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- 7 - Earth Systems and Environmental Sciences
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- Bangor University / Prifysgol Bangor
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- 7 - Earth Systems and Environmental Sciences
- Summary impact type
- Environmental
- Is this case study continued from a case study submitted in 2014?
- No
1. Summary of the impact
As evidenced by the SARS-CoV-2 pandemic, pathogenic viruses represent a major global threat to human health and wellbeing. Over the last decade, Bangor research has developed a range of analytical tools, technologies and models for the effective surveillance of harmful viruses in the wider environment, leading to risk-based industry standards. Working in partnership with UK and devolved governments, our wastewater-based surveillance tools have been adopted, piloted and rolled out at the national scale: (a) for whole-community monitoring of COVID-19 incidence, (b) to provide an early warning system to protect critical national infrastructure from SARS-CoV-2 outbreaks, (c) as a decision support tool to show which city areas should be targeted for mass testing, and (d) to evaluate the success of COVID-19 mitigation measures.
2. Underpinning research
The COVID-19 pandemic will shape this generation. It has highlighted how viruses can severely disrupt society, community wellbeing and at the time of writing is responsible for the loss of 121,000 lives in the UK. Over the last decade, research at Bangor has developed a range of quantitative analytical and modelling tools to enable the tracking of human pathogenic viruses for public health surveillance and risk assessment purposes. This is exemplified by Bangor’s work on the identification of novel betacoronaviruses in animal reservoirs [3.1], the metaviromic characterisation of viral communities in the environment [3.2, 3.a], and quantitative determination of viruses in a range of environmental matrices, including human sewage, river water, sediments, estuaries, coastal waters and food [3.3, 3.4, 3.5, 3.a-3.l]. Meeting this research need has been strongly driven and financially supported by industry (e.g. water companies, food producers, shellfisheries), local authorities and government agencies (e.g. Food Standards Agency, Department for Environment, Food & Rural Affairs, Public Health Wales, Department of Health and Social Care) as well as by a wide range of large UKRI and EU grants [3.a-3.l].
The UK produces 10,000,000,000 litres of sewage each day. This wastewater represents one of the main routes by which harmful viruses can enter the environment. Bangor University work has revealed that many harmful viruses of national importance (e.g. Norovirus, Rotavirus, Hepatitis A/E) are present in very high abundance in both untreated and treated sewage (106-109 viral particles per litre), particularly during localized disease outbreaks [3.3, 3.5, 3.d, 3.e, 3.j]. Human contact with sewage therefore poses a major risk to public health. Bangor’s research provided early evidence that viral monitoring of wastewater may provide a cheap, unbiased and effective tool to monitor levels of infection in a whole community. This approach proved particularly suitable for viral diseases which frequently don’t result in hospitalization (i.e. not reported), but which Public Health England estimate cost the UK economy GBP200,000,000 per year in terms of loss of working days and health care (e.g. Norovirus) [3.3].
Bangor University’s research has also shown that, in contrast to faecal bacteria, many pathogenic viruses are not effectively removed by conventional sewage treatment, inevitably leading to their release and accumulation in important environmental reservoirs where human contact can occur (e.g. sediments, bathing waters, beaches, shellfish) [3.2, 3.5, 3.6, 3.a, 3.e]. Working directly with water companies, the research showed that Norovirus release in both untreated and treated sewage can lead to a rapid accumulation of Norovirus in shellfish, and that the virus can remain infectious even after light cooking [3.5, 3.a, 3.b, 3.c]. This led to work with EU agencies to alter legislation designed to protect bathing and shellfish waters, so that it also captured the risk posed by enteric viruses. Support for this came from an industry-funded critical review of the risk of Norovirus infection from the consumption of shellfish using epidemiological data [3.f]: our analysis revealed that 16% (11,800 cases/year) of food-borne Norovirus outbreaks were attributed to the consumption of oysters between 1992 and 2014. Critical to the introduction of viral standards, however, are the validation of methods that enable accurate quantification of infectious viral particles in environmental matrices. A range of methods to distinguish between infective and non-infective (damaged) Norovirus particles were therefore developed [3.3] and in collaboration with the EU, water companies and industry bodies (e.g. Shellfish Association of Great Britain, Seafish, Food Standards Agency) to ensure that proposed changes to the legislation were robust [3.e, 3.f].
Most recently, partnering with the Food Standards Agency (FSA), a hydrodynamically-driven risk modelling tool was developed which takes key information (including sewage discharge, river flow, weather and tidal patterns) to predict, in real-time, the likelihood of viral contamination in the coastal zone [3.g]. This active management tool is now under testing by the FSA as a mechanism to reduce the risk of shellfish contamination, reduce food-borne outbreaks and subsequent community transmission, and protect the livelihoods of UK shellfisheries valued at GBP20,000,000 per annum.
At the start of the COVID-19 pandemic Bangor researchers, led by Professor D. Jones, identified that faecal shedding of SARS-CoV-2 into wastewater could be used to provide an unbiased estimate of the prevalence of COVID-19 within an entire community [3.6]. Building on the novel methodologies developed for quantifying and sequencing (by metaviromics) human pathogenic viruses in water and shellfish [3.2, 3.3], viral surveillance approaches to track SARS-CoV-2 in major UK cities (e.g. Manchester, Liverpool, Cardiff) was rapidly adapted and deployed. In the first COVID-19 wave Bangor research showed that viral levels in sewage accurately reflected cases in the wider community, validating the approach. In addition, the Bangor team developed novel human faecal markers (e.g. CrAssphage) to allow for normalisation for external factors such as wastewater flow and dilution [3.4]. Further, through quantitative risk assessment and infectivity screening together with Welsh Water and United Utilities we showed that the risk of contracting SARS-CoV-2 through environmental routes involving wastewater and biosolids contamination was extremely low [3.l]. The Bangor team also worked with the NERC Biomolecular Analysis Facility to develop new sequencing methods for SARS-CoV-2 in wastewater allowing the Department of Health and Social Care (DHSC) to identify and quantify the abundance of SARS-CoV-2 variants circulating in the population. After the first COVID-19 wave Bangor developed enhanced high-throughput methods for viral extraction from wastewater allowing rapid scaling up of the technology. This led to the establishment of the national wastewater-based surveillance programme run by the DHSC. Our COVID-19 work was supported by 3 UKRI grants and 3 grants from government agencies (DHSC, Defra and Welsh Government) totalling GPB2,800,000 [3.i, 3.j]. Bangor’s research provided key evidence to SAGE and Welsh Government’s Technical Advisory Group of COVID-19.
3. References to the research
3.1 Razanajatovo, N. H., Jones, J. P. G. et al. (2015) Detection of new genetic variants of Betacoronaviruses in endemic frugivorous Bats of Madagascar. Virology Journal, 12*, 42. DOI (Peer-reviewed journal article).
3.2 Adriaenssens, E. M., Farkas, K., Jones, D. L., McDonald, J. E. et al. (2018) Viromic analysis of wastewater input to a river catchment reveals a diverse assemblage of RNA viruses. mSystems, 3(3), e00025-18. DOI (Peer-reviewed journal article).
3.3 Malham S.K., Farkas, K., McDonald, J. E., Jones, D. L. et al. (2018) Seasonal and spatial dynamics of enteric viruses in wastewater and in riverine and estuarine receiving waters. Science of the Total Environment, 634, 1174-1183. DOI (Peer-reviewed journal article).
3.4 Farkas, K., McDonald, J. E., Malham, S. K., and Jones, D. L. et al. (2020) Viral indicators for tracking domestic wastewater contamination in the aquatic environment. Water Research, 181, 115926. DOI (Peer-reviewed journal article).
3.5 Malham, S.K., McDonald, J.E., and Jones, D.L. et al. (2016) The Use of Mytilus edulis bio-sentinels to investigate spatial patterns of Norovirus and faecal indicator organisms contamination around coastal sewage discharges. Water Research, 105, 241-250. DOI (Peer-reviewed journal article).
