used to address our research questions, including a brief review of policy coherence as the theory guiding our inquiry. We follow with a discussion of our findings placing these within the context of Panama, the broader scholarship on the blue economy, and other research and documented policy outcomes. We conclude by highlighting some of the practical limitations of our analysis and potential avenues for future research.

2 The blue economy in Panama: the economic and policy context

Panama actively participates in international and regional environmental and conservation initiatives. The country is a signatory to numerous international conventions and treaties and multilateral and bilateral agreements concerning the environment, with a large proportion of these linked to ocean governance and sustainable marine resource management. The country is also home to regional offices of multilateral aid agencies, non-governmental organizations (NGOs), and a fleet of local environmental NGOs. There is a significant influx of capital and efforts into the country toward executing initiatives relevant to sustainably managing ocean resources and addressing marine environmental concerns.

Panama’s ocean jurisdiction covers 217,277 km 2 , approximately three times its total land area of just over 75,000 km2 ( FAO, 2002 ; Suman, 2002 ; Spalding et al., 2015 ; FAO, 2018 ). With almost 3,000 km of coastline along the Pacific and Caribbean, it has the highest coast-to-land ratio of any continental country in the Americas ( Suman, 2002 ; Spalding et al., 2015 ). The country’s ten provinces have coastlines along the Pacific or Caribbean coasts, and few locations lie more than 50 km from the ocean. More than 80% of the country’s population of approximately 4.4 million people live on or near coastal zones, primarily along the Pacific Ocean ( Suman, 2002 ; Spalding et al., 2015 ; INEC, 2020 ). The country houses the Panama Canal, an 80 km long maritime waterway connecting the Pacific and Atlantic Oceans that is a major funnel for global commerce and trade and one of Panama’s most important economic assets ( Suman, 2002 ).

Panama’s geographic location, tropical climate, extensive coasts along two oceans, the Panama Canal, and highly productive and biodiverse natural ecosystems make it a coveted destination for business, financial ventures, and tourism; these attributes and activities are central to the country’s economy ( Figure 1 ). The bulk of the country’s economy, over 75%, connects to the country’s strategic geographic position for the transit of people, global commerce, and trade, and due to the country housing the Panama Canal. Although Panama is among the wealthier Latin American countries, it is considered a developing nation due to its dependence on foreign capital and reliance on the global economy ( IMF, 2019 ; World Bank, 2020 ).

Figure 1 Political map of the Republic of Panama.

Panama has demonstrated an increased drive to project itself as a leader in ocean sustainability, implementing numerous projects, initiatives, and policies concerning sustainable marine resource management and conservation. One factor driving these actions is the rising stringency of destination markets for ocean-derived products, which demand responsibly and sustainably managed marine resources as a requirement for market entry. For instance, in 2021, Panama’s government ratified new national fisheries legislation; previous legislation dated back to the 1950s. The passing of this new legislation was heavily driven by the European Union’s (EU) bestowment of a yellow flag to the country due to unsatisfactory marine resource management practices, which could potentially lead to the closure of EU markets for Panamanian ocean derived goods ( European Commission, 2019 ). Additional drivers for marine policy change in Panama are global calls to action from international bodies, such as the United Nations, due to rising concerns about the fragile state and increasing degradation of ocean ecosystems and resources. In response to these calls to action, Panama commissioned the development of a national oceans policy (NOP) for the country in 2019. Three years later, Panama ratified its official NOP, Strategy, and Action Plan, a comprehensive document intended to serve as a general framework for guiding ocean governance and point of convergence for existing policy provisions related to marine and coastal affairs ( MIRE, 2022 ). Although the NOP does not explicitly focus on the blue economy, it is the first national policy to mention the blue economy as a guiding principle for ocean governance in the country ( MIRE, 2022 ).

Despite efforts to advance ocean sustainability and the country’s unique geographic, political, social, and economic connection to the ocean, Panama’s current ocean governance framework is complex, with management and oversight of ocean-related activities straddling multiple government agencies. Between 1987 and 2015, the country’s legislative and institutional frameworks for ocean governance underwent numerous restructurings in attempts to streamline management and decision-making processes concerning ocean resources ( Suman, 1987 , 2002 ; Spalding et al., 2015 ). However, these changes have resulted in a complicated policy landscape and a complex web of institutions whose responsibilities relevant to ocean affairs are unclearly intertwined ( Spalding et al., 2015 ). These outcomes have led to confusion among government agencies, officials, and stakeholders, the loss of institutional memory and historical data, and inefficient bureaucratic processes ( Spalding et al., 2015 ). Coupled with accelerated policy changes due to external market demands and pressure from international bodies rather than by the country’s initiative, the outcomes of policy and decision-making processes concerning Panama’s national and international marine affairs have been less than ideal, and there is currently no conclusive evidence to suggest that the previously identified issues have been resolved. As Panama designs and implements a blue economy approach, it is important for the country to acknowledge and address existing ocean governance problems and seize the opportunity to potentially improve upon the identified deficiencies of its existing ocean governance framework.

3.1 Theoretical framework: policy coherence

Policy coherence, broadly defined, is the state of mutual consistency between different policies ( OECD, 1996 , 2009 ; King et al., 2012 ; Koff et al., 2020 ). Policy coherence is included within the United Nations Sustainable Development Goals (SDGs) as an international objective for policies through SDG 17 to “Strengthen the means of implementation and revitalize Global Partnerships for Sustainable Development” ( UNGA, 2015 , p. 28). Specifically, SDGs 17.13 and 17.14 aim to “Enhance global macroeconomic stability, including through policy coordination and coherence,” and “Enhance policy coherence for sustainable development,” respectively ( UNGA, 2015 , pp. 29–30). SDG17 seeks to tackle systemic issues within policy and institutional coordination and collaboration that can potentially hinder the success of development policies and agendas ( UNGA, 2015 ).

At the country level, policy coherence concerns the extent to which governments and societies can work together to achieve policy objectives and ensure that the intentional and unintentional outcomes of policy decisions are adequately thought through ( OECD, 1996 , 2009 ; King et al., 2012 ; Koff et al., 2020 ). Development approaches, such as the UN SDGs and the blue economy, seek to channel collective interests and efforts to balance the trade-offs between economic and social aspirations with their impacts on the global environment ( Griggs et al., 2014 ; UNGA, 2015 ; Cisneros-Montemayor, 2019 ; Cisneros-Montemayor et al., 2019 ; Lee et al., 2020 ; Voyer et al., 2020a , b ). Making progress toward common objectives requires that countries understand, manage, and integrate globalized objectives into their development plans and policies without undermining their domestic governance frameworks and goals ( OECD, 2009 ; King et al., 2012 ; Koff et al., 2020 ). Literature has identified policy coherence as fundamental for achieving the UN SDGs ( Nilsson and Persson, 2003 ; Nilsson et al., 2016 ; OECD, 2018 ; Koff et al., 2020 ) and blue economy goals ( Voyer et al., 2020a , b ).

There are numerous ways to examine and assess policy coherence at the country level. One way to assess coherence is to focus on the stated objectives of policies respective to a country’s existing governance framework and assess their consistency within and across a range of policy instruments ( Scobie, 2016 ; Benson and Lorenzoni, 2017 ; Cohen et al., 2017 ; Ekstrom et al., 2018 ; Miller et al., 2018 ). Policy instruments are the “mechanisms and techniques” that governing systems use to implement public policies and to determine how and where to allocate resources to achieve governance and policy objectives ( Howlett and Rayner, 2007 , p. 2; Howlett, 2014a , b ; Howlett et al., 2015 ). Therefore, a governance approach can be defined by the arrangement of policy instruments used by a governing system to attain specific governance and policy objectives ( Howlett, 2014a , b ; Howlett et al., 2015 ). By examining the consistency of objectives across a specified range of policy instruments, it is possible to assess the potential for success or failure of newly proposed governance approaches. A greater consistency of objectives across a country’s existing policy instruments and with the goals of proposed governance approaches increases the likelihood of achieving the desired outcomes.

The consistency of objectives across Panama’s ocean governance framework, and their consistency with blue economy goals, are critical elements for reconciling the aims of the existing and new ocean governance approach. Policy coherence, here, is understood as “the state of mutual consistency of objectives within a governing system across a range of policy instruments, and the extent to which they are consistent with blue economy objectives” ( Voyer et al., 2020a , p. 4, Voyer et al., 2020b , p. 4). We examine policy coherence across a range of policy instruments relevant to Panama’s existing ocean governance framework based on their stated objectives and the extent to which they are consistent with blue economy goals. Given the inconsistency in interpretations of the blue economy and variability in its implementation, plans for developing a blue economy could benefit from aiming for coherence with existing ocean policy frameworks (where policies are desirable) and assessing if and how the new approach can add value to ocean governance, where existing policies could be improved ( Voyer et al., 2020a , b ).

3.2 Country-level case study: Panama

To answer our research questions relevant to the consistency of objectives within and across the existing policy framework for ocean governance and the extent to which objectives are consistent with a blue economy, we conducted a policy coherence assessment using Panama as a case study country ( Creswell and Poth, 2018 ). Our research design consisted of qualitative content analysis of policies relevant to marine and coastal governance in Panama (see Supplementary Materials for a complete list of policy instruments assessed, including the dates they were enacted). We sought to identify common themes in the literature and assess the consistency of such themes across a sample of texts. Our steps for content analysis involved compiling a sample of texts, identifying the unit of analysis, generating a codebook, and coding the sample of texts to produce a text-by-theme matrix, as proposed by Bernard (2018) . Subsequently, we applied a methodology proposed by Voyer et al. ( Voyer et al., 2020a , b ) to define the blue economy within a given context and identify the sectors included, identify shared objectives across policy instruments, and assess the consistency of identified objectives with broader blue economy goals ( Figure 2 ).

Figure 2 Methodological diagram of process for assessing policy coherence.

3.2.1 Data collection

To collect the literature that we ultimately assessed for this study, we built a database of policy instruments relevant to ocean policy in Panama using the Food and Agriculture Organization of the United Nations’ FAOLEX Database ( FAO, 2022 ). FAOLEX is a comprehensive, up-to-date, open-access database and one of the world’s largest online repositories of national laws, regulations, and policies on food, agriculture, and natural resource management, which provides users with direct access to abstracts, indexing information, and the full text of over 30,000 records from countries across the world ( FAO, 2022 ).

To define our sample of texts, we performed an iterative review and elimination of records based on a set of defined criteria ( Table 1 ). We applied a series of filters using the categories provided by the database, reviewing the resulting records for relevance, validating results with official sources of information from Panama, and amending the list as needed ( Table 1 ).

Table 1 Summary of process and criteria for filtering, reviewing, and amending the database.

Database records specific to Panama included texts categorized as laws, decrees, resolutions, national policies, and agreements ( Table 2 ). Given the large number of decrees and resolutions currently in effect, their specificity, transient nature, and lower legal hierarchy, we decided to exclude these policy instruments from our analysis unless they enacted a national policy or agreement ( Table 2 ).

Table 2 Information respective to database categories of Panamanian policy instruments.

To account for relevant policy instruments potentially omitted from the FAOLEX database, we reviewed websites of Panamanian government institutions involved in marine and coastal affairs and communicated with representatives from these institutions; this resulted in the addition of 21 policy instruments to our sample. Our data collection process yielded a final sample of texts ( corpus ) comprised of 41 pieces of legislation (national laws), 23 agreements (including national actions plans, reports, and strategies), and 11 national policies, for a total sample of 75 policy instruments. We sourced digital copies of all instruments in our corpus through the Government of Panama’s online repositories of legislative and policy documents, the FAOLEX database, institutional websites of relevant government agencies, and direct correspondence with government officials (see Supplementary Materials for a list of online sources of information). We did not include or exclude policies based on the date they were enacted as all instruments remained valid components of Panama’s policy framework for ocean governance at the time of this study.

3.2.2 Analysis

We reviewed our corpus to define the blue economy, identify the included sectors, and assess policy coherence within and across policy instruments and with a blue economy. Because we sought to make comparisons across texts by type, our units of analysis were the individual policy instruments in our corpus .

To define Panama’s blue economy, we identified policy instruments that provided a working definition of the blue economy as a governance approach. For this step of our analysis, we omitted instruments that only briefly mentioned the blue economy, included it as a passing comment or general reference, or that were not Panama-specific (e.g., regional).