3.6 Jones, D.L., Baluja, M.Q., Graham, D.W. et al. (2020) Shedding of SARS-CoV-2 in feces and urine and its potential role in person-to-person transmission and the environment-based spread of COVID-19. Science of the Total Environment, 749, 141364. DOI (Peer-reviewed journal article).
3.a Jones, D.L. (2014-2019) VIRAQUA: New approaches for the quantitative detection of human pathogenic viruses within the freshwater-marine continuum. NERC EMHH Programme: NE/M010996/1. GBP1,182,476 Bangor lead partner (GBP524,664).
3.b Jago, C. (2012-2015) The multi-scale response of water quality, biodiversity and C sequestration to coupled macronutrient cycling from source to sea. NERC Macronutrients Programme: NE/J011908/1. GBP830,320.
3.c Jones, D.L. (2020) National COVID-19 Wastewater Epidemiology Surveillance Programme. UKRI COVID-19 Response Programme: NE/V010441/1, GBP90,952.
3.d Malham, S.K. (2017) Review of current evidence to inform selection of environmental predictors for Active Management Systems in classified shellfish harvesting areas. Food Standards Agency: FSA Project FS103001. GBP27,965.
3.e Malham, S.K. (2012-2014) Bacterial and viral dynamics in wastewater, estuarine and coastal water. Welsh Water: C000728 DCWW0702011. GBP228,332.
3.f Malham, S.K. (2012-2016) Shellpath: Human pathogens (bacteria and viruses) in shellfish. European Fisheries Fund, Bangor Mussel Producers, Welsh Water: 910007. GBP552,577.
3.g Malham, S.K. (2018-2021) DASSHH. Developing an Assurance Scheme for Shellfish and Human Health. Seafish, Food Standards Agency, EA: C003750, C004051. GBP429,546.
3.h Jones, D.L. (2020) Use of wastewater analysis to evaluate the incidence of coronavirus (SARS-CoV-2) in the UK population. NERC Urgency programme: NE/V004883/1. GBP197,108.
3.i Jones, D.L. (2020) Wastewater-based community-level surveillance of COVID-19 in Wales: Phase I. Welsh Government: C064/2020/2021. GBP743,265.
3.j Jones, D.L. (2020) UK-wide wastewater-based epidemiology as an early warning system. Department for Environment, Food and Rural Affairs: C29950. GBP1,407,483.
3.k Malham, S.K. (2020) Co-surveillance of wastewater and environmental water samples for SARS-CoV-2 and pathogenic viruses in South Africa and Nigeria: Incidence and risks. GCRF-UKRI COVID-19 Response Programme: EP/V044613/1, GBP324,336.
3.l Farkas, K. (2020) Environmental stability of SARS-CoV-2: Establishing health risks. Welsh Government – Ser Cymru fund: Project 92. GBP87,236.
4. Details of the impact
Bangor’s research into microbial pathogen transport in catchments and estuaries has stimulated initiation, and informed direction of, regulatory development work undertaken by regulators (Food Standards Agency [FSA], Environment Agency [EA]) and industry (Seafish, Shellfish Association of Great Britain [SAGB]), on potential for risk-based assurance schemes for shellfish, linking environmental risk predictors (e.g. rainfall) to temporal controls of shellfish harvesting.
Accumulation of human enteric pathogens in filter-feeding shellfish is a potential human health risk that is regulated through monitoring of E. coli as an indicator of faecal contamination. This is a significant regulatory burden for industry, with periods of poor water quality leading to restrictions on harvesting or closure of production areas. In 2016, Professor Le Vay chaired a large stakeholder meeting (industry, FSA, EA, Public Health England, Centre for Environment, Fisheries and Aquaculture Science) investigating industry concerns about the regulatory system, following an unprecedented and unexplained high E. coli event and closure of shellfish production across SW England. Bangor’s fundamental research into the processes governing the transport and fate of viruses and bacteria in coastal waters and shellfish receptors [3.d-3.f] was then used by the FSA to devise a policy roadmap and new active management systems for minimising shellfish contamination and public health risk. The Director of Operations at Seafish reported “without doubt the underpinning research and support provided by Bangor University has been... instrumental in driving change and improvements across the shellfish regulatory and production landscape” [5.1].
Professor Le Vay provided science advice to the UK Shellfish Stakeholders Working Group (SSWG), a UK-wide body formed to address industry concerns about impacts of frequent closures and public-health downgrades of shellfish production areas. This led to Bangor being commissioned to undertake a full-scale proof of concept of adaptive management of shellfish waters (Developing an Assurance Scheme for Shellfish and Human Health – DASSHH [3.g]) and advising Seafish (Le Vay, Seafish Expert Panel) and FSA, in review of potential for changes to regulation of shellfish waters. Based on this work, the development of a risk-based approach to the classification of shellfish production waters via DASSHH was identified as a critical action in the English Aquaculture Strategy 2020 (Le Vay is member of Seafood 2040, Aquaculture Leaders Group) [5.1, 5.2].
Half of EU aquaculture production comes from live bivalve shellfish, with a value of over €1200,000,000 (01-2016), supporting over 8000 companies and over 60,000 jobs. Bangor research focused on detecting and quantifying pathogenic viruses in various environmental and animal matrices including wastewater and shellfish. It also highlighted the inability of the approved Norovirus testing method to discriminate between active and inactive virus leading to inaccurate quantification of Norovirus in environmental samples. This work informed effective industry rebuttal of amendments to Regulation (EC) 854/2004 to include statutory limits for Norovirus in shellfish harvested for human consumption (tabled in 2015). This helped secure thousands of jobs and live shellfish to continue to be sold safely to the market by avoiding a projected 50% reduction in sales during winter months over 5 years [5.3].
Bangor’s research directly led to the creation and implementation of the national wastewater surveillance programme for tracing COVID-19 in the UK [5.4, 5.5, 5.6]. This programme is run by UK Government via the Joint Biosecurity Centre, Department of Health and Social Care and Department for Environment, Food and Rural Affairs. UK Government has invested over GBP40,000,000 into the programme. It directly supports decision making (e.g. success of non-pharmaceutical interventions; NPIs) and the targeting of resources in the Test and Trace programme (e.g. where to deploy surge testing). Bangor provided the proof-of-concept and validated viral analysis methods which were subsequently adopted by the national programme [5.4]. Defra’s Project Manager reported that ‘ Bangor University’s work has significantly impacted our work as part of the national response to COVID-19’, adding that the ‘ Pioneering research of Bangor University early in the pandemic formed the basis of the establishment of the English national COVID-19 Wastewater Monitoring Programme’ and that the Programme’s success has depended on the ‘early engagement with the [Defra] Programme team to understand and embed policy response needs into Bangor’s research service at the outset, coupled with clear communication of progress and codesign of solutions to complex or sensitive issues surrounding handling of the pandemic response’ [5.4] .
In the period Aug-Dec 2020, the national programme has provided near real-time information on levels of SARS-CoV-2 circulating in all the major towns and cities in the UK (4 samples/week at 44 core sites) [5.4]. This is used to evaluate the success of NPIs and also to track the spread of newly emerged variants of concern in the UK (e.g. Lineage B.1.1.7., Kent variant). Viral analysis was undertaken jointly by the Environment Agency and Bangor University laboratories. The Director General for the Joint Biosecurity Centre, UK reported that Bangor’s Wastewater programme enabled them “to respond to sometimes rapidly emerging situations as part of our national Test & Trace Efforts” confirming that the Bangor team made “a very critical difference at this time of national crisis” [5.6].
In addition, wastewater testing in the suburbs of 20 UK cities (in-sewer monitoring) has been used to directly inform decision making on a local scale. Together with United Utilities and the Department of Health and Social Care, Bangor undertook the pilot programme in Liverpool where data was collected from 8 suburbs and the information used to geographically target surge testing and introduce non-pharmaceutical interventions. Following the pilot, it was subsequently rolled out to all major UK cities [5.4].
Bangor is the central analysis laboratory for the Department of Health and Social Care’s critical infrastructure COVID-19 prevention programme which aims to protect national supply chains. This programme collects wastewater from 25 key industrial facilities (e.g. meat processing plants, distribution depots) daily and reports within 24 hours on levels of COVID-19 incidence within the workforce. This has successfully identified COVID-19 outbreaks within the workforce, followed by surge testing to identify infected individuals and the introduction of effective control measures.
In addition to SARS-CoV-2 the Welsh Government and Public Health Wales have used the Bangor laboratories to monitor other infectious diseases of public health concern (e.g. influenza A/B, Respiratory syncytial virus, Enterovirus D68) to inform planning [5.5]. Professor D. Jones chairs the Welsh Government COVID technical advice group and sits on the UK Parliament SAGE sub-committee, Transmission in the Wider Environment which has produced many guidance documents to UK and Welsh Government on COVID-19 related environment issues and its mitigation, including those associated with wastewater. The Chief Scientific Advisor for Health in Wales reported that Bangor’s research “has had a major impact on Welsh Government’s response to Covid-19”, and added that “the epidemiological analysis enabled by this work has provided vital insights to Welsh Government…..Ministers to inform the response to Covid-19” [5.5].
5. Sources to corroborate the impact
5.1 Testimonial from the Director of Operations at Seafish (participant in the impact process) confirming the central role of Le Vay, Malham and Bangor’s research in determining new regulatory approaches to active management and shellfish hygiene.
5.2 The English Aquaculture Strategy, SEAFOOD 2040 which identifies the development of a risk-based approach to the classification of shellfish production waters as a critical action that is already underway as a result of the Bangor-led DASSHH project.
5.3 Testimonial from the CEO of the Shellfish Association of Great Britain (participant in the impact process) highlighting Bangor’s work in respect to microbial pollution associated with shellfish, including Bangor's central role in the arguments placed before the European Commission (DG Sanco).
5.4 Testimonial from the Project Manager (Joint Head of Science and Research, Environmental Monitoring for Health Protection, Defra) (participant in the impact process) corroborating Bangor’s key role in providing the methods and rationale that led to the establishment of the English COVID-19 wastewater surveillance programme.
5.5 Testimonial from the Chief Scientific Advisor for Health in Wales / Welsh Government (participant in the impact process) corroborating Bangor’s fundamental role in initiating the Welsh COVID-19 wastewater surveillance programme and the provision of information which has guided national policy during the COVID-19 pandemic.
5.6 Testimonial from the Director General, Joint Biosecurity Centre (participant in the impact process) corroborating Bangor’s key role in the COVID-19 wastewater surveillance programme.
- Submitting institution
- Bangor University / Prifysgol Bangor
- Unit of assessment
- 7 - Earth Systems and Environmental Sciences
- Summary impact type
- Environmental
- Is this case study continued from a case study submitted in 2014?
- No
1. Summary of the impact
Bangor-led research has demonstrated the negative social impacts that conservation can have for some of the poorest people in the world. It has profoundly altered how governments, industry and donors implement conservation: one of the world’s largest nickel mines (Ambatovy, Madagascar) has changed how it approaches biodiversity offsets, the Ugandan government has incorporated recommendations into its national offset strategy, and the US government has used research findings in funding decisions for a mine in Myanmar. In Madagascar Bangor-led research has influenced how the government and donors implement safeguards to reduce negative impacts of protected areas on the poor.
2. Underpinning research
Tropical forest conservation has global benefits but can result in significant local costs. In many parts of the world, people living on the forest-edge are unusually poor, politically marginalised and heavily dependent on using natural resources for their livelihoods. They are therefore highly vulnerable to negative impacts from conservation restrictions that prevent forest clearance or limit wild harvesting. Since 2014, Bangor research led by Professor Julia Jones and Dr Neal Hockley [3.a, 3.b] has investigated the costs of different models of conservation as experienced by local communities, with a focus on Madagascar. The research has identified startling shortcomings in implementation leading to negative effects on local livelihoods:
The International Finance Corporation (IFC, the private sector arm of the World Bank) performance standards require that industrial developments such as mines, which impact natural habitats, achieve No Net Loss of biodiversity. This requires them to minimise impacts and offset unavoidable damages (e.g. by funding conservation to avoid biodiversity loss due to agricultural expansion by poor local communities). In this way industry is funding new conservation areas in poor countries. Stringent social safeguards apply to people affected by IFC-funded projects, but Bangor research revealed that this is not understood by many stakeholders involved in implementation of IFC performance standards [3.1]. Bangor-led intensive research on the offsets associated with one of the largest nickel mines in the world (Ambatovy, Madagascar) showed that the social safeguards were not being met [3.2]; in particular the poorest people were bearing a notable cost.
REDD+ is a mechanism stemming from the Intergovernmental Panel on Climate Change whereby tropical forest countries slow the rate of forest loss to contribute to global climate change mitigation. Many REDD+ projects are set up with funding from the World Bank, meaning that World Bank performance standards apply (project-affected persons should be compensated). Bangor has pioneered methods for evaluating the local costs of conservation in such contexts [3.3]. Bangor conducted the first complete analysis of the magnitude and distribution of local costs in a REDD+ project and associated protected area, compared to the compensation received. This revealed that stringent international standards were not being met and identified why this occurred [3.4, 3.5].
Because of her work on social impacts of conservation policies and interventions, Jones was invited into a significant international collaboration (funded by the Science for Nature and People Partnership) proposing No Net Loss of ecosystems as a global aspiration for environmental policy post-2020 (when the current global commitments will have expired). She was critical at bringing the equity and socio-economic considerations into the vision for Global No Net Loss [3.6].
3. References to the research
3.1 Bidaud, C., Schreckenberg, K., and Jones, J. P. G. (2018) The local costs of biodiversity offsets: comparing standards, policy and practice. Land Use Policy, 77, 43-50. DOI (Peer-reviewed journal article)
3.2 Bidaud, C., Schreckenberg, K., Rabeharison, M., Ranjatson, P., Gibbons, J. M. and Jones, J. P. G. (2017) The sweet and the bitter: Intertwined positive and negative social impacts of a biodiversity offset. Conservation & Society, 15(1), 1-13. DOI (Peer-reviewed journal article)
3.3 Rakotonarivo, O. S., Jacobsen, J. B., Larsen, H. O., Jones, J. P. G., Nielsen, M. S., Ramamonjisoa, B. S., Mandimbiniaina, R. R. and Hockley, N. (2017) Qualitative and quantitative evidence on the true local welfare costs of forest conservation in Madagascar: Are discrete choice experiments a valid ex ante tool? World Development, 94, 478-491. DOI (Peer-reviewed journal article)
3.4 Poudyal, M., Gibbons, J. M., Ramamonjisoa, B. S., Hockley, N., Rakotonarivo, O. S., Mandimbiniaina, R., Rasoamanana, A. and Jones, J. P. G. (2016) Can REDD+ social safeguards reach the ‘right’ people? Lessons from Madagascar. Global Environmental Change, 37, 31-42. DOI Submitted to REF2021 (REF identifier UoA7_17)
3.5 Poudyal, M., Jones, J. P. G., Rakotonarivo, O. S., Hockley, N., Gibbons, J. M., Mandimbiniaina, R., Rasoamanana, A., Andrianantenaina, N. S. and Ramamonjisoa, B. S. (2018) Who bears the cost of forest conservation? PeerJ, 6, e5106. DOI Submitted to REF2021 (REF identifier UoA7_124)
3.6 Maron, M., Simmonds, J. S., Watson, J. E. M., Sonter, L. J., Bennun, L., Griffiths, V. F., Quétier, F., von Hase, A., Edwards, S., Rainey, H., Bull, J. W., Savy, C. E., Victurine, R., Kiesecker, J., Puydarrieux, P., Stevens, T., Cozannet, N. and Jones J. P. G. (2020) Global No Net Loss of natural ecosystems. Nature Ecology and Evolution, 4(1), 46-49. DOI (Peer-reviewed journal article)
3.a Jones, J.P.G. (2013 - 2018) p4ges: Can paying 4 global ecosystem services reduce poverty. NERC: Ecosystem Services for Poverty Alleviation (ESPA) NE/K010220/1, GBP599,364 (Bangor University: R37R06)
3.b Jones, J.P.G. (2014 - 2016) ESPA: Ecosystem Services for Poverty Alleviation fellowship: FELL-2014-102, GBP164,506 (Bangor University: R37R16)
4. Details of the impact
Bangor’s research on the social impacts of biodiversity offsets has been influential in Madagascar and internationally:
1) One of the largest nickel mines in the world (Ambatovy, Madagascar) has changed its implementation of biodiversity offsets to try and achieve better outcomes for poor local communities “Work done by Bangor University and the University of Antananarivo … was very interesting. … Following the publication of this research (and informed by other information) we have made changes to how we address social impacts of our biodiversity conservation efforts.” (Senior Manager, Sustainability, Ambatovy, [5.1]).