We reviewed our corpus of policy instruments to identify Panama’s blue economy sectors. We defined ‘sectors’ as groupings of activities (e.g., industry, business, conservation) within specific focus areas sharing common or related goals. We categorized policy instruments into sectors according to the government agency or activity they related to or referenced. Instruments that referenced more than one sector were considered cross-sectoral and categorized according to each sector mentioned. Subsequent analyses included all sectors identified through our sectoral categorization of policy instruments.

To assess policy coherence across a range of existing ocean policies in Panama, we uploaded digital copies of policy instruments in our corpus into the qualitative data analysis software NVivo (version 12) and iteratively reviewed individual instruments to identify their stated objectives ( Jackson and Bazeley, 2019 ). Wherever an instrument clearly indicated an objective, function, or intent rather than a passing comment, indirect reference, or superficial mention of a topic or idea, we identified it as an objective. We took an inductive approach to group identified objectives and coded these into 44 objective themes , each representing an overarching category of objectives consistently cited across policy instruments ( Table 3 ).

Table 3 Objective themes (codes) identified from policy instruments grouped into five broader blue economy objective categories (BE categories).

We subsequently assessed policy coherence between a range of existing ocean policies in Panama and broader blue economy goals. To do this, we grouped and coded our 44 objective themes into higher-level blue economy objective categories ( BE categories ). We selected five broader BE categories previously recognized as interdependent, interrelated, and essential for sustainable development and blue economy governance: environmental, resource use, economic, social, and governance ( Smith-Godfrey, 2016 ; Keen et al., 2018 ; Voyer et al., 2020a , b ) ( Table 3 ); We validated these BE categories against our corpus of policy instruments. Table 3 lists all objective themes identified from our content analysis of policy instruments grouped into five broader BE categories .

We used our thematic groupings of objectives ( objective themes ) coded into higher-level blue economy objective categories ( BE categories ) to assess policy coherence based on the consistency of objectives across our corpus of policy instruments and their consistency with blue economy goals. To do this, we examined the cumulative percentage of policy instruments citing each objective theme across all five broader BE categories . We then used our sectoral categorization policy instruments to assess policy coherence for individual sectors based on the consistency of objectives across sector-specific instruments and their consistency with broader blue economy goals. We accomplished this by examining the percentage of sector-specific policy instruments that shared objective themes respective to our individual BE categories .

4.1 Panama’s blue economy approach

We identified several references to the blue economy within our corpus of policy instruments. However, Panama’s National Ocean Policy, Strategy, and Action Plan (NOP) stood out as the sole instrument meeting our criteria for defining the blue economy. Few, if any, other instruments in our corpus delved into the blue economy beyond passing mentions or general references. Specifically, the NOP emerged as the only country-specific instrument providing a comprehensive definition for Panama’s blue economy and recognizing it as a governance approach:

[The blue economy] is a development approach that recognizes the importance of the environment, especially the ocean, as an economic engine due to its great potential for innovation and growth. It implies a transition towards participatory and holistic governance and strategic planning, which considers sustainable development’s social, environmental, and economic dimensions and the sustainable use of marine, coastal, and maritime resources as critical components for social and economic development ( MIRE, 2019 , 2022 ).

All broader blue economy objective categories were effectively encapsulated within the NOP’s definition of the approach (i.e., ‘governance’, ‘social’, ‘economic’, ‘resource use’, and ‘environmental’). Within the NOP, the blue economy is positioned as a fundamental catalyst for achieving sustainable ocean development, closely aligning with the UN Sustainable Development Goals (SDGs). This overarching vision is intricately linked with ‘logistics development’ as one of five core strategies to the country’s new approach to ocean governance. Each strategy within the NOP outlines actionable guidelines, specifying the key stakeholders and critical sectors essential for the approach’s efficacy. Specifically, the ‘Blue Economy and Logistics Development’ strategy, integrated within the NOP framework, aims to enhance Panama’s global stature as a logistics hub through the execution of a national maritime and logistics master plan ( MIRE, 2022 ). Given these factors, we suggest that the NOP can be regarded as Panama’s official blue economy approach, notwithstanding its original intended purpose extending beyond this specific focus.

4.2 Panama’s blue economy sectors

Our sectoral categorization of policy instruments yielded five distinct sectors: Fisheries and Aquaculture; Tourism; Maritime, Shipping, and Ports; Environment and Conservation; and Energy (including oil and gas activities). All identified sectors are consistent with those outlined in Panama’s NOP as central to the country’s blue economy approach ( MIRE, 2019 , 2022 ), and with the sectors identified in existing scholarship as those most likely to be included under a blue economy ( Silver et al., 2015 ; Voyer et al., 2018 ; Cisneros-Montemayor et al., 2019 ).

Of the 75 policy instruments in our corpus , 32% belonged to the ‘Environment and Conservation sector’, 23% to ‘Fisheries & Aquaculture,’ 17% to ‘Energy,’ 16% to ‘Maritime, Shipping, and Ports,’ and 13% to the ‘Tourism’ sector. These percentages account for the grouping of cross-sectoral policy instruments into each sector mentioned in the documents’ objectives and functions ( Figure 3 ).

Figure 3 Number of policy instruments by sector. Note. Cross-sectoral instruments were assigned to all relevant sectors and therefore may be counted multiple times.

4.3 Policy coherence across Panama’s existing ocean policies and with a blue economy

The results of our initial assessment of policy coherence, or the state of mutual consistency of objectives across policies, show the cumulative percentage of Panamanian ocean policy instruments in our corpus citing each objective theme within our five broader BE categories ( Figure 4 ). Overall, our broader ‘governance,’ ‘social,’ and ‘economic’ BE categories encompassed more numerous and diverse objective themes . In contrast, the number and diversity of objective themes within our broader ‘resource use’ and ‘environmental’ BE categories were comparatively low. Additionally, ‘governance’ objectives displayed significantly higher levels of consistency compared to those within other BE categories . Conversely, ‘social,’ ‘resource use,’ and ‘environmental’ objectives were comparatively inconsistent.

Figure 4 Coverage of objectives themes across corpus of policy instruments. Note. Bars display the cumulative percentage of instruments across our corpus citing objective themes within each broader BE category ( i.e., 82% of policy instruments in our corpus cited the ‘effective management and harmonization’ objective theme within our broader ‘governance’ BE category) .

4.3.1 Governance objectives

Our broader ‘governance’ BE category comprised 12 of the objective themes identified through our coding of policy instruments, 11 of which were among the top 20 and five among the top 10 most consistently shared across our corpus . ‘Effective management and harmonization’ and ‘national coordination and collaboration’ showed the highest levels of consistency, cited by 77% or more policy instruments. ‘Promote science, technology, and innovation,’ ‘collection, monitoring, and sharing of data,’ and ‘compliance and enforcement of regulations’ were the fourth, sixth, and ninth most consistent objective themes , respectively, cited within 53% or more policy instruments in our corpus . ‘Evidence-based management’ was the least consistent objective theme within this BE category , yet still shared across 37% of our corpus .

4.3.2 Social objectives

Our broader ‘social’ BE category included 11 of the objective themes identified from our corpus . ‘Education and capacity building’ and ‘public participation’ were the seventh and 10 th most consistently shared, cited by 61% and 52% of policy instruments, respectively. Among the remaining ‘social’ objective themes , the next most consistently shared were ‘health, well-being, and quality of life’ and ‘promote public awareness, cited by 49% and 47% of policy instruments, respectively. The percentages of policy instruments that shared other ‘social’ objectives themes were below 40%. For instance, the objective themes of ‘gender and social inclusion’ and ‘social equity and equality’ were consistent across 39% and 35% of our corpus , respectively. Additionally, the three least consistent objective themes across our corpus corresponded to this BE category , with the lowest being ‘protect individual rights and access to justice’ cited by 14% of policy instruments.

4.3.3 Economic objectives

Our broader ‘economic’ BE category also comprised 12 objective themes . The most consistently shared objective theme within this category and the eight most consistent across our corpus was ‘industry-sector development,’ cited by 59% of policy instruments. ‘Sustainable development’ was also relatively consistent across our corpus , shared by 48% of policy instruments. The percentages of policy instruments citing additional objective themes within this broader BE category did not exceed 36%, respective to ‘equipment and infrastructure,’ and the lowest being 21% for ‘promote national exports.’ The majority of objective themes within this category, 10 out of 12, were among the 20 least consistent across our corpus , with six of these positioned among the 10 least commonly shared across policy instruments.

4.3.4 Resource use objectives

Our broader ‘resource use’ BE category comprised the lowest count of objective themes , consisting of four. The most prominent objective theme within this BE category and seventh most consistent across our corpus was ‘sustainable use and production,’ cited by 61% of policy instruments. However, aside from ‘climate change adaptation,’ consistent across 41% of our corpus , no additional objective theme within this broader BE category was shared by more than 28% of policy instruments. The remaining ‘resource use’ objective themes of ‘increase production and profitability’ and ‘access to resources and basic services,’ were consistent across 28% and 20% of our corpus .

4.3.5 Environmental objectives

Our broader ‘environmental’ BE category comprised five objective themes . ‘Ecosystem and biodiversity conservation’ was the most prominent and consistently shared objective theme within this BE category , cited by 74% of policy instruments. ‘Reduce environmental impact’ was the second most consistently shared ‘environmental’ objective theme , cited by 43% of policy instruments, and 17 th most consistent across our corpus . The remaining objective themes within this broader BE category were ‘climate change mitigation,’ ‘prevent pollution,’ and ‘waste management and reduction,’ shared by 36%, 32%, and 30% of policy instruments, respectively.

4.4 Policy coherence across sector-specific policies and with a blue economy

Our subsequent assessment examined policy coherence within the individual sectors identified through our categorization of Panamanian policy instruments and their coherence with broader blue economy objectives. We accomplished this by examining the extent to which objective themes respective to each broader BE category were consistent across sector-specific policy instruments ( Figure 5 ). Objective themes across our five BE categories exhibited the highest levels of consistency across ‘energy’ and ‘tourism’ sectoral policy instruments. Minus a few minor exceptions, objectives relevant to all BE categories were relatively inconsistent across policy instruments respective to other sectors considered in our analysis when compared to the ‘energy’ and ‘tourism’ sectors.

Figure 5 Coverage of objective themes across sector-specific policy instruments respective to each broader BE category. Note. The number (n) of policy instruments respective to each sector includes cross-sectoral instruments. Bars indicate the percentages of sector-specific policy instruments citing each objective theme (i.e., 79% of ‘energy’ policy instruments cite the ‘ecosystem and biodiversity conservation’ objective theme within the ‘environmental’ BE category ).

4.4.1 Energy sector

Objective themes within our five broader BE categories were fairly consistent across ‘energy’ sector policy instruments. The percentages of instruments relevant to this sector that shared common objectives were among the highest in our corpus . Notably, objective themes within our broader ‘environmental’ BE category exhibited the highest levels of consistency across ‘energy’ policy instruments. Objectives themes within our broader BE categories of ‘governance,’ ‘social,’ and ‘resource use’ were also relatively consistent, particularly when compared to our results respective to other sectors in our analysis. While the percentages of policy instruments citing ‘economic’ objective themes were the lowest within this sector, they were the third highest in our corpus . However, aside from ‘industry-sector development,’ consistent across 74% of ‘energy’ policy instruments, 50% or fewer instruments within this sector shared additional objective themes within our broader ‘economic’ BE category .

4.4.2 Environment and conservation sector

Objective themes within all five broader BE categories were relatively inconsistent across ‘environment and conservation’ policy instruments. The percentages of relevant instruments sharing objective themes were among the lowest in our corpus . Five of the 11 objective themes within our broader ‘governance’ BE category were consistent across 50% or more of ‘environment and conservation’ instruments. However, these values were still the fourth lowest of all sectors in our analysis. Aside from the ‘ecosystem and biodiversity conservation’ objective theme , consistent across 70% of policy instruments, 43% or fewer instruments shared other objective themes within our broader ‘environmental’ BE category . Compared to other sectors in our analysis, objective themes within our broader ‘social’ BE category were relatively consistent across ‘environment and conservation’ policy instruments. However, only three of the 11 broader ‘social’ objective themes were consistent across 50% or more instruments. The percentages of instruments sharing objective themes within our broader’ resource use’ and ‘economic’ BE categories were second to lowest and lowest in our corpus . Other than 54% of relevant policy instruments citing ‘sustainable use and production,’ 38% or fewer instruments shared ‘resource use’ objective themes . Lastly, the percentages of instruments citing ‘economic’ objective themes were the lowest in our corpus . Aside from ‘sustainable development’, cited by 51% of relevant policy instruments, no other objective theme within our broader ‘economic’ BE category was consistent across more than 38% of this sector’s respective instruments.