2) Bangor-led research fed into the development of industry Good Practice Principles that have been widely used. In 2018 (via an ESRC Impact Acceleration Account award) Bangor led the development of industry good practice principles: “Ensuring No Net Loss for people as well as biodiversity” [5.2]. (A) In 2019 the Ugandan government launched its national offset strategy for 2020 to 2030 which requires biodiversity offsets to address potential impacts on people (citing the principles and Bangor research [5.3]). (B) In 2019 it was decided that a major mine and associated offset in Myanmar would not go ahead unless the social impacts of the offset could be addressed. “I relied on your recent publications (primarily the good practice principles document and the Con Bio article) to inform Finding 5 on social dimensions. Thank you for producing such useful materials.” (Senior Environmental and Social Analyst USAID [5.4]; see also the final report citing Bangor work [5.5]). (C) A major French Development Agency-funded project strengthening capacity for mitigation of biodiversity impacts from development with governments of 4 African countries (Guinea, Mozambique, Uganda, Madagascar) used the principles (including translating them into French) to ensure impacts on people are properly considered alongside biodiversity [5.6]. “The Principles [5.2], as well as the Bidaud publications [3.1, 3.2], were very useful in convincing several participants to an Environmental and Social due-diligence meeting of the importance of considering the social impacts of the offsets being discussed for a hydropower project in Madagascar; the documents were known to several of the biodiversity specialists around the table including representatives of the European Investment Bank and CDC Group plc” (Lead consultant Biotope [5.6]). Working in partnership with a biodiversity consultant funded by Professor Jones’s second ESRC Impact Acceleration Account project in 2019, extensive engagement with a wide range of industry stakeholders was possible. New guidelines produced by the International Union for the Conservation of Nature (IUCN) for project developers aiming to mitigate biodiversity impacts associated with solar and wind energy development [5.7] use the Bidaud publication [3.1] to highlight the potential for negative social impacts from biodiversity offsets. They refer to the good practice principles [5.2] as the place to go for further guidance on addressing social impacts saying, “This guidance provides a framework for defining measurable social outcomes and assessing whether the social considerations of biodiversity no net loss measures have been sufficiently accounted for ”.
3) The Biodiversity Consultancy (TBC, Cambridge), one of the best-known consultancy firms working on biodiversity offsets, have strengthened their focus on social impacts and are applying this with clients. “The idea for producing an Industry Briefing Note [Social considerations when designing and implementing biodiversity offsets: opportunities and risks for business [5.8]] stemmed from these initial discussions [about Bangor’s research in this area]. We went on to organise a very well attended session on Biodiversity Offsets and People at the International Association for Impact Assessment in Durban in May 2018. We believe that this session helped key people in the industry more explicitly consider the social impacts of biodiversity offsets (many companies still tend to consider environmental mitigation and social mitigation separately) … The work we are doing in this area represents a new strength for our business … and is central to ensuring the best possible outcomes for people and biodiversity.” Technical Director TBC [5.9].
Greater awareness of social impacts of protected areas has resulted in changes in policy and project design in Madagascar:
1) The Government of Madagascar is reforming its policies on the social impacts of protected areas, including new requirements for how impacts are evaluated, compensated and monitored. Madagascar’s Minister of Environment, and Sustainable Development is leading the reforms and said “Thanks to research carried out by Bangor University and ESSA-LRA [a Malagasy research institution]…, we are carrying out profound reforms of our social safeguard policy in protected areas to ensure that conservation does not impoverish local populations and that their human rights are preserved. [This will] directly benefit the hundreds of thousands of local communities who depend on the resources of our protected areas…. With this letter, I would like to express my gratitude for the effort that researchers contribute to enrich the country with practical knowledge that helps in better decision-making in the choice made by our policy makers *.*” [5.10].
2) Bangor-led research has influenced donors to better account for local costs. (A) “One direct result of Bangor University’s research and associated policy engagement is the £10.2 million [GBP10,200,000] DEFRA project: Achieving sustainable forest management through community managed protected areas in Madagascar. The recently launched tender for this refers explicitly to research by Bangor University, and requires those who bid to acknowledge local costs and demonstrate how their proposed activity will address them.” (British Ambassador to Madagascar [5.11]). (B) A USD74,900,000 (12-2019) endowment for biodiversity conservation in Madagascar (Fondation pour les Aires Protégées et la Biodiversité de Madagascar; FAPBM) has used Bangor-led research in the development of their new social safeguard system. The director of FAPBM said "FAPBM is developing a new Environmental and Social Management System, which will govern all our commitments to support Madagascar's protected areas. This system was informed by research carried out by ESSA-Forêts [a Malagasy research institution] and Bangor University on the socio-economic impacts of conservation and the state of play of the social safeguards currently in force in the Protected Areas of Madagascar.” [5.12]. (C) The World Bank recently conducted a major review of their environmental investments in Madagascar over the past decade. One of the reviewers (from the Independent Evaluation Group of the World Bank said “I would like to thank you for your important contributions to the report regarding the socio-economic impacts of biodiversity conservation. First, the interviews we had to discuss the environmental sector, biodiversity degradation, and the EP3 in Madagascar have been very useful in shaping the evaluation. Second, the scientific research published by you and your colleagues at Bangor University has been crucial to a better understanding of the complexity to design and implement social safeguard policies for restricted forest access. The World Bank’s approach in the EP3 has been flawed and has initiated a dialogue on why and how safeguards should be implemented for biodiversity projects. The findings of the evaluation – based on robust – evidence will shape this dialogue and provide critical evidence to inform the design of future World Bank projects….. I have used [your] data in the evaluation to get a better understanding of the complex farm realities of households that were eligible for compensation (or not). This is truly unique data that reviewers rarely have at their disposal” [5.13].
Work laying out a vision for delivering global No Net Loss of biodiversity while ensuring social equity, is influencing international policy:
Global No Net Loss of ecosystems was included as a target in the draft text of the post-2020 framework to be agreed in 2021 by the Convention on Biological Diversity; 3.6 was referenced in the formal scientific advice on ensuring social equity [5.14].
5. Sources to corroborate the impact
5.1 Testimonial from Senior Manager for Sustainability at Ambatovy (participant in the impact process) explaining Bangor research has resulted in changes to how Ambatovy (one of the largest nickel mines in the world) addresses the social impacts of their biodiversity conservation efforts.
5.2 Ensuring No Net Loss for people as well as biodiversity: Good Practice Principles (2018) industry guidelines co-developed by Bangor University (with Wild Business Ltd, Balfour Beatty and the University of Oxford’s Interdisciplinary Centre for Conservation Science) are underpinned by Bangor-research [3.1, 3.2], represent an important pathway to change and are cited in subsequent Sources [5.3, 5.4, 5.5].
5.3 National Biodiversity and Social Offset Strategy (2019) of the Ugandan Government directly quotes Bangor-research and Bangor co-developed industry-focused guidelines [5.2], ensuring good practice principles when development projects take place, on pages 5, 35 and 56.
5.4 Testimonial from a Senior Environmental & Social Analyst with USAID’s Multilateral Development Bank team (participant in the impact process) details how Bangor research (and the good practice principles [5.2]) informed ‘finding 5’ in a USAID review about whether a USD110,000,000 (05-2019) cement mine and associated offset in Myanmar can go ahead.
5.5 USAID Post-Approval Field Review Report, Myanmar mine report (2019) cites the good practice principles [5.2] and 3.1 directly on page 23 to support finding 5 and the associated recommendations.
5.6 Testimonial from lead consultant of Biotope (participant in the impact process) who was closely involved in COMBO (COnservation, impact Mitigation and Biodiversity Offsets in Africa), a major French Development Agency-funded project supporting offset policies and implementation in 4 African counties. This project translated the good practice principles into French for use in Francophone Africa (and printed and distributed 200 hard copies). The testimonial lays out a range of ways in which the Bangor research was influential in demonstrating that biodiversity offsets can have costs to poor people and how the project has used these results in their work.
5.7 Mitigating biodiversity impacts associated with solar and wind energy development: guidelines for project developers (2021). This guidance, (originally due for publication in 2020 but was delayed due to COVID-19) lays out the steps developers should go through to mitigate biodiversity impacts. They use Bangor-led research to highlight the potential negative social impacts. Bangor University and the consultant employed via the Bangor ESRC IAA grant are acknowledged p.19 https://portals.iucn.org/library/sites/library/files/documents/2021-004-En.pdf
5.8 The Biodiversity Consultancy Industry Briefing Note (2018) outlines ‘Social considerations when designing and implementing biodiversity offsets: opportunities and risks for business’ and cites Bangor research and work with the Ambatovy nickel mine in the eastern rainforests of Madagascar on improving outcomes for people and biodiversity as an exemplar
5.9 Testimonial from the Technical Director of The Biodiversity Consultancy (participant in the impact process) confirms how influential Bangor research has been on the way they address social impacts of offsets.
5.10 Testimonial from Minister of Environment & Sustainable Development Madagascar (participant in the impact process) confirming that their new policy on protected area management has been directly influenced by Bangor research. This testimonial is in French (English translation available on request).
5.11 Testimonial from British Ambassador to Madagascar (reporter on the impact process) confirming how Bangor research has influenced UK government funding to support conservation in Madagascar.
5.12 Testimonial from director of FAPBM (Fondation pour les Aires protégées et la biodiversité de Madagascar) (participant in the impact process) describing the USD74,900,000 (12-2019) endowment and how Bangor’s research has heavily influenced the development their new social safeguard policy which will apply to all protected areas, receiving funds from FAPBM in future. This testimonial is in French.
5.13 Testimonial from the Independent Evaluation Group of the World Bank (reporter in the impact process) who reports on how useful Bangor research, publicly archived data sets from our research, and interviews with our researchers have been in their recent evaluation of spending in Madagascar.
5.14 Convention on Biological Diversity (2020) Synthesizing the scientific evidence to inform the development of the post-2020 Global Framework for Biodiversity. This formal synthesis of the underlying science informing the post-2020 framework on the Convention of Biological Diversity cites Bangor work on Global No Net Loss of Ecosystems on page 9.
- Submitting institution
- Bangor University / Prifysgol Bangor
- Unit of assessment
- 7 - Earth Systems and Environmental Sciences
- Summary impact type
- Environmental
- Is this case study continued from a case study submitted in 2014?
- No
1. Summary of the impact
Mobile bottom-fishing provides 35% of global catches worth over GBP27,000,000,000, but it can cause serious ecological damage. Bangor research has provided quantitative evidence-based tools to assess the ecosystem effects of bottom-fishing at regional and global scales. The tools have been: a) the primary tool recommended for use by the Marine Stewardship Council (MSC) to ensure biodiverse and resilient seabeds for their certified fisheries; b) endorsed by the International Council for the Exploration of Seas (ICES) for use in the EU Marine Strategy Framework Directive to achieve key policy requirements; c) used by Welsh Government to underpin a consultation and decision on scallop dredging in a marine protected area.
2. Underpinning research
Bottom fishing provides 35% of global fish and invertebrate catches by volume worth GBP27,000,000,000 with a trawl footprint ranging from <10% of seabed area in Australian and New Zealand waters, the Aleutian Islands, East Bering Sea, South Chile, and Gulf of Alaska to >50% in some European seas. Despite its crucial role in food security, bottom-fishing is also the most widespread source of physical disturbance to the world’s seabed and thus the major human impact on shelf-sea ecosystems [3.1, 3.a, 3.b]. Mobile bottom fishing on seabed (benthic) habitats, which includes bottom trawling and scallop dredging, can cause serious ecological damage directly by removal and indirectly by collateral damage, thereby reducing the biodiversity, biomass and biota abundance of these ecosystems. Practitioners from the seafood industry and fisheries management agencies plus consumer choice certification schemes identified the need for a quantitative risk assessment method to underpin the evaluation of these ecosystem impacts [3.2].
Professor Jan Hiddink, Professor Michel Kaiser and their Bangor University research team (Dr Marija Sciberras, Dr Gwladys Lambert, Miss Kathryn Hughes and Dr Claire Szostek) developed a rigorous approach to assess bottom fishing impacts on seabed habitats in fisheries globally for use by fisheries managers, policy makers and conservationists, including in those fisheries where little data may be available. Bangor initiated and led this research in collaboration with a network of global experts including academics, governmental research institutes and the UN Food and Agriculture Organization. Bangor research showed that the Relative Benthic Status (RBS) of fished habitats can be predicted by three parameters within a simple ecological model: 1) impact rate (depletion per trawl/dredge pass as the fraction of biota killed or removed), 2) recovery rate and 3) the intensity of fishing [3.3, 3.a, 3.b]. Unlike qualitative or categorical risk assessments, including those based on subjective expert opinion, Bangor’s RBS method provides a quantitative estimate of seabed status relative to an unimpacted baseline [3.3, 3.a, 3.b]. Hiddink and his team developed widely applicable methods to estimate the first two parameters in their model using data from a global compilation of all available data from studies of bottom fishing impacts on seabed macroinvertebrates (114 studies, 25 of which were performed by Bangor) [3.4, 3.5, 3.a, 3.b, 3.c]. The research showed that Bangor’s first input parameter (impact rate) can easily be obtained by knowing the penetration depth of the fishing gear into the seabed [3.4], and that the second input parameter (biota recovery rate) can be predicted from the biota’s longevity [3.6, 3.a, 3.b, 3.c, 3.d]. The sensitivity of habitats to bottom fishing is, therefore, predicted to be higher in habitats harbouring higher proportions of long-lived organisms. Bangor mapped the intensity of bottom fishing on the world’s continental shelves, the third parameter, and provided a method to estimate trawling footprints for regions where high-resolution data are not available by using the correlation between the footprint and total trawling effort [3.1, 3.a, 3.b].
Bangor’s underpinning research provides the tools to estimate bottom fishing impacts worldwide [3.3], which is essential for fishing industry, conservation, management, and certification bodies to guide the choice of management measures needed to meet sustainability objectives. Significantly, because of these estimated globally applicable parameter values, Bangor’s model can be applied to data-poor fisheries, including places where detailed data on fishing effort distribution [3.1], characteristics of seabed habitats, or the abundance of seabed fauna are not available (e.g. much of the southern hemisphere).
Bangor’s globally applicable model does not preclude the need for detailed studies in areas with specific policy needs. For example, scallop dredging uses one of the most environmentally damaging mobile bottom gears but being a major fishery in Wales it contributes GBP74,000,000 per year in UK landings. Research by Bangor University has shown that damage varies widely with environmental conditions; it can be severe, but is fairly modest in the Cardigan Bay area, probably because of a high level of natural disturbance by waves [3.7, 3.e] resulting in benthic communities of more resilient, short-lived species [3.6, 3.a, 3.b, 3.c, 3.d].
Bangor’s research on the benthic impacts of mobile bottom trawls and scallop dredges supports assessment against sustainability criteria and evaluation of alternative management strategies (e.g. closed areas, gear modifications). It allows the setting of management targets that account for natural variation in resilience set by the environmental context, which can be used in decisions on where to allow fishing while minimising ecological impacts.