4.4.3 Fisheries and aquaculture sector

Policy instruments relevant to the ‘fisheries and aquaculture’ sector focused almost exclusively on objective themes within our broader ‘economic’ and ‘resource use’ BE categories . The percentages of policy instruments sharing objectives themes within these two BE categories were the highest in our corpus . The most consistent objective theme within our broader ‘resource use’ BE category was ‘sustainable use and production,’ shared by 73% of instruments. Within our broader ‘economic’ BE category , the most consistent objective theme was ‘industry-sector development,’ shared by 69% of instruments. In contrast, percentages of ‘fisheries and aquaculture’ instruments sharing objective themes within our broader ‘environmental, ‘social,’ and ‘governance’ BE categories were lower for this sector than other sectors in our analysis. In fact, percentages of instruments sharing objective themes within our broader ‘environmental’ and ‘governance’ BE categories were the lowest in our corpus . Aside from ‘ecosystem and biodiversity conservation’, shared by 77% of relevant policy instruments, 31% or fewer instruments cited other objective themes within our broader ‘environmental’ BE category , and only five out of 12 objective themes within our broader ‘governance’ BE category were consistent across more than 50% of instruments. While the percentages of ‘fisheries and aquaculture’ instruments sharing objective themes within our broader ‘social’ BE category were not the lowest in our corpus , they were comparatively low. Other than ‘education and capacity building,’ shared by 58% of relevant instruments, 50% or fewer instruments shared objective themes within our ‘social’ BE category .

4.4.4 Maritime, shipping, and ports sector

The percentages of instruments respective to the ‘maritime, shipping, and ports’ sector that shared objective themes within our broader ‘governance’ BE category were the highest in our corpus . Eight out of 12 objective themes within our ‘governance’ BE category were consistent across 50% or more instruments, and 30% or more instruments shared the remaining four. While the percentages of this sector’s respective instruments sharing objective themes within our ‘environmental’ BE category were the third highest in our corpus , they were relatively low. Aside from ‘ecosystem and biodiversity conservation’, shared by 72% of instruments, 44% or fewer instruments shared other objective themes within our ‘environmental’ BE category . The levels of consistency relevant to objective themes within our broader ‘economic’ BE category exhibited a similar pattern. While 61% of relevant policy instruments cited ‘industry-sector development’ objectives, 50% or fewer instruments cited other objective themes within our ‘economic’ BE category . Lastly, the percentages of instruments sharing objective themes within our broader’ resource use’ and ‘social’ BE categories were among the lowest in our corpus , with 50% or fewer instruments sharing objective themes within either BE category . Lastly, this sector exhibited the lowest levels of consistency respective to objective themes within our ‘social’ BE category .

4.4.5 Tourism sector

Policy instruments respective to the ‘tourism’ sector exhibited high consistency of objective themes within all our broader BE categories . The percentages of ‘tourism’ policy instruments citing objective themes across all BE categories were among the highest in our corpus . Objective themes within our broader ‘social’ and ‘governance’ BE categories were more consistent across ‘tourism’ policy instruments than other sectors in our analysis. Similarly, objective themes within our broader ‘environmental’ and ‘economic’ BE categories were the second highest in our corpus . Finally, objective themes within our broader’ resource use’ BE category were the least consistent across ‘tourism’ instruments, with 60% of instruments citing ‘sustainable use and production’ objectives and 50% or fewer instruments citing other ‘resource use’ objective themes . Nonetheless, these values were still high compared to other sectors in our analysis and the third highest in our corpus .

5 Discussion

The results of our policy coherence analysis highlight several key findings relevant to developing and implementing a blue economy approach to ocean governance in Panama. We found that existing ocean policies in Panama clearly describe what the country envisions for its blue economy, the sectors included under the approach, and the objectives it seeks through its implementation. Our results also indicate that the objectives expressed in Panama’s existing ocean governance policies are largely compatible with the broader goals of a blue economy. These findings suggest that Panama is in a promising position to successfully integrate a blue economy approach into its existing policy framework for ocean governance. However, we found that some broader blue economy goals (such as those within our ‘governance’ BE category ) are noticeably more consistent across the country’s current ocean policies compared to other goals. For example, ‘resource use’ and ‘environmental’ objectives were the least consistently stated—i.e., clearly expressed and shared—across Panama’s existing ocean policies. Additionally, while social objectives were not the least consistently stated collectively , the three least consistently represented individual objectives were all social. This apparent lack of consistency revealed through our analysis may foretell challenges for meeting these environmental, resource use, and social objectives when implementing a blue economy in Panama. All these findings, however, are important to place in the context of other research and documented policy outcomes. As we discuss in the following, the textual representation of objectives within and across policies does not guarantee the attainment of those outcomes in practice, regardless of assessed consistency, compatibility, and overall coherence. With this in mind, the following discussion also highlights some of the practical limitations of our analysis and potential avenues for future research.

In 2022, Panama’s National Ocean’s Policy (NOP) introduced the blue economy as an integral component of the country’s new approach to ocean policy and governance. While we suggest that the NOP can be regarded as Panama’s official blue economy approach, its intended purpose is to serve as a general framework for ocean governance in the country and extends beyond solely addressing the blue economy. It is important to note that the NOP offers general guidelines, rather than directly executable provisions. Additionally, it does not supersede or eliminate existing ocean policies in Panama predating 2022, but rather complements, builds upon, and relies on those existing policies as integral components of Panama’s ocean governance framework. Nonetheless, the NOP provides a clear description of what the country envisions for its blue economy, including the sectors included under the approach and the objectives it seeks through its implementation. This contribution of the NOP to Panama’s policy framework for ocean governance is of notable importance, as explicit deliberation on what a blue economy can and should achieve within a given context, including the sectors and activities it comprises, is an essential precondition that increases the likelihood of its success ( Voyer et al., 2020a , b ).

Furthermore, we found that the overarching objectives expressed in Panama’s existing policy framework for ocean governance are generally compatible with broader blue economy goals. All higher-level outcomes sought by a blue economy, represented here by our five broader BE categories (‘environmental,’ ‘resource use,’ ‘economic,’ ‘social,’ and ‘governance’), are generally represented across policy instruments that govern Panama’s identified blue economy sectors. Previous studies suggest that a lack of compatibility between the broader goals of a blue economy approach and the aims and priorities of the existing ocean governance framework within a specific setting can lead to implementation problems, conflicts between ocean actors, and the failure to achieve blue economy objectives ( Bond, 2019 ; Childs and Hicks, 2019 ). Thus, the compatibility we identified through our analysis indicates that Panama is positioned to better integrate a blue economy approach with existing policies and potentially experience fewer negative consequences upon its implementation.

While all broader blue economy goals were generally represented in Panama’s existing ocean governance framework, our assessment revealed that specific objectives within the ‘governance’ BE category were the most consistently shared across the country’s ocean policies ( Figure 4 ). Theoretically, a higher consistency of stated objectives across a country’s policies indicates a greater likelihood of achieving those objectives ( Howlett and Rayner, 2007 ; OECD, 2009 ; Howlett, 2014a , b ; Koff et al., 2020 ). This apparent emphasis on governance objectives and the greater likelihood of their attainment suggests that resources could be prioritized to address issues in other ocean policy areas in Panama that we found to exhibit a much lower consistency of objectives across ocean policies and with broader blue economy goals (i.e., ‘resource use’, ‘environmental’, and ‘social’ objectives), as we discuss in the following paragraphs.

Contrary to our findings regarding the ‘governance’ BE category of objectives, ‘resource use’ and ‘environmental’ objectives were the least consistently stated across Panama’s existing ocean policies ( Figure 4 ). Following the logic outlined in our previous paragraph, this indicates that objectives within these two categories are less likely to be realized. While the low representation of ‘resource use’ and ‘environmental’ objectives can represent a gap or weakness of the existing ocean policy framework in Panama, it also reveals a need and an opportunity for policymakers in the country to amend existing or introduce new policy provisions that better position the country to attain ‘environmental’ and ‘resource use’ goals integral to a blue economy.

Although ‘social’ objectives were not the least consistently stated collectively , the three least consistently represented individual objectives were all ‘social’ (i.e., ‘protect individual rights and access to justice,’ ‘social development,’ and ‘hygiene and sanitation’). Several other individual ‘social’ objectives, such as ‘social equity and equality,’ were also among the least consistently represented across existing ocean policies. Given that scholarship highlights that a greater focus on social objectives – especially social equity and justice – is what can truly differentiate a blue economy from more traditional approaches to ocean governance ( Cisneros-Montemayor, 2019 ; Cisneros-Montemayor et al., 2019 , 2021 ), our findings suggest that Panama’s existing policies may be lacking in a particularly important policy area. This finding is also supported by other studies, which have documented weaknesses in social outcomes and high social inequities in Panama. For example, Panama has been found to be lagging in numerous areas of social policy and human development when compared to other countries in Latin America with similar economic performance, including education, health, gender equality, and social inclusion ( Herrera M. et al., 2018 ; IMF, 2020 ; Baird, 2023 ).

As for our sector-specific policy coherence assessment, our results indicate that two of Panama’s identified blue economy sectors, ‘tourism’ and ‘energy,’ are better aligned with the overarching goals of a blue economy approach, as policy objectives within all five broader BE categories were considerably more consistent across policies specific to these sectors than other sectors included in our analysis ( Figure 5 ). These findings suggest that Panama could prioritize resources towards increasing coherence across policies relevant to its other identified blue economy sectors and elevating their consistency with the broader aims of its blue economy approach. A coherent governance framework can benefit from increased consistency across different policy areas (sectors) so that they strengthen and reinforce each other ( OECD, 2021 ). Furthermore, a successful blue economy approach is one in which objectives are consistently shared within and across policies relevant to all identified blue economy sectors, and that these specific objectives are consistent with the overarching goals of a blue economy ( Bennett et al., 2019 ; Cisneros-Montemayor et al., 2019 ; Voyer et al., 2020a , b ; Cisneros-Montemayor et al., 2021 ).

Interpreting our findings in the context of other literature on marine and coastal policy and associated outcomes in Panama suggests that the textual representation of objectives within and across policies does not guarantee the attainment of those outcomes in practice. For instance, previous studies have characterized Panama’s marine and coastal management as uncoordinated and, in some instances, ineffective ( Spalding et al., 2015 ; Seemann et al., 2023 ). This stands in contradiction to our analysis, which revealed that ‘effective management and harmonization’ is the most consistently stated objective across existing ocean policies in Panama. Another example is our finding that ‘sustainable use and production’ and ‘ecosystem and biodiversity conservation’ had the highest levels of consistency within the ‘resource use’ and ‘environmental’ categories. However, Panama has consistently faced criticism and the threat of market-based sanctions due to the alleged mismanagement of its fisheries and non-cooperation in the fight against Illegal, Unreported, and Unregulated (IUU) fishing ( European Commission, 2019 ; Molina Alarco, 2022 ). This suggests that, despite our finding that ‘sustainable use and production’ objectives were found in 61% of ocean policies analyzed for this study, and within 73% of ‘fisheries and aquaculture’ sector-specific policies, Panama is far from achieving the objective in practice. Similarly, while ‘ecosystem and biodiversity conservation’ objectives were shared by 74% of policies considered in our study, and across 70% of ‘environment and conservation’ sector-specific policies, Panama has repeatedly failed to meet UN standards for the management of ecologically important protected areas to the point of facing threats of losing World Heritage Site status for one of the country’s most emblematic marine protected areas ( UNESCO, 2023 ). These examples collectively demonstrate that, while conducting a policy coherence assessment and modifying or drafting new provisions to accommodate a blue economy is an important step, it is just the first of many necessary to ultimately adopt an improved approach to ocean governance.