3. References to the research
3.1 Amoroso, R., Hiddink, J. G., Hughes, K. M. and Kaiser, M. J., et al. (2018) Bottom trawl-fishing footprints on the world’s continental shelves. Proceedings of the National Academy of Sciences, 115(43) E10275–E10282. DOI (Peer-reviewed journal article) Submitted to REF2021 (REF identifier UoA7_15)
3.2 Kaiser, M. J., Hiddink, J. G. and Hughes, K. M., et al. (2016) Prioritization of knowledge needs to achieve best practices for bottom trawling in relation to seabed habitats. Fish and Fisheries, 17(3), 637–663. DOI (Peer-reviewed journal article)
3.3 Pitcher, C. R., Hiddink, J. G., Kaiser, M. J. and Hughes, K. M., et al. (2017) Estimating the sustainability of towed fishing-gear impacts on seabed habitats: a simple quantitative risk assessment method applicable to data-limited fisheries. Methods in Ecology and Evolution, 8(4), 472-480. DOI (Peer-reviewed journal article)
3.4 Hiddink, J. G., Sciberras, M., Szostek, C. L., Hughes, K. M. and Kaiser, M. J., et al. (2017) Global analysis of depletion and recovery of seabed biota following bottom trawling disturbance. Proceedings of the National Academy of Sciences, 114 (31), 8301–8306. DOI (Peer-reviewed journal article) Submitted to REF2021 (REF identifier UoA7_53)
3.5 Sciberras, M., Hiddink, J. G., Szostek, C.L., Hughes, K. M. and Kaiser, M. J., et al. (2018) Response of benthic fauna to experimental bottom fishing: a global meta-analysis. Fish and Fisheries, 19(4), 698-715. DOI (Peer-reviewed journal article)
3.6 Hiddink, J.G., Sciberras, M. and Kaiser, M.J., et al. (2019) Assessing bottom-trawling impacts based on the longevity of benthic invertebrates. Journal of Applied Ecology, 56(5), 1075-1084. DOI (Peer-reviewed journal article)
3.7 Lambert, G., Hiddink, J. G. and Kaiser, M. J., et al. (2017) Defining thresholds of sustainable impact on benthic communities in relation to fishing disturbance. Scientific Reports, 7, 5440. DOI (Peer-reviewed journal article) Submitted to REF2021 (REF identifier UoA7_24)
3.a Kaiser, M. (2013 - 2015) Trawling Best Practices. University of Washington, GBP137,269 (Bangor University: R28P02, R28P03, R28P05, R28P06)
3.b Hiddink, J. G. (2012 - 2017) BENTHIS: Benthic ecosystem fisheries impact study. EU FP7 grant: BENTHIS EU-FP7 312088, GBP264,351 (Bangor University: R28E02)
3.c Hiddink, J. G. (2014 - 2019) Integrating Macroecology and Modelling to Elucidate Regulation of Services from Ecosystems (IMMERSE). NERC directed programme: NE/L003201/1, GBP710,744 (Bangor University: R28R18)
3.d Hiddink, J. G. (2013 - 2018) Biogeochemistry, macronutrient and carbon cycling in the benthic layer. NERC directed programme: NE/K001639/1, GBP114,347 (Bangor University: R28R15)
3.e Kaiser, M. (2012 - 2014) Sustainable use of fisheries resources in Welsh waters. European Fishery Fund, GBP1,499,965 (Bangor University: R28W02)
3.f Hiddink, J. G. (2017 - 2020) Marine Stewardship Council habitat risk assessment. Marine Stewardship Council (MSC) Open Competitive Process: C002988, GBP153,000 (Bangor University: R28C09)
4. Details of the impact
Bangor University research has directly influenced the sustainable management of the global GBP27,000,000,000 bottom fishing industry, by: a) informing the evidence-based policy requirements of Welsh Government (WG) and the EU (policy impact), while b) enabling a sustainable fishing industry by informing evidence-based management plans (WG, EU) and Marine Stewardship Council (MSC) certification for consumers (economic impact), and c) ensuring a biodiverse and resilient seabed (WG, EU and MSC, environmental impact), by providing science end-users with quantitative evidence-based tools to assess the ecosystem effects of bottom fishing.
The Marine Stewardship Council (MSC) is the largest independent non-profit organization that sets international standards for sustainable fishing, certifying 17% of global catches. Bangor science critically guided the scoring of the impact of bottom fishing on habitats (Principle 2.4.1) in 19 MSC accreditations, totalling 1,871,000t of landings per year, representing 9.8% of global bottom fishing landings volume [5.1]. The way the science was translated into scores, however, did allow a great deal of subjective interpretation. Hence, MSC identified in its Standard Review that an evidence-based standardised tool was required to determine the impact of bottom fishing on habitats, because objective assessments were hampered by the paucity of quantitative understanding of impact and recovery. The MSC standard has been under intense scrutiny, from UK Parliament and NGOs like Greenpeace, who believe that bottom fishing is an inherently destructive fishing method and cannot be considered sustainable. To avoid undermining the credibility of their certifications, MSC commissioned Bangor to develop a tool that translates the research-evidence base presented in Section 2 for use by fisheries-certification bodies worldwide to assess habitat impacts of bottom fishing of individual fisheries [3.f]. An interactive web-based tool that translates Bangor’s methods to estimate bottom fishing impacts into a suggested score for the ‘Habitats outcome’ was delivered to the MSC in October 2019. This tool has already revolutionised the way the MSC assesses PrincipIe 2.4.1. The Senior Fisheries Standards Manager at MSC stated that “the impact of Bangor’s research translating into this tool is significant … to ensure a highly evidence-based and credible tool for labelling in relation to certifying sustainable fisheries and permitting the consumer to make sustainable choices” [5.2]. MSC certifies about 17% of global fisheries, with approximately 35% of global fisheries catches by weight coming from bottom trawls [5.3]. Therefore, the tool is available to approximately 5.95% of global fisheries to assess their seabed impacts (estimated value of approximately GBP4,700,000,000 per year). Bangor’s research has directly benefited the MSC by increasing the credibility of the standard with the public, and therefore avoids a loss of market share for the ecolabel and its certified high-standard fisheries - as well as guiding consumers to make informed choices benefitting the environment, fishers and suppliers.
Achieving ‘Seafloor Integrity’ in the EU Marine Strategy Framework Directive (Descriptor 6, MSFD) requires methods to assess the effect of bottom fishing activity on seafloor ecosystems at a European scale, but quantitative evidence-based methods were not available when the MSFD was put into EU law. The Directorate-General for Environment (EU-DGENV) requested the International Council for the Exploration of the Sea (ICES) provide advice on how to quantitatively assess bottom-fishing impacts. ICES offers advice based on the best available science that is characterised by quality assurance, developed in a transparent, unbiased, and independent process, and relies on high quality science to underpin their advice. ICES advised the EU to use the bottom fishing assessment method developed by Bangor in 2016, 2017 and 2019 (“population dynamic approach” in the advice documents) [5.4, 5.5, 5.6]. Bangor’s science therefore benefitted ICES by underpinning their provision of evidence-based approaches to assessing 'Seafloor Integrity' [5.7].
As well as impacts at global scales, the science has underpinned changes in policy at the Welsh national level. King scallops are the third most valuable wild-caught seafood in Wales, at GBP1,400,000 for 800t, with Cardigan Bay providing most (66%) of the landings. Welsh Government has been under pressure, from both conservationists and fishers, over the correct trade-off between environmental benefits and economic costs of areas closed to scallop dredging in Cardigan Bay. In response to this pressure, WG consulted on opening an area previously closed to scallop dredging. WG arguments for opening the area were underpinned solely by evidence generated by Bangor research putting disturbance from scallop dredging into the context of natural disturbance levels due to waves and tides [5.8]. The consultation generated significant media attention and over 5500 responses were received. In October 2016, the Cabinet Secretary for Environment and Rural Affairs concluded that it was appropriate to proceed with the preparation of new legislation to introduce a flexible permit scheme within Cardigan Bay, explicitly citing Bangor’s research as underpinning this decision [5.9]. Bangor’s research therefore benefitted WG by allowing it to make evidence-based decisions that will increase the value of Welsh fisheries whilst not compromising the environment.