Evaluating the impact of policies is another critical step. Although this paper sets out to assess policy coherence, not policy effectiveness, future research on Panama could build on this study by doing so. There is a notable dearth of literature on marine and coastal policy and governance in Panama post-2015, extending to the period following the approval of the National Oceans Policy (NOP) and its accompanying blue economy strategy in 2022. This scarcity compelled us to rely on academic literature largely predating the NOP, constraining our ability to discuss the NOP’s impact on actual ocean policy objectives, outcomes, and governance effectiveness beyond the aforementioned European Commission and UN actions.

While our analysis yielded valuable information concerning Panama’s existing policy framework for ocean governance and the development of a blue economy in the country, we also acknowledge the limitations of our study. While our corpus included policies relevant to all sectors identified as integral to Panama’s blue economy, it does not represent the entire suite of instruments that govern sectors relevant to marine and coastal policy in the country. Furthermore, we only accounted for higher-level policy instruments, assuming that their overarching nature and objectives permeate throughout lower-tiered instruments stemming from those higher-tiered codified statutes and ordinances. Our corpus was also limited due to practicality. Given that all coding for this study was done manually, our sample size had to be maintained at manageable levels. Thus, it is inherently possible that our results only reflect objectives as stated by the categories of policy instruments considered in our analysis and not those of the ocean governance system as a whole. However, these limitations open several lines of inquiry that we consider potentially important directions for future research that can more comprehensively explore policy frameworks and the relationship between different categories of policy instruments within a specific policy area.

We also recognize that our study examined the consistency of objectives across policies without delving into the reasons why some objectives are more consistent than others. The percentage (%) values presented in our results solely represent the extent to which specific objectives are shared across our sample of policy instruments and their alignment with broader blue economy goals. However, we acknowledge that the overall aims and objectives stated within the individual policies of a broader governance framework do not necessarily translate into practice, as we demonstrated in preceding paragraphs of this discussion through several examples from our case study. Beyond our Panama-specific examples, numerous studies have shown how efforts to design and implement holistic and integrative governance approaches, including efforts focusing on policy coherence, have failed to meet their stated objectives and, in some cases, yielded unintended and undesirable consequences ( Khalilian et al., 2010 ; Allwood, 2013 ; Kelly et al., 2018 ; Vince, 2018 ; Browne et al., 2023 ). Therefore, focusing on the stated objectives of policy instruments might not reflect the reality of what actually takes place on the ground. In addition, the provided examples also help highlight the limits of policy coherence and our analysis, as securing policy outcomes is not just a matter of synergistic, holistic, integrative, or coherent policies but also a product of capacity, resources, and political will ( OECD, 2021 ; Shawoo et al., 2023 ). Additionally, while it is generally agreed that consistency leads to coherence, and coherence leads to a higher likelihood that objectives will be achieved, there is no clarity or consensus on how much coherence is “good” or “sufficient” enough to guarantee a particular outcome ( OECD, 2021 ; Browne et al., 2023 ). In other words, the interpretation of our results is largely based on the relative assessment of coherence (higher or lower, as opposed to sufficiently coherent to guarantee policy outcomes or not) and the theoretical assumption that higher coherence leads to an increased likelihood that an objective will be achieved. As a result, we cannot indicate the threshold for coherence at which an objective is likely to be achieved nor the reasons why some objectives are more consistent than others in Panama or elsewhere, though determining such a threshold and the underlying reasons for variations in consistency could be a direction for future research.

It is also important to acknowledge the role that external actors like the UN have played in driving Panama’s ocean governance policies. Panama’s NOP was funded by and jointly conceived and drafted with the UN, which was also directly involved in oversight duties of the process that culminated in the approval of the national policy and also maintains copyright over the document ( MIRE, 2022 ). Given the role of the UN in the processes that led to the NOP, their continued engagement may be critical not just for the design but also for the ultimate implementation and oversight of the country’s blue economy. However, continued UN funding and involvement in Panama’s NOP and blue economy are, while possible, not assured. These considerations raise a series of questions, such as how the UN influenced Panama’s blue economy vision and whose vision is reflected within national policies. They also raise questions about whether Panama’s NOP, and its proposed blue economy strategy, is another example of policy change as a direct result of external influence rather than the country’s initiative. These questions could also be relevant in other countries and regions where the UN, or other international bodies, may have or are currently influencing ocean policy design and implementation. As the move towards multilateral and multi-stakeholder models of ocean policy and governance continues ( Spalding and de Ycaza, 2020 ), addressing these questions becomes important. While there are numerous advantages to multilateral and multi-stakeholder decision-making processes, including those relevant to the blue economy, there are inherent risks for those actors with less capacity and resources to participate and have their voices heard ( Benjaminsen and Bryceson, 2012 ; Barbesgaard, 2017 ; Bennett, 2018 ; Brent et al., 2018 ; Mallin and Barbesgaard, 2020 ). These lines of inquiry and their implication for Panama’s (and other countries’) blue economy (and broader ocean governance) are important potential avenues for future research, as answering these questions escapes the purview of our analysis.

6 Conclusion

Our assessment of policy coherence across a range of existing ocean policies in Panama yielded valuable insights into the design and implementation of the country’s blue economy approach. It confirms the value of situating a broadly defined concept like the blue economy within a specific context and carefully assessing the extent to which its overarching goals align or misalign with the objectives of existing ocean governance frameworks. By identifying potential limitations of the existing ocean policy framework and areas of potential inconsistencies with blue economy aims, it is possible to identify where attention and resources may be directed to design and implement a blue economy that can help address those identified issues and improve ocean governance as a whole.

Other countries seeking to implement a blue economy could use Panama’s current policy framework for ocean governance, or specific elements of it, as a reference point for designing and implementing their national approaches. For instance, countries that intend to implement a blue economy but have yet to define their approach could do so through a NOP that captures their national vision. Additionally, countries or regions where implementing a blue economy has been identified as an opportunity for growth ( Phang et al., 2023 ) could find value in using a policy coherence assessment to examine the extent to which the approach is compatible with their existing ocean governance frameworks. Where incompatibilities are apparent, countries can introduce provisions that can help address those matters and consequently increase the potential success of policy integration and subsequent implementation. Following Panama’s example, designing and implementing integrative ocean policies such as a NOP may prove helpful towards plugging in compatibility gaps, which could also be accomplished by designing a blue economy approach that acknowledges and addresses identified areas of policy incompatibility. While complete policy compatibility between proposed blue economy approaches and existing ocean governance frameworks may not be absolutely necessary or possible, increasing compatibility could increase the potential for its success ( Garland et al., 2019 ; Voyer et al., 2020a , b ). While we recognize the limitations of our assessment and broader assumptions of policy coherence theory, we acknowledge policy coherence assessments as potentially useful, practical tools for examining the extent to which a blue economy is compatible with and can add value to a country’s existing ocean governance framework and regard it as a valuable first step to designing and implementing a blue economy approach.

Finally, our findings also address broader discussions relevant to blue economy design and implementation. Panama’s blue economy definition and ocean governance objectives seemingly grasp the conception of win-win approaches surrounding global blue economy narratives in that the approach reconciles economic growth aspirations with social and environmental goals ( Barbesgaard, 2017 ; Brent et al., 2018 ; Cisneros-Montemayor, 2019 ; Cisneros-Montemayor et al., 2019 ; Ertör and Hadjimichael, 2020 ; Cisneros-Montemayor et al., 2021 ). However, the under-representation of specific objectives within Panama’s ocean policy framework for ocean governance that have been identified as relevant to and essential for a blue economy aligns with current concerns that the blue economy is merely a new name for legitimizing traditional ocean governance practices ( Brent et al., 2018 ; Cisneros-Montemayor et al., 2019 ). Especially significant is the lack of alignment with and consistency of social objectives, an issue which has also been revealed by similar studies within other countries and regions developing their own blue economy approaches ( Voyer et al., 2020a , b ). This lack of consideration and under-representation of social objectives within the blue economy has already been recognized as an area of critical concern ( Barbesgaard, 2017 ; Cohen et al., 2017 ; Brent et al., 2018 ; Cisneros-Montemayor et al., 2019 ; Cohen et al., 2019 ; Issifu et al., 2023 ). Therefore, as the blue economy continues to gain global traction, it is essential to direct attention towards addressing the issues already evident within existing examples of blue economy policy and practice. An increased focus on social objectives, particularly social equity, justice, diversity, and inclusion, is what can truly distinguish the blue economy from business-as-usual approaches to ocean governance ( Barbesgaard, 2017 ; Cohen et al., 2017 ; Brent et al., 2018 ; Bennett et al., 2019 ; Cisneros-Montemayor et al., 2019 ; Cohen et al., 2019 ; Cisneros-Montemayor et al., 2021 ; Issifu et al., 2023 ).

Data availability statement

The original contributions presented in the study are included in the article/ Supplementary Material . Further inquiries can be directed to the corresponding author.

Author contributions

RY: Conceptualization, Data curation, Formal analysis, Funding acquisition, Investigation, Methodology, Project administration, Resources, Supervision, Validation, Visualization, Writing – original draft, Writing – review & editing. AS: Conceptualization, Funding acquisition, Supervision, Validation, Writing – review & editing. AC-M: Conceptualization, Funding acquisition, Validation, Writing – review & editing.

The author(s) declare financial support was received for the research, authorship, and/or publication of this article. The authors would like to acknowledge The Nippon Foundation Ocean Nexus Center and the Oregon Sylff Fellowship for International Research for their contributions to funding this research.

Acknowledgments

The authors would like to acknowledge Oregon State University’s School of Public Policy, The Nippon Foundation Ocean Nexus Center, and the Oregon Sylff Fellowship for International Research for supporting our research. Michelle Voyer (Ocean Nexus, University of Wollongong), Alison Johnston (Oregon State University), Gretchen Engbring (Stanford University), and Abigael Kim (Ocean Nexus, Dalhousie University) for manuscript review and feedback. Shannon Weeks (Aquatic Resources Authority of Panama) for providing local support and assistance with document collection. Luisa Araúz (Centro de Incidencia Ambiental de Panamá) for providing legal expertise on environmental and marine policy in Panama. Mohammad Nasir Tighsazzadeh (Simon Fraser University) for assistance with maps.

Conflict of interest

The authors declare 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

All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.

Supplementary material

The Supplementary Material for this article can be found online at: https://www.frontiersin.org/articles/10.3389/fmars.2024.1336030/full#supplementary-material

Allwood G. (2013). Gender mainstreaming and policy coherence for development: Unintended gender consequences and EU policy. Women’s Stud. Int. Forum 39, 42–52. doi: 10.1016/j.wsif.2013.01.008

CrossRef Full Text | Google Scholar

Baird M. (2023). (In)Equity and primary health care: the case of Costa Rica and Panama. Int. J. Soc. Determ. Health Health Serv. 53, 122–129. doi: 10.1177/27551938231152991

Barbesgaard M. (2017). Blue growth: savior or ocean grabbing? J. peasant Stud. 45, 130–149. doi: 10.1080/03066150.2017.1377186

Benjaminsen T. A., Bryceson I. (2012). Conservation, green/blue grabbing and accumulation by dispossession in Tanzania. J. Peasant Stud. 39, 335–355. doi: 10.1080/03066150.2012.667405

Bennett N. J. (2018). Navigating a just and inclusive path towards sustainable oceans. Mar. Policy 97, 139–146. doi: 10.1016/j.marpol.2018.06.001

Bennett N. J., Cisneros-Montemayor A. M., Blythe J., Silver J. J., Singh G., Anews N., et al. (2019). Towards a sustainable and equitable blue economy. Nat. sustainabil. 2, 991–993. doi: 10.1038/s41893-019-0404-1

Benson D., Lorenzoni I. (2017). Climate change adaptation, flood risks and policy coherence in integrated water resources management in England. Reg. Environ. Change 17, 1921–1932. doi: 10.1007/s10113-016-0959-6

Benzaken D., Hoareau K. (2021). “From concept to practice: the Blue Economy in Seychelles,” in The blue economy in sub-Saharan Africa. (Abingdon, England: Routledge), 141–157.

Google Scholar

Bernard H. R. (2018). Research methods in anthropology: qualitative and quantitative approaches . Sixth edition (Lanham, Maryland: Rowman & Littlefield).

Blythe J. L., Armitage D., Bennett N. J., Silver J. J., Song A. M. (2021). The politics of ocean governance transformations. Front. Mar. Sci. 8. doi: 10.3389/fmars.2021.634718

Bond P. (2019). Blue Economy threats, contradictions and resistances seen from South Africa. J. Polit. Ecol. 26, 341–362. doi: 10.2458/v26i1.23504

Brent Z., Barbesgaard M., Pedersen C. (2018). The Blue Fix: Unmasking the politics behind the promise of blue growth . (Amsterdam, Netherlands: Transnational Institute). Available at: https://repub.eur.nl/pub/113242/Repub_113242.pdf .

Brodie Rudolph T., Ruckelshaus M., Swilling M., Allison E. H., Österblom H., Gelcich S., et al. (2020). A transition to sustainable ocean governance. Nat. Commun. 11, 3600–3600. doi: 10.1038/s41467-020-17410-2

PubMed Abstract | CrossRef Full Text | Google Scholar

Browne K., Dzebo A., Iacobuta G., Faus Onbargi A., Shawoo Z., Dombrowsky I., et al. (2023). How does policy coherence shape effectiveness and inequality? Implications for sustainable development and the 2030 Agenda. Sustain. Dev. 31 (5). doi: 10.1002/sd.2598

Childs J. R., Hicks C. C. (2019). Securing the blue: political ecologies of the blue economy in Africa. J. Polit. Ecol. 26, 323–340. doi: 10.2458/v26i1.23162

Cisneros-Montemayor A. M. (2019). “A Blue Economy: equitable, sustainable, and viable development in the world’s oceans,” in Predicting Future Oceans . (Cambridge, MA: Elsevier), 395–404. doi: 10.1016/B978-0-12-817945-1.00034-4

Cisneros-Montemayor A. M., Moreno-Báez M., Reygondeau G., Cheung W. W. L., Crosman K. M., González-Espinosa P. C., et al. (2021). Enabling conditions for an equitable and sustainable blue economy. Nature 591, 396–401. doi: 10.1038/s41586-021-03327-3

Cisneros-Montemayor A. M., Moreno-Báez M., Voyer M., Allison E. H., Cheung W. W., Hessing-Lewis M., et al. (2019). Social equity and benefits as the nexus of a transformative Blue Economy: A sectoral review of implications. Mar. Policy 109, 103702. doi: 10.1016/j.marpol.2019.103702

Cohen P. J., Allison E. H., Andrew N. L., Cinner J., Evans L. S., Fabinyi M., et al. (2019). Securing a just space for small-scale fisheries in the blue economy. Front. Mar. Sci. 6. doi: 10.3389/fmars.2019.00171

Cohen P. J., Song A. M., Morrison T. H. (2017). “Policy Coherence with the Small-Scale Fisheries Guidelines: Analysing Across Scales of Governance in Pacific Small-Scale Fisheries,” in The Small-Scale Fisheries Guidelines . Eds. Jentoft S., Chuenpagdee R., Barragán-Paladines M. J., Franz N. (Springer International Publishing, Cham), 57–77. doi: 10.1007/978-3-319-55074-9_4

Creswell J. W., Poth C. N. (2018). Qualitative inquiry & research design: choosing among five approaches . 4th ed. (Thousand Oaks, California: SAGE).

Ekstrom J. A., Lau G. T., Law K. H. (2018). “Policy Analytics Tool to Identify Gaps in Environmental Governance,” in Policy Analytics, Modelling, and Informatics. (New York, NY: Springer), 289–314.

Ertör I., Hadjimichael M. (2020). Editorial: Blue degrowth and the politics of the sea: rethinking the blue economy. Sustainabil. Sci. 15, 1–10. doi: 10.1007/s11625-019-00772-y

European Commission. (2012). Blue growth opportunities for marine and maritime sustainable growth: communication from the Commission Directorate General for Maritime Affairs and Fisheries to the European Parliament, the Council, the European Economic and Social Committee, and the Committee of the Regions (LU: Publications Office). Available at: https://data.europa.eu/doi/10.2771/43949 (Accessed April 2, 2021).

European Commission. (2019). Commission notifies the Republic of Panama over the need to step up action to fight against illegal fishing . Available at: https://ec.europa.eu/commission/presscorner/detail/en/IP_19_6755 .

FAO. (2002). Fishery Country Profile - THE REPUBLIC OF PANAMA (Rome, Italy: The Food and Agriculture Organization of the United Nations). Available at: http://www.fao.org/fi/oldsite/FCP/en/PAN/profile.htm .

FAO. (2018). Perfiles sobre la pesca y la acuicultura por paíes - La República de Panama . (Roma, Italia: Organización de las Naciones Unidas para la Alimentación y la Agricultura). Available at: http://www.fao.org/fishery/facp/PAN/es .

FAO. (2022). Food and Agriculture Organization of the United Nations FAOLEX Database. Complete Collection . Available at: www.fao.org/faolex/opendata (Accessed January 24, 2022). License: CC BY-NC-SA 3.0 IGO.

Garland M., Axon S., Graziano M., Morrissey J., Heidkamp C. P. (2019). The blue economy: Identifying geographic concepts and sensitivities. Geogr. Compass . 13, e12445. doi: 10.1111/gec3.12445

Graziano M., Alexander K. A., Liesch M., Lema E., Torres J. A. (2019). Understanding an emerging economic discourse through regional analysis: Blue economy clusters in the U.S. Great Lakes basin. Appl. Geogr. (Sevenoaks) 105, 111–123. doi: 10.1016/j.apgeog.2019.02.013

Griggs D., Smith M. S., Rockström J., Öhman M. C., Gaffney O., Glaser G., et al. (2014). An integrated framework for sustainable development goals. Ecol. Soc. 19 (4), 49. doi: 10.5751/ES-07082-190449

Herrera M., Carlos L., Torres-Lista V., Montenegro M. (2018). Analysis of the state budget for education of the republic of Panama from 1990 to 2017. IES 11, 71. doi: 10.5539/ies.v11n7p71

Howlett M. (2014a). From the ‘old’ to the ‘new’ policy design: design thinking beyond markets and collaborative governance. Policy Sci. 47, 187–207. doi: 10.1007/s11077-014-9199-0

Howlett M. (2014b). "Policy design: What, Who, How and Why?" in L’instrumentation de l'action publique: Controverses, résistance, effets. Ed. C. Halpern (Paris, France: Presses de Sciences Po.) 281–315. doi: 10.3917/scpo.halpe.2014.01.0281

Howlett M., Mukherjee I. (2014). Policy design and non-design: towards a spectrum of policy formulation types. PaG 2, 57–71. doi: 10.17645/pag.v2i2.149

Howlett M., Mukherjee I., Woo J. J. (2015). From tools to toolkits in policy design studies: the new design orientation towards policy formulation research. Policy polit 43, 291–311. doi: 10.1332/147084414X13992869118596

Howlett M., Rayner J. (2007). Design principles for policy mixes: cohesion and coherence in ‘New governance arrangements’. Policy Soc. 26, 1–18. doi: 10.1016/S1449-4035(07)70118-2

IMF. (2019). World Economic Outlook Database Country Report (Panama: International Monetary Fund). Available at: www.imf.org (Accessed April 15, 2021).

IMF. (2020). Social Issues in Panama: Background and Policies. In: Panama: Selected Issues. IMF Staff Country Reports 2020, 125, A006 . (New York, NY: Palgrave Macmillan). doi: 10.5089/9781513541679.002.A006

INEC. (2020). Censo Nacional 2010 . Available at: https://www.inec.gob.pa .

Issifu I., Dahmouni I., Deffor E. W., Sumaila U. R. (2023). Diversity, equity, and inclusion in the Blue Economy: Why they matter and how do we achieve them? Front. Polit. Sci. 4. doi: 10.3389/fpos.2022.1067481

Jackson K., Bazeley P. (2019). Qualitative data analysis with NVivo . 3rd edition (London: Sage Publications).

Jordan G., Halpin D. (2006). The political costs of policy coherence: constructing a rural policy for Scotland. J. Pub. Pol. 26, 21–41. doi: 10.1017/S0143814X06000456

Katila J., Ala-Rämi K., Repka S., Rendon E., Törrönen J. (2019). Defining and quantifying the sea-based economy to support regional blue growth strategies – Case Gulf of Bothnia. Mar. Policy 100, 215–225. doi: 10.1016/j.marpol.2018.11.035

Keen M. R., Schwarz A.-M., Wini-Simeon L. (2018). Towards defining the Blue Economy: Practical lessons from Pacific Ocean governance. Mar. Policy 88, 333–341. doi: 10.1016/j.marpol.2017.03.002

Kelly C., Ellis G., Flannery W. (2018). Conceptualising change in marine governance: Learning from Transition Management. Mar. Policy 95, 24–35. doi: 10.1016/j.marpol.2018.06.023

Khalilian S., Froese R., Proelss A., Requate T. (2010). Designed for failure: A critique of the Common Fisheries Policy of the European Union. Mar. Policy 34, 1178–1182. doi: 10.1016/j.marpol.2010.04.001

King M., Keijzer N., Spierings E., Matthews A. (2012). Measuring policy coherence for development. (Maastricht: European Centre for Development Policy Management). Available at: https://ecdpm.org/application/files/3616/5547/2350/2012-Policy-coherance-development-Measuring-PCD-report-Vol1.pdf .

Koff H., Challenger A., Portillo I. (2020). Guidelines for operationalizing policy coherence for development (PCD) as a methodology for the design and implementation of sustainable development strategies. Sustainabil. (Basel Switzerland) 12, 4055. doi: 10.3390/su12104055

Lee K.-H., Noh J., Khim J. S. (2020). The Blue Economy and the United Nations’ sustainable development goals: Challenges and opportunities. Environ. Int. 137, 105528. doi: 10.1016/j.envint.2020.105528

Mallin F., Barbesgaard M. (2020). Awash with contradiction: Capital, ocean space and the logics of the Blue Economy Paradigm. Geoforum 113, 121–132. doi: 10.1016/j.geoforum.2020.04.021

Miller R. L., Marsh H., Cottrell A., Hamann M. (2018). Protecting migratory species in the Australian marine environment: A cross-jurisdictional analysis of policy and management plans. Front. Mar. Sci. 5. doi: 10.3389/fmars.2018.00229

MIRE. (2019). Lineamientos para la Política Nacional de Océanos . República de Panamá: Gobierno Nacional de la República de Panamá.

MIRE. (2022). Política Nacional de Océanos de Panamá, Estrategia y Plan de Acción Nacional . República de Panamá: Ministerio de Ambiente, Ministerio de Relaciones Exteriores y Programa de las Naciones Unidas para el Desarrollo (PNUD). Available at: https://www.undp.org/sites/g/files/zskgke326/files/2023-03/UNDP-PA-Politica-Oceanos-Documento.pdf .

Molina Alarco D. (2022). Panama Lending Flag to Most Destructive Fishing Ships (Washington, DC: Center for Latin American and Latino Studies at American University and InSight Crime). Available at: https://insightcrime.org/investigations/Panama-lending-flag-most-destructive-fishing-ships-iuu/ .

Nilsson M., Griggs D., Visbeck M. (2016). Policy: map the interactions between sustainable development goals. Nat. (London) 534, 320–322. doi: 10.1038/534320a

Nilsson M., Persson A. (2003). Framework for analysing environmental policy integration. J. Environ. Policy Plann. 5, 333–359. doi: 10.1080/1523908032000171648

Nilsson M., Zamparutti T., Petersen J. E., Nykvist B., Rudberg P., McGuinn J. (2012). Understanding policy coherence: analytical framework and examples of sector-environment policy interactions in the EU: understanding policy coherence. Env. Pol. Gov. 22, 395–423. doi: 10.1002/eet.1589

OECD. (1996). Building policy coherence: Tools and tensions. (Paris, France: Organisation for Economic Co-operation and Development).

OECD. (2009). Building blocks for policy coherence for development (Paris: Organisation for Economic Co-operation and Development. OECD Publishing).