5. Sources to corroborate the impact
5.1 Marine Stewardship Council (MSC) accreditation reports that cite Bangor trawling impact research papers to underpin the scoring of the effects of bottom fishing on the 'Habitats outcome PI 2.4.1' (inurl:msc.org “Hiddink”), link is to Google search (inurl:msc.org “Hiddink”).
5.2 Testimonial from Fisheries Assessment Manager, Marine Stewardship Council (both a participant and reporter in the impact process) highlighting the importance of the trawl impact tool for MSC assessments.
5.3 Watson, R. A. and Tidd, A. (2018) Mapping nearly a century and a half of global marine fishing: 1895-2015. Marine Policy, 93, 171-177. The research reports MSC certified 17% of fisheries, 35% from bottom trawls, leading to assertion that 5.95% of global catches are MSC certified. The research reports global catches are approximately 80,000,000t, MSC certified bottom trawl catches = 4,760,000t. If average price for fish is 1GBP/kg it equates to GBP4,700,000,000. https://www.sciencedirect.com/science/article/abs/pii/S0308597X18300605?via%3Dihub
5.4 Advice to EU DGENV (Directorate-General for Environment) (2016) on approaches for the assessment of D6 in EU Marine Strategy Framework Directive (MSFD) using the Population Dynamic approach (developed and parameterised by Bangor) with FP7-project BENTHIS [3.b] cited on p3 in: ICES (2016) EU request for guidance on how pressure maps of fishing intensity contribute to an assessment of the state of seabed habitats. ICES Special Request Advice 2016 Book 1, ICES, Copenhagen, 5pp.
5.5 Advice to EU DGENV (2017) recommending basing D6 assessment in MSFD on the Population Dynamic approach (PD2 method, developed and parameterised by Bangor citing [3.3, 3.4, 3.6] in: ICES (2017) EU request on indicators of the pressure and impact of bottom-contacting fishing gear on the seabed, and of trade-offs in the catch and the value of landings. ICES Special Request Advice 2017, 13, ICES, Copenhagen, 27pp.
5.6 Advice to EU DGENV (2019) recommending the Population Dynamic approach (now called “Population Dynamic Model” developed and parameterised by Bangor citing [3.3, 3.5, 3.6]) in seafloor assessment processes, in: ICES (2019) EU request to advise on a seafloor assessment process for physical loss (D6C1, D6C4) and physical disturbance (D6C2) on benthic habitats. ICES Advice 2019, sr.2019.25. https://doi.org/10.17895/ices.advice.5742
5.7 Testimonial from the Chair of Science of ICES from 2017 to 2020 and member of the MSC Technical Advisory Board (both a participant and reporter in the impact process) highlighting the importance of the trawl impact tool for MSC assessments, and the importance of Bangor trawl impact research for ICES advice to the EU.
5.8 Welsh Government Minister for Natural Resources consultation (2015 to 2016) entitled 'Proposed new management measures for the scallop fishery in Cardigan Bay'. Welsh Government arguments for opening the area were underpinned solely by evidence generated by Bangor research (as stated under heading ‘Consultation description’).
5.9 Welsh Government: New Management Measures for scallop fishing in Cardigan Bay (2016) press release from Cabinet Secretary for the Environment and Rural Affairs, detailing Bangor collaborative research offering opportunity to implement an ecosystem-based approach to management of the fishery within the Cardigan Bay Special Area of Conservation.
https://gov.wales/new-management-measures-scallop-fishing-cardigan-bay
- Submitting institution
- Bangor University / Prifysgol Bangor
- Unit of assessment
- 7 - Earth Systems and Environmental Sciences
- Summary impact type
- Environmental
- Is this case study continued from a case study submitted in 2014?
- No
1. Summary of the impact
Bangor University’s greenhouse gas (GHG) research has impacted policy and industry through generation of new country-specific nitrous oxide (N2O) emission factors. Policy: Bangor’s evidence has significantly lowered calculated N2O contributions in the UK’s Agriculture GHG Inventory (since submission year 2016), and informed changes to GHG guidelines at the international level (via inclusion in the 2019 Refinement to the 2006 IPCC Guidelines for National Greenhouse Gas Inventories). Industry: Bangor research highlighted that enteric methane represents a greater proportion of the UK’s total Agriculture GHG Inventory than previously thought and worked with red meat / dairy sectors in Wales to enable co-identification of practical GHG emission mitigation practices.
2. Underpinning research
Professor Dave Chadwick co-ordinated the Defra and Devolved Administrations-funded consortium research project [3.a] (GBP6,689,724) to more accurately quantify the nitrous oxide (N2O) component of the UK agriculture greenhouse gas (GHG) inventory. Collaborators included Aberdeen University, Agricultural Development and Advisory Service (ADAS), Rothamsted Research, Scotland's Rural College (SRUC), Centre for Ecology and Hydrology (CEH) and the University of East Anglia. This InveN2Ory project (Defra code AC0116) took place during 2010 to 2016 (led from Bangor since 2012). It produced data to underpin the generation of new country-specific N2O emission factors (EFs) for nitrogen fertilisers, manures, urine and faeces deposited by grazing livestock, for use in the revised inventory. Aberystwyth University co-ordinated a sister project to improve the ruminant methane (CH4) emission factors, whilst ADAS (UK’s largest independent agricultural and environmental consultancy) led a project to synthesise the data and generate the new agriculture inventory model. Together, these three projects made up the UK GHGPlatform.
The InveN2Ory research project comprised 37 field experiments throughout the UK, using replicated plots to determine N2O EFs from nitrogen fertiliser (including different fertiliser types, specifically urea and ammonium nitrate), different manure types, plus dung and urine deposited by grazing livestock, that better reflect the soils, climates and nitrogen management of the UK. The effects of season of application/deposition and methods of manure application on N2O EFs were assessed. Chadwick et al. also tested several N2O mitigation methods, e.g. use of the nitrification inhibitor, dicyandiamide (DCD), and splitting fertiliser doses into more frequent smaller amounts (to improve N use by the crop) [3.1]. In partnership with the five research groups involved in the field measurements, Chadwick developed a common sampling protocol for the chamber methods for measuring N2O fluxes [3.2], thereby contributing to the Nitrous Oxide Chamber Methodology Guidelines, which are the internationally agreed reference guidelines for measuring N2O emissions using chamber methodologies. Chadwick recently contributed to a revision of this guideline document, specifically the Chapter on ‘ Sources of variability of N2O fluxes’, subsequently published in a series of research papers in Journal of Environmental Quality in 2020 [3.3].These guidelines are key to producing improved quality of N2O flux measurement data worldwide and better inter-comparability amongst international studies that are vital to improved understanding of the key factors controlling N2O EFs from different nitrogen sources.
Many of the individual site experiments have been published, but importantly several papers have synthesised the N2O EFs from the different N sources [3.1, 3.4, 3.5]. The revised N2O EFs from the project were combined with several additional datasets, and the new N2O EFs for fertiliser to arable soil (EF1), urine to grassland (EF3PRP), manure to arable and grassland (EF1), and ‘Pasture, Range and Paddock’ (EF3PRP) for excreta deposited by grazing livestock, were all significantly less than the IPCC default values for N applications (EF1).
Bangor researchers (Dr Prysor Williams, Dr David Styles and Chadwick) have coordinated collaborative research activities and knowledge exchange with the livestock industry in Wales. The research co-identified suitable Carbon-Footprinting tools for benchmarking individual farms, and ranking the practicalities and costs of bundles of mitigation options to reduce net GHG emissions. These are critical to enable Welsh Government and the livestock sector to better track and reach GHG emission reduction targets (via the Welsh Government-funded Climate Smart Agriculture Wales project, led by Aberystwyth University in partnership with Bangor) [3.b, 3.6]. Styles is an expert in Carbon Footprinting and Life Cycle Assessment for land use.