OECD. (2018). Policy Coherence for Sustainable Development 2018: Towards Sustainable and Resilient Societies . (Paris: OECD Publishing). doi: 9789264301061-en

OECD. (2021). Making Better Policies for Food Systems . (Paris: OECD Publishing). doi: 10.1787/ddfba4de-en

OSPESCA. (2020). Estrategia Regional para el Crecimiento Azul en los países del SICA . Organización del Sector Pesquero y Acuícola del Istmo Centroamericano. La Libertad, El Salvador: OAREAM. Disponible en: https://www.sica.int/documentos/estrategia-regional-para-el-crecimiento-azul-en-los-paises-del-sica_1_129269.html .

Patil P. G., Virdin J., Diez S. M., Roberts J., Singh A. (2016). Toward a Blue Economy (Washington, DC: World Bank). doi: 10.1596/25061

Phang S., March A., Touron-Gardic G., Deane K., Failler P. (2023). A review of the blue economy, potential, and opportunities in seven Caribbean nations pre-COVID-19. ICES J. Mar. Sci . 80 (8), 2233–2243. doi: 10.1093/icesjms/fsac230

Scobie M. (2016). Policy coherence in climate governance in Caribbean Small Island Developing States. Environ. Sci. Policy 58, 16–28. doi: 10.1016/j.envsci.2015.12.008

Seemann J., Romero T. E., Dominici-Arosemena A., Maté J., Cornejo A. J., Savage J. M., et al. (2023). “Coastal zone management in Panama: lessons learned and outlook for the future,” in Challenges in Tropical Coastal Zone Management: Experiences and Lessons Learned . Eds. Wolff M., Ferse S. C. A., Govan H. (New York, NY: Springer), 165.

Shawoo Z., Maltais A., Dzebo A., Pickering J. (2023). Political drivers of policy coherence for sustainable development: An analytical framework. Env. Pol. Gov 33, 339–350. doi: 10.1002/eet.2039

Silver J. J., Gray N. J., Campbell L. M., Fairbanks L. W., Gruby R. L. (2015). Blue economy and competing discourses in international oceans governance. J. Environ. Dev. 24, 135–160. doi: 10.1177/1070496515580797

Smith-Godfrey S. (2016). Defining the blue economy. Maritime affairs (New Delhi India) 12, 58–64. doi: 10.1080/09733159.2016.1175131

Spalding A. K., de Ycaza R. (2020). Navigating shifting regimes of ocean governance: from UNCLOS to sustainable development goal 14. Environ. Soc. 11, 5–26. doi: 10.3167/ares.2020.110102

Spalding A. K., Suman D. O., Mellado M. E. (2015). Navigating the evolution of marine policy in Panama: Current policies and community responses in the Pearl Islands and Bocas del Toro Archipelagos of Panama. Mar. Policy 62, 161–168. doi: 10.1016/j.marpol.2015.09.020

Suman D. (1987). “The Management of Coastal Zone Resources in Panama,” in Coastal Zone ‘87 (ASCE, New York, NY).

Suman D. (2002). Panama revisited: evolution of coastal management policy. Ocean Coast. Manage. 45, 91–120. doi: 10.1016/S0964-5691(02)00050-9

Suman D. (2007). Development of an integrated coastal management plan for the Gulf of San Miguel and Darien Province, Panama: Lessons from the experience. Ocean Coast. Manage. 50, 634–660. doi: 10.1016/j.ocecoaman.2007.03.007

UNESCO. (2023). Coiba National Park and its Special Zone of Marine Protection (Unesco World Heritage Convention). Available at: https://whc.unesco.org/en/soc/4513 (Accessed September 6, 2023).

UNGA. (2015). RES/70/1 Transforming our world: the 2030 Agenda for Sustainable Development [2015]. In: Sustainable Development Goals . Available at: https://www.un.org/en/development/desa/population/migration/generalassembly/docs/globalcompact/A_RES_70_1_E.pdf (Accessed June 20, 2022).

Vince J. (2018). The twenty year anniversary of Australia’s Oceans Policy : achievements, challenges and lessons for the future. Aust. J. Maritime Ocean Affairs 10, 182–194. doi: 10.1080/18366503.2018.1490882

Voyer M., Benzaken D., Rambourg C. (2022). Institutionalizing the Blue Economy: an examination of variations and consistencies among Commonwealth countries. Phil. Trans. R. Soc B 377, 20210125. doi: 10.1098/rstb.2021.0125

Voyer M., Farmery A. K., Kajlich L., Vachette A., Quirk G. (2020a). Assessing policy coherence and coordination in the sustainable development of a Blue Economy. A case study from Timor Leste. Ocean Coast. Manage. 192, 105187. doi: 10.1016/j.ocecoaman.2020.105187

Voyer M., Quirk G., Farmery A. K., Kajlich L., Warner R. (2020b). Launching a Blue Economy: crucial first steps in designing a contextually sensitive and coherent approach. J. Environ. Policy Plann. 23, 345–362. doi: 10.1080/1523908X.2020.1856054

Voyer M., Quirk G., McIlgorm A., Azmi K. (2018). Shades of blue: what do competing interpretations of the Blue Economy mean for oceans governance? J. Environ. Policy Plann. 20, 595–616. doi: 10.1080/1523908X.2018.1473153

Voyer M., van Leeuwen D. J. (2019). ‘Social license to operate’ in the Blue Economy. Resour. Policy 62, 102–113. doi: 10.1016/j.resourpol.2019.02.020

Wenhai L., Cusack C., Baker M., Tao W., Mingbao C., Paige K., et al. (2019). Successful blue economy examples with an emphasis on international perspectives. Front. Mar. Sci. 6. doi: 10.3389/fmars.2019.00261

World Bank. (2020). World Bank. In: 2020 “Country profiles: Panama.” (The World Bank Group). Available at: https://www.worldbank.org/en/country/Panama (Accessed March 10, 2021).

Keywords: blue economy, ocean governance, policy coherence, ocean policy, environmental policy, sustainable development, Latin America, Panama

Citation: de Ycaza RA, Spalding AK and Cisneros-Montemayor AM (2024) Assessing policy coherence for developing a blue economy: a case study in the Republic of Panama. Front. Mar. Sci. 11:1336030. doi: 10.3389/fmars.2024.1336030

Received: 09 November 2023; Accepted: 25 March 2024; Published: 18 April 2024.

Reviewed by:

Copyright © 2024 de Ycaza, Spalding and Cisneros-Montemayor. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY) . The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.

*Correspondence: Ricardo A. de Ycaza, [email protected]

This article is part of the Research Topic

The Potentials and Pitfalls from National Blue Economy Plans Towards Sustainable Development

Analyzing water crisis through the water footprint approach; case of Isfahan province, Iran

• Published: 20 April 2024

Cite this article

• Hossein Mokhtari Hashi   ORCID: orcid.org/0000-0003-0896-5678 1  

This study examines the impact of an increasing water footprint on exacerbating water scarcity and the crisis in Isfahan province, Iran. It highlights the significance of considering the water footprint approach in water resource management. To achieve this goal, a comprehensive analysis of water availability limitations, population growth, the agricultural sector, and the industrial sector was conducted. The methodology employed for this research involved a combination of qualitative and quantitative data collection approaches, including literature review and statistical data analysis. The findings of this study reveal that Isfahan province faces a significant water crisis due to an imbalance between water supply and demand. The limited renewable water resources in the region exacerbate the challenges associated with meeting the water demands of a continuously expanding population and human activities. The conclusions drawn from this research indicate that focusing on transferring water from adjacent basins as a solution for water scarcity, and even transferring more water if it is available in those basins, regardless of the increasing trend of the water footprint in the province, is not only an unsustainable solution, but also exacerbates the unsustainability of the source water transferred adjacent basins. Some recommendations to improve the water footprint approach in Isfahan province for long-term sustainability include raising awareness to reduce household water usage, promoting efficient irrigation and sustainable agricultural practices, implementing regulations, and encouraging the adoption of water-efficient technologies in the industrial sector. Collaborative efforts between the government, stakeholders, and the public, continued research and data monitoring.

This is a preview of subscription content, log in via an institution to check access.

Access this article

Price includes VAT (Russian Federation)

Instant access to the full article PDF.

Rent this article via DeepDyve

Institutional subscriptions

Data availability

Population data

The population data of Isfahan province obtained from Statistical Center of Iran yearbook and Isfahan municipality yearbook in different years, these websites are in Persian and the data is publicly available. Statistical Center of Iran available at: https://www.amar.org.ir/statistical-information .

Isfahan municipality yearbook (population part) is available at: https://plan.isfahan.ir/sites/default/files/statistics_content/23898/files/98-2.pdf .

Agriculture data

The data for agricultural products obtained from Statistical Center of Iran yearbook and Ministry of Agricultural Jihad and Organization of Agriculture Jihad of Isfahan province statistical yearbooks in different years.

Ministry of Agricultural Jihad Statistics available at: https://maj.ir/page-amar/FA/65/form/pId3352 .

Organization of Agriculture Jihad of Isfahan province statistics available at: http://agri-es.ir/Default.aspx?tabid=1927 .

Industrial data .

The data for industrial products obtained from Statistical Center of Iran yearbooks, Mobarakeh Steel Company, Zobahan (Steel) Company, Iranian Mines & Mining Industries Development & Renovation Organization (IMIDRO), National Iranian Steel Company (NISC), Isfahan Regional Electricity Company and Cement Scientific Monthly.

Electricity data .

The data for electricity obtained from Statistical Center of Iran yearbooks and Isfahan Regional Electrical Company, Available at: https://www.erec.co.ir/fa/history.aspx .

All data used in this paper obtained from official sources that are published and open to public access. The data are in Persian.

Allan, J. A. (1993). Fortunately there are substitutes for water otherwise our hydro-political futures would be impossible. Priorities for water resources allocation and management (pp. 13–26). ODA.

Asriran (2023, July 10). A 76-kilometer giant is speeding toward Kashan/Horrifying scenes from the largest subduction crack in Iran. [In Persian]. Retrieved July 29, 2023, from https://www.asriran.com/fa/news/897376/

Boretti, A., & Rosa, L. (2019). Reassessing the projections of the world water development report. NPJ Clean Water , 2 (1), 15, 1–6. https://doi.org/10.1038/s41545-019-0039-9

Article   Google Scholar  

Cement Scientific Monthly (2021). Cement industry statistics. [In Persian]. Retrieved September 15, 2022, from http://www.cementechnology.ir/

Chapagain, A. K., & Hoekstra, A. Y. (2004). Water footprints of nations. Volume 1: Main Report (Vol. 16, pp. 1–80). UNESCO-IHE Institute for Water Education. Value Water Research Report Series https://www.waterfootprint.org/resources/Report16Vol1.pdf

Chapagain, A. K., & Hoekstra, A. Y. (2008). The global component of freshwater demand and supply: An assessment of virtual water flows between nations as a result of trade in agricultural and industrial products. Water International , 33 (1), 19–32. https://doi.org/10.1080/02508060801927812

Chen, C. H., Wang, C. H., Hsu, Y. J., Yu, S. B., & Kuo, L. C. (2010). Correlation between groundwater level and altitude variations in land subsidence area of the Choshuichi Alluvial Fan, Taiwan. Engineering Geology , 115 (1–2), 122–131. https://doi.org/10.1016/j.enggeo.2010.05.011

Ebrahimi, Z., Vali, A., Khosroshahi, M., & Ghazavi, R. (2017). Investigation of the role of bed dried Gavkhooni wetland on the production of the internal dust using remote sensing and duststorms (Case study: Isfahan province). Iranian Journal of Range and Desert Research , 24 (1), 152–164. https://doi.org/10.22092/ijrdr.2017.109857

Ercin, A. E., Aldaya, M. M., & Hoekstra, A. Y. (2011). Corporate water footprint accounting and impact assessment: The case of the water footprint of a sugar-containing carbonated beverage. Water Resources Management , 25 , 721–741. https://doi.org/10.1007/s11269-010-9723-8

Ercin, A. E., Mekonnen, M. M., & Hoekstra, A. Y. (2013). Sustainability of national consumption from a water resources perspective: The case study for France. Ecological Economics , 88 , 133–147. https://doi.org/10.1016/j.ecolecon.2013.01.015

Falkenmark, M., Lundqvist, J., & Widstrand, C. (1989). Macro-scale water scarcity requires micro‐scale approaches: Aspects of vulnerability in semi‐arid development. Natural resources forum (Vol. 13, pp. 258–267). Blackwell Publishing Ltd. 4.

FAO (2020, December 10). The State of Food and Agriculture 2020. Overcoming water challenges in agriculture. Rome. Retrieved December 10, 2022, from https://www.hydrology.nl/images/docs/alg/The_State_of_Food_and_Agriculture_2020.pdf

Fu, M., Guo, B., Wang, W., Wang, J., Zhao, L., & Wang, J. (2019). Comprehensive Assessment of Water Footprints and Water Scarcity pressure for main crops in Shandong Province, China. Sustainability , 11 (7), 1856. https://doi.org/10.3390/su11071856

Gleick, P. H. (2003). Global freshwater resources: Soft-path solutions for the 21st century. Science , 302 (5650), 1524–1528. https://doi.org/10.1126/science.1089967

Article   CAS   Google Scholar  

Gohari, A., Eslamian, S., Mirchi, A., Abedi-Koupaei, J., Bavani, A. M., & Madani, K. (2013). Water transfer as a solution to water shortage: A fix that can backfire. Journal of Hydrology , 491 , 23–39. https://doi.org/10.1016/j.jhydrol.2013.03.021

Hajian, N., & Hajian, P. (2015). Zayandeh Roud Reference Database . Publications of Islamic Azad University, Khorasgan branch. [In Persian].

Hoekstra, A. Y., & Chapagain, A. K. (2007). Water footprints of nations: Water use by people as a function of their consumption pattern. Water Resources Management , 21 (1), 35–48. https://doi.org/10.1007/s11269-006-9039-x

Hoekstra, A. Y., & Chapagain, A. K. (2008). Globalization of water: Sharing the planet’s freshwater resources . Wiley.

Hoekstra, A. Y., & Hung, P. (2002). Virtual Water Trade: A quantification of virtual water flows between nations in relation to International Crop Trade (pp. 1–120). UNESCO-IHE Institute for Water Education. Value of Water Research Report SeriesNo. 11 http://www.waterfootprint.org/Reports/Report11.pdf

Hoekstra, A. Y., & Mekonnen, M. M. (2012). The water footprint of humanity. Proceedings of the National Academy of Sciences , 109 (9), 3232–3237. https://doi.org/10.1073/pnas.1109936109

Hoekstra, A. Y., & Wiedmann, T. O. (2014). Humanity’s unsustainable environmental footprint. Science , 344 (6188), 1114–1117. https://doi.org/10.1126/science.1248365

Hoekstra, A. Y., Chapagain, A. K., Aldaya, M. M., & Mekonnen, M. M. (2009). Water footprint manual (pp. 1–131). Water footprint network. http://www.indiaenvironmentportal.org.in/files/WaterFootprintManual2009.pdf

Hoekstra, A. Y., Chapagain, A. K., Aldaya, M. M., & Mekonnen, M. M. (2011). The Water Footprint Assessment Manual: Setting the Global Standard . Routledge.

Hoekstra, A. Y., Mekonnen, M. M., Chapagain, A. K., Mathews, R. E., & Richter, B. D. (2012). Global monthly water scarcity: Blue water footprints versus blue water availability. PloS One , 7 (2), e32688. https://doi.org/10.1371/journal.pone.0032688

Hosseinian, S. M., & Nezamoleslami, R. (2018). Water footprint and virtual water assessment in cement industry: A case study in Iran. Journal of Cleaner Production , 172 , 2454–2463. https://doi.org/10.1016/j.jclepro.2017.11.164

Hu, Y., Duan, W., Chen, Y., Zou, S., Kayumba, P. M., & Qin, J. (2022). Exploring the changes and driving forces of water footprint in Central Asia: A global trade assessment. Journal of Cleaner Production , 375 , 134062. https://doi.org/10.1016/j.jclepro.2022.134062

Industry, & Mining and Trade Organization of Isfahan Province. (2020, July 13). Interview of Iraj Movafagh, the head of the Industry, Mining and Trade Organization of Isfahan Province. [In Persian]. Retrieved June 18, 2023, from https://www.yjc.ir/fa/news/7420983/

Iran Small Industries and Industrial Parks Organization (ISIPO) (2021). Statistics and information of towns and industrial areas. [In Persian]. Retrieved December 18, 2022, from http://gis.isipo.ir/

Iran Meteorological Organization (1966–2016). Meteorological Yearbook. [In Persian].

Iranian Ministry of Energy (2017, October 5). How much water do we consume with electricity consumption? [In Persian]. Retrieved December 14, 2022 from https://www.eghtesadonline.com/n/18KS

Iranian Mines & Mining Industries Development & Renovation) IMIDRO (and National Iranian Steel Company (NISC) (2023). Studies the Iran steel master plan. [In Persian]. Retrieved December 23, 2022, from https://niscoir.com/wp-content/uploads/2023/08/Final-kholase-payesh-1401-Tir-1402.pdf

Isfahan Province Meteorological Administration (2016). Statistical yearbook [In Persian].

Isfahan Regional Water Company (2019). Adaptation plan to water shortage in Isfahan province. [In Persian].

Isfahan Regional Water Company (2023). Zayandeh Roud dam and power plant. [In Persian]. Retrieved July 24, 2023 from https://www.esrw.ir/st/130#

Isfahan Regional Electrical Company (2021). The History of Isfahan Electricity Industry. [In Persian]. Retrieved January 20, 2023, from https://www.erec.co.ir/fa/history.aspx

Islami, R. (2021, May 8). 10% of the area of Isfahan is involved in dangerous subsidence. [In Persian]. Retrieved June 8, 2023, from https://www.mehrnews.com/news/5206633/

Javdanian, H., & Ahmadi Darani, M. (2016). Overexploitation of groundwater resources and regional subsidence: Case study of Damaneh city, Isfahan. Journal of Water and Wastewater Science and Engineering , 1 (1), 49–60. https://doi.org/10.22112/jwwse.2017.51030

Karandish, F., & Hoekstra, A. Y. (2017). Informing National Food and Water Security Policy through Water Footprint Assessment: The case of Iran. Water , 9 (11), 831. https://doi.org/10.3390/w9110831

Konar, M., & Marston, L. (2020). The Water Footprint of the United States. Water , 12 (11), 3286. https://doi.org/10.3390/w12113286

Kumar, M. D., & Singh, O. P. (2005). Virtual water in global food and water policy making: Is there a need for rethinking? Water Resources Management , 19 (6), 759–789. https://doi.org/10.1007/s11269-005-3278-0

Kummu, M., Ward, P. J., de Moel, H., & Varis, O. (2010). Is Physical Water Scarcity a New Phenomenon? Global Assessment of Water Shortage over the last two Millennia. Environmental Research Letters , 5 (3). https://doi.org/10.1088/1748-9326/5/3/034006

Le Roux, B., van der Laan, M., Vahrmeijer, T., Bristow, K. L., & Annandale, J. G. (2017). Establishing and testing a catchment water footprint framework to inform sustainable irrigation water use for an aquifer under stress. Science of the Total Environment , 599 , 1119–1129. https://doi.org/10.1016/j.scitotenv.2017.04.170

Liqiang, G., Gaodi, X., Shimei, L., Yanpei, C., & Zhihai, L. (2016). The analysis of water footprint of production and water stress in China. Journal of Resources and Ecology , 7 (5), 334–341. https://doi.org/10.5814/j.issn.1674-764x.2016.05.003

Madani, K., AghaKouchak, A., & Mirchi, A. (2016). Iran’s socio-economic drought: Challenges of a water-bankrupt nation. Iranian Studies , 49 (6), 997–1016. https://doi.org/10.1080/00210862.2016.1259286

Management and Planning Organization of Isfahan Province (1966–2016). Isfahan province Statistical Yearbooks [In Persian].

Masoodian, A. (2004). Temperature trends in Iran during the last half century. Geography and Development , 2 (3), 89–106. https://doi.org/10.22111/gdij.2004.3831 . ‌[In Persian].

Mekonnen, M. M., & Hoekstra, A. Y. (2010a). A global and high-resolution assessment of the green, blue and grey water footprint of wheat. Hydrology and Earth System Sciences , 14 (7), 1259–1276. https://doi.org/10.5194/hess-14-1259-2010

Mekonnen, M. M., & Hoekstra, A. Y. (2010b). The green, blue and grey water footprint of farm animals and animal products. Value of Water Research Report Series; No , 48 , 1–50. https://www.waterfootprint.org/media/downloads/Report-48-WaterFootprint-AnimalProducts-Vol1.pdf

Google Scholar  

Mekonnen, M. M., & Hoekstra, A. Y. (2011a). The green, blue and grey water footprint of crops and derived crop products. Hydrology and Earth System Sciences , 15 (5), 1577–1600. https://doi.org/10.5194/hess-15-1577-2011

Mekonnen, M. M., & Hoekstra, A. Y. (2011b). National Water Footprint Accounts: The Green, Blue and Grey Water Footprint of Production and Consumption . Volume 1: main report. (Value of Water Research Report Series; No. 50). UNESCO-IHE Institute for Water Education. Delft, the Netherlands. https://www.waterfootprint.org/resources/Report50-NationalWaterFootprints-Vol1%282%29.pdf

Mekonnen, M. M., & Hoekstra, A. Y. (2016). Four billion people facing severe water scarcity. Science Advances , 2 (2), e1500323. https://doi.org/10.1126/sciadv.1500323

Michel, D. (2019, July 9). Iran’s troubled quest for food self-sufficiency. Atlantic council. Retrieved January 7, 2023, from https://www.atlanticcouncil.org/blogs/iransource/iran-s-troubled-quest-for-food-self-sufficiency/

Ministry of Agricultural Jihad (1966–2016). Statistical yearbooks. [In Persian].

Mirzaei, M., & Mehrab, M. (2014). Investigating the causes of Zayandeh Roud’s water shortage crisis and providing the necessary solutions to deal with it. The first national environmental conference. Payam Noor University, Isfahan, Iran. May 22, 2014. [In Persian]. https://civilica.com/doc/279494/

Mobarakeh Steel Company (2018, June 18). Reducing the annual consumption of 15 million cubic meters of water in Mobarake Steel. Interview of Mokhtar Bakhshian the deputy of operation of Mobarakeh steel company. [In Persian]. Retrieved October 4, 2022 from https://www.mojnews.com/fa/tiny/news-231642

Municipality of Isfahan (2007–2016). Statistical yearbooks of Isfahan city. [In Persian].

Nezamoleslami, R., & Hosseinian, S. M. (2020). An improved water footprint model of steel production concerning virtual water of personnel: The case of Iran. Journal of Environmental Management , 260 , 110065. https://doi.org/10.1016/j.jenvman.2020.110065 . [In Persian].

Operajouneghani, E., & Nasrollahi, Z. (2021). The Position of Economic Sectors in Isfahan Province based on the Consumption Approach using the input-output model. Journal of Water and Sustainable Development , 8 (2). https://doi.org/10.22067/jwsd.v8i2.1007 . [In Persian].

Organization of Agriculture Jihad of Isfahan province. (1966–2016). Statistical yearbooks. [In Persian].

Otto, B., & Schleifer, L. (2020, February 10). Domestic Water Use Grew 600% over the Past 50 Years. Retrieved February 17, 2023, from https://www.wri.org/insights/domestic-water-use-grew-600-over-past-50-years

Pahlevan, E., & Karimimanesh, E. (2021). The impact of environmental diplomacy on water crisis on the borderlands of Iran (case study: The Hirmand watersheds). Journal of Environmental Science Studies , 6 (3), 3900–3912. [In Persian] https://www.jess.ir/article_134668_en.html

Pourasghar Sangachin, F., & Askari, M. (2015). Challenges of Iran’s water resources management in the country’s sixth development plan. The 13th National Conference on Environmental Impact Assessment of Iran, Tehran. [In Persian]. https://civilica.com/doc/536377/

Qomshi, M. (2021, April 13). Effects of water transfer from Karun river tributaries. [In Persian]. Retrieved October 11, 2022, from اثرات انتقال آب از سرشاخه های رودخانه کارون (shooshan.ir).

Qu, S., Liang, S., Konar, M., Zhu, Z., Chiu, A. S. F., Jia, X., & Xu, M. (2018). Virtual water scarcity risk to the Global Trade System. Environmental Science & Technology , 52 (2). https://doi.org/10.1021/acs.est.7b04309

Rayatpishe, F., & Masoodian, A. (2015). A Trend Analysis of Area suffering from Climate Changes in Iran during: 1960–2004. Journal of Geography and Environmental Hazards , 4 (2), 21–34. https://doi.org/10.22067/geo.v4i2.29845 . [In Persian].

Saatsaz, M., & Rezaie, A. (2021). Water resources Management, Technology, and culture in ancient Iran. Hydrology and Earth System Sciences Discussions , 1–40. https://doi.org/10.5194/hess-2021-173

Sadeghi, A., & Ahmadi, H. (2022). Evaluation of monthly reference evapotranspiration in Iran based on the output of CORDEX-MNA project downscaled dynamic models. Physical Geography Research Quarterly , 54 (2), 185–202. https://doi.org/10.22059/jphgr.2022.332856.1007652

Sedaghat, M., Ghazifard, A., Ajalloeian, R., & Shirani, K. (2020). Evaluation of the subsidence hazard due to groundwater withdrawal in Isfahan Metropolis. Geotechnical and Geological Engineering , 38 , 297–318. https://doi.org/10.1007/s10706-019-01017-6

Shannon, M. A., Bohn, P. W., Elimelech, M., Georgiadis, J. G., Mariñas, B. J., & Mayes, A. M. (2008). Science and technology for water purification in the coming decades. Nature , 452 (7185), 301–310. https://doi.org/10.1038/nature06599

Sowers, J., Vengosh, A., & Weinthal, E. (2011). Climate change, water resources, and the politics of adaptation in the Middle East and North Africa. Climatic Change , 104 (3–4), 599–627. https://doi.org/10.1007/s10584-010-9835-4

Statistical Center of Iran (1966–2016). Iran Statistical yearbooks. [In Persian].

Tuyishimire, A., Liu, Y., Yin, J., Kou, L., Lin, S., Lin, J., & Simbi, C. H. (2022). Drivers of the increasing water footprint in Africa: The food consumption perspective. Science of the Total Environment , 809 , 152196. https://doi.org/10.1016/j.scitotenv.2021.152196

UN. (2015). Transforming our world: The 2030 agenda for Sustainable Development . United Nations. https://sdgs.un.org/2030agenda

UN-Water (2006). Coping with water scarcity. Challenge of the twenty-first century. https://www.un.org/waterforlifedecade/pdf/2006_unwater_coping_with_water_scarcity_eng.pdf

UN-Water (2015). UN-Water Annual International Zaragoza Conference. Water and Sustainable Development: From Vision to Action. 15–17 January 2015. Retrieved July 10, 2023 from https://www.un.org/waterforlifedecade/waterandsustainabledevelopment2015/open_working_group_sdg.shtml

United Nations (2007). Indicators of Sustainable Development: Guidelines and Methodologies . Third Edition. New York. https://www.un.org/esa/sustdev/natlinfo/indicators/guidelines.pdf

Vanham, D., & Bidoglio, G. (2013). A review on the indicator water footprint for the EU28. Ecological Indicators , 26 , 61–75. https://doi.org/10.1016/j.ecolind.2012.10.021

Vargas-Pineda, O. I., Trujillo-González, J. M., & Torres-Mora, M. A. (2020). Water footprint: An effective tool for the challenge of water sustainability. Ingeniería Y Competitividad , 22 (1). https://doi.org/10.25100/iyc.v22i1.8429

Wang, D., Hubacek, K., Shan, Y., Gerbens-Leenes, W., & Liu, J. (2021). A review of water stress and Water Footprint Accounting. Water , 13 (2), 201. https://doi.org/10.3390/w13020201 . MDPI AG.

Water Footprint Network (2022). Personal water footprint calculator. Retrieved December 8, 2022, from www.waterfootprint.org/resources/interactive-tools/personal-water-footprint-calculator/

Water Footprint Network (2023, March 24). Water footprint of crop and animal products: a comparison. Retrieved March 24, 2023, from https://www.waterfootprint.org/time-for-action/what-can-consumers-do/

World Economic Forum (2015). Global Risks 2015. 10th Edition, Geneva, Ref: 090115. https://www3.weforum.org/docs/WEF_Global_Risks_2015_Report15.pdf

World Water Assessment Programme (WWAP) (2014). The United Nations World Water Development Report 2014: Water and Energy. Paris, UNESCO. https://sustainabledevelopment.un.org/content/documents/1714Water%20Development%20Report%202014.pdf

World Wildlife Fund (2023, April 26). Water scarcity. Retrieved April 16, 2023, from https://www.worldwildlife.org/threats/water-scarcity

Worlddata (2022). Average income around the world. Retrieved December 8, 2022, from www.worlddata.info/average-income.php

Zhuo, L., Feng, B., & Wu, P. (2020). Water Footprint Study Review for Understanding and resolving Water issues in China. Water , 12 (11), 2988. https://doi.org/10.3390/w12112988

Zobahan, S. C. (2021, May 16). Steel production with minimum water consumption in Zobahan Steel Company. Interview of Mehrdad Esmaeili, the water supply manager of Zobahan steel company [In Persian]. Retrieved October 19, 2022 from https://pardazeshonline.com/zobahzn/

Download references

Author information

Authors and affiliations.

Faculty of Geographical Sciences and Planning, University of Isfahan, Isfahan, Iran

Hossein Mokhtari Hashi

You can also search for this author in PubMed   Google Scholar

Corresponding author

Correspondence to Hossein Mokhtari Hashi .

Ethics declarations

Conflict of interest.

As the only author of the paper, declare that I have no conflict of interest.

Additional information

Publisher’s note.

Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.

Rights and permissions

Springer Nature or its licensor (e.g. a society or other partner) holds exclusive rights to this article under a publishing agreement with the author(s) or other rightsholder(s); author self-archiving of the accepted manuscript version of this article is solely governed by the terms of such publishing agreement and applicable law.

Reprints and permissions

About this article

Mokhtari Hashi, H. Analyzing water crisis through the water footprint approach; case of Isfahan province, Iran. Environ Dev Sustain (2024). https://doi.org/10.1007/s10668-024-04882-1

Download citation

Received : 28 May 2023

Accepted : 02 April 2024

Published : 20 April 2024

DOI : https://doi.org/10.1007/s10668-024-04882-1

Share this article

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

• Water resources management
• Water scarcity
• Water crisis
• Water footprint
• Isfahan province
• Find a journal
• Publish with us
• Track your research

Discover how a bimodal integration strategy can address the major data management challenges facing your organization today.

Partner with CData to enhance your technology platform with connections to over 250 data sources.

Ask questions, get answers, and engage with your peers.

HealthSource Distributors relies on CData Arc to automate purchase order processing and invoicing with suppliers and customers – creating better customer experiences, reducing operating costs, and accelerating sales growth.

Unlocking The Power of Bimodal Data Integration Discover how a bimodal integration strategy can address the major data management challenges facing your organization today.

• Case Studies
• Advertising
• Financial Services
• Hospitality
• Manufacturing
• Retail & eCommerce
• CData Drivers
• CData DBAmp
• CData Connect
• CData API Server

HealthSource Distributors Enhances Operational Efficiency and Achieves 40% Sales Growth with CData Arc

Seamless edi integration, deep insights and strategic planning, agile workflow development.

Founded in 2003, HealthSource Distributors has emerged as a prominent player in the pharmaceutical distribution industry, experiencing rapid sales growth over the years. With a commitment to innovation and efficiency, HealthSource sought to enhance their operational processes, particularly in the realm of Electronic Data Interchange (EDI).

The challenge: Modernizing EDI operations

As HealthSource expanded their operations, they recognized the need to modernize their EDI processes to better serve their growing customer base. Previous experiences with legacy EDI solutions, such as 1EDI Source, proved cumbersome and inefficient, hindering operational agility and customer satisfaction. HealthSource needed a solution that would streamline EDI communication, improve workflow efficiency, and support their ambitious growth trajectory.

The solution: Operational efficiency with CData Arc

Led by Eric Buxton, HealthSource's lead application developer, the team embarked on a quest to find a more intuitive and agile EDI solution. After an exhaustive evaluation process, HealthSource transitioned to CData Arc. Impressed by the user-friendly interface, robust support, and extensive connectivity options, they saw an opportunity to revolutionize their EDI operations. With CData Arc, HealthSource gained the flexibility and scalability needed to support their expanding business while enhancing operational efficiency and customer satisfaction.

One of the elements of CData Arc that impressed the HealthSource team the most was the translation capability in the platform. Whereas legacy solutions require users to fully reconstruct EDI documents segment-by-segment before being able to map data to them, Arc provides pre-packaged EDI document templates and sample flows to quickly implement EDI translation. This eliminates the administration burden and provides a striking improvement in development timelines.

"The interface that you are using for EDI processing is either going to help you or it is going to slow you down. CData Arc made it so easy compared to 1EDI Source and other systems that we saw in the market." – Eric Buxton, Lead Application Developer, HealthSource Distributors

The result: A catalyst for 40% sales growth

By leveraging CData Arc to streamline EDI operations, HealthSource achieved a remarkable 40% increase in sales. This was achieved in three main ways: Firstly, CData Arc unlocked the ability to communicate with trading partners using their preferred protocol (AS2, SFTP, API, etc.), which allowed HealthSource to sell to a wider customer base. As Buxton summed it up: “more customers, more sales.” Secondly, CData Arc made it easier to “copy-and-paste” similar workflows across customers, which drastically improved the time to onboard new customers. This gave HealthSource a competitive advantage in the market against the large, inefficiently slow distributors and allowed HealthSource to take market share away from these players. Finally, in eliminating manual, spreadsheet-based orders processes and automating the communication and translation of data, HealthSource streamlined the customer experience around placing orders with them. This resulted in increased average order values per customer.

These benefits from CData Arc carried over into the supplier side as well: HealthSource was able to work with a wider base of suppliers, onboard new suppliers more quickly, and order more from each supplier. In combination, these factors drove impressive growth in sales for HealthSource, with CData Arc playing a key role in this business transformation.

CData Arc’s breadth of connectivity and drag-and-drop interface empowered HealthSource to develop and deploy custom workflows with unparalleled speed and efficiency. The platform's intuitive interface and robust support enabled HealthSource to automate manual tasks, streamline processes, and optimize resource allocation, resulting in significant cost savings and operational improvements.

With CData Arc, HealthSource gained deep insights into historical sales trends, customer behavior, and operational performance. The platform's advanced reporting capabilities provided HealthSource's leadership team with the data-driven insights needed to make informed decisions, identify growth opportunities, and drive strategic initiatives.

"When I think about how long it would take to set up a new workflow for a trading partner... it's astonishing how fast we can turn things around with CData Arc, and it even astonishes our trading partners." – Robb Miller, Director of IT, HealthSource Distributors

Experience the power of CData Arc

CData Arc has become an indispensable tool in HealthSource Distributors' quest for operational excellence and growth. By streamlining EDI operations, enhancing workflow efficiency, and providing deep insights into business performance, CData Arc has empowered HealthSource to achieve remarkable sales growth and operational improvements. As HealthSource continues to expand its business and serve its growing customer base, CData Arc will remain a trusted partner in their journey towards success.

Unlock the full potential of your business with CData Arc. Streamline operations, drive growth, and gain deep insights into your business with our intuitive and agile platform. Ready to get started? Try it free today!

Get started with CData today

CData Software is a leading provider of data access and connectivity solutions. Our standards-based connectors streamline data access and insulate customers from the complexities of integrating with on-premise or cloud databases, SaaS, APIs, NoSQL, and Big Data.

Data Connectors

• ODBC Drivers
• Java (JDBC)

ETL/ ELT Solutions

• SQL SSIS Tools

Cloud & API Connectivity

• Connect Cloud
• REST Connectors

OEM & Custom Drivers

• Embedded Connectivity
• Driver Development (SDK)

Data Visualization

• Excel Add-Ins
• Power BI Connectors
• Tableau Connectors
• CData Community
• News & Events
• Newsletter Signup

© 2024 CData Software, Inc. All rights reserved. Various trademarks held by their respective owners.