3. References to the research
3.1 Bell, M. J., Winning, N., Rees, R. M., Cloy, J. M., Topp, K., Cardenas, L., Donovan, N., Scott, T., Webster, C., Whitmore, A., Williams, J., Balshaw, H., Paine, F., and Chadwick, D. (2015) Nitrous oxide emissions from fertilised UK arable soils: Fluxes, emission factors and mitigation. Agriculture, Ecosystems & Environment 212, 134–147. DOI (Peer-reviewed journal article)
3.2 Chadwick, D. R., Cardenas, L., Misselbrook, T. H., Smith, K. A., Rees, R. M., Watson, C. J., McGeough, K. L., Williams, J. R., Cloy, J. M., Thorman, R. E., and Dhanoa, M. S. (2014) Optimizing chamber methods for measuring nitrous oxide emissions from plot-based agricultural experiments. European Journal of Soil Science 65, 295–307. DOI (Peer-reviewed journal article)
3.3 Charteris, A. F., Chadwick, D. R., Thorman, R. E., Vallejo, A., de Klein, C. A., Rochette, P. and Cárdenas, L. M. (2020) Global Research Alliance N2O chamber methodology guidelines: Recommendations for deployment and accounting for sources of variability. Journal of Environmental Quality, 49(5), 1092–1109. DOI (Peer-reviewed journal article)
3.4 Cardenas, L. M., Bhogal, A., Chadwick, D. R., McGeough, K., Misselbrook, T., Rees, R. M., Thorman, R. E., Watson, C. J., Williams, J. R., Smith, K. A., and Calvet, S. (2019) Nitrogen use efficiency and nitrous oxide emissions from five UK fertilised grasslands. Science of the Total Environment, 661, 696–710. DOI (Peer-reviewed journal article)
3.5 Chadwick, D. R., Cardenas, L. M., Dhanoa, M. S., Donovan, N., Misselbrook, T., Williams, J. R, Thorman, R. E., McGeough, K. L., Watson, C. J., Bell, M., Anthony, S. G., and Rees, R. M. (2018) The contribution of cattle urine and dung to nitrous oxide emissions: quantification of country specific emission factors and implications for national inventories. Science of the Total Environment, 635*, 607–617. DOI (Peer-reviewed journal article) Submitted to REF2021 (REF identifier UoA7_102)
3.6 Kipling, R. P, Taft, H. E., Chadwick, D. R., Styles, D., and Moorby, J. (2019) Implementation solutions for greenhouse gas mitigation measures in livestock agriculture: A framework for coherent strategy. Environmental Science and Policy 101, 232–244. DOI (Peer-reviewed journal article)
3.a Chadwick, D. R. (2010–2016) InveN2Ory project. Defra and Devolved Administrations (DAs) AC0116, GBP6,689,724 (Bangor University: R37C02)
3.b Newbold, J., Chadwick, D. R., and Styles, D. (2017–2019) Climate Smart Agriculture Wales. Welsh Government c80970, GBP68,543 (Bangor University: R37G26)
4. Details of the impact
Bangor’s greenhouse gas (GHG) research has generated substantial impact on UK / international GHG policy and UK industry. The underpinning evidence provided by Bangor-led research has been synthesised with additional datasets to generate UK country-specific N2O emission factors (EFs) for different fertilisers, manures, and urine and dung deposited by grazing livestock (cattle and sheep), resulting in many of these new EFs being much lower than the Intergovernmental Panel on Climate Change (IPCC) default N2O EFs that the UK had previously been using [5.1]. This research led to key changes in the EF calculation informing the UK GHG inventory and IPCC policy guidelines.
The impact of these new Bangor-generated EFs on the reported UK agriculture greenhouse gas inventory emission for the 2016 submission (activity data year 2013) under the Framework Convention on Climate Change [5.2], was a reduction by approximately 11.6% (i.e. from 49.2MtCO2e to 43.5MtCO2e). Since then, these new EFs have been used to generate a more sophisticated N2O emissions estimate that accounts for the influence of factors such as rainfall. This has resulted in a greater reduction in the inventory estimate, by approximately 18.5% (9.1MtCO2e) compared with default EF methodology. The largest contribution to this reduction has been the reduction in N2O emission estimates from soils, by approximately 30% (for 2013) [5.2]. Since the calculated methane (CH4) emissions from enteric and manure management sources have only been decreased by approximately 4.5%, Bangor-led research has further highlighted the high relative contribution of GHG emissions from ruminant CH4 [5.2] with implications for policy and industry to prioritise strategies to reduce this challenging source of emissions. Another significant impact of the research is that a lower total agriculture GHG emission means that a greater proportion of emissions can be offset by increases in carbon sequestration, improving the UK’s ability to reach the 2050 target of net zero carbon.
Through Bangor’s research, the introduction of the UK country-specific EF (for grazing livestock) has had the most impactful effect, with the InveN2Ory project data resulting in a 75% reduction in the IPCC default N2O EF for cattle, from 2% of applied/deposited N (lost as N2O-N) to 0.44% [5.2]. The result was a reduction in estimated total N2O emission from the excreta of grazing livestock from 15.62ktN2O/year to 4.21ktN2O/year, for the year 2013. These new data also contributed significantly to the 2019 Refinement of the 2006 IPCC Guidelines (see below).
Bangor’s research has influenced policy in many countries. Specifically, the InveN2Ory project team have been requested by international groups to advise on improving estimates in their National Agriculture Greenhouse Gas Emissions. The countries specifically requesting Bangor’s assistance in improving the N2O component of their inventories were:
Chile (2016): Chadwick and the team trained 4 Chilean technicians and researchers, and 1 policy advisor in appropriate experimentation, inventory calculations, emission factors derivation, and greenhouse gas modelling, via the Newton Picarte, Institutional Skills Development project, Improving the Greenhouse Gas Inventory for Agriculture in Chile, between INIA (Instituto de Investigaciones Agropecuarias, Chile), Bangor University (Chadwick) and Rothamsted Research [5.3].
Denmark: Chadwick is an invited expert advisor on a 3-year Danish Administration-for-Agriculture funded project (2019 to 2022) Developing national emission factors for nitrous oxide from nitrogen fertilisers and crop rotations (NATEF).
International impact of the Bangor-led research was achieved via the 2019 Refinement of the 2006 IPCC Guidelines [5.4], which cites this research in its method modification for accounting for N2O emissions from urine and dung deposited by grazing livestock. The 2019 IPCC Guidelines used Bangor-led research evidence to support the case for disaggregating the combined grazing excretal N2O EF by separating N2O EFs for urine and dung. This resulted in a much-reduced EF (comprising 0.77% for urine and 0.13% for dung, which are close to the average reported by Bangor of 0.69% for urine and 0.19% for dung), compared with the combined N2O EF of 2% (for cattle) in the previous 2006 IPCC Guidelines. Moreover, data from the Bangor-led experimental research with real and artificial urine treatments were used by IPCC to confirm the use of artificial urine studies within the analysed dataset enabling an additional 63 observations (out of a total 326) to be included in the statistical analysis to derive the urine N2O EF [5.4].
Bangor’s research will impact on the annual Agriculture GHG inventories of all countries using the Tier 1 EF3PRP when submitting to the United Nations Framework Convention on Climate Change (via their compliance with the updated 2019 IPCC guidelines). Ultimately, all Carbon-Footprinting tools will also be modified to take account of the improved N2O EF resulting from Bangor-led research.
Impact on the Welsh Government (WG) and Welsh livestock industry has been via parallel engagement through knowledge exchange by the Bangor staff in this research group (Williams, Styles and Chadwick). Working with WG, Hybu Cig Cymru (Meat Promotion Wales) and the Agriculture and Horticulture Development Board, Bangor research co-identified and costed practical strategies for reducing GHG emissions from, and carbon sequestration within, Welsh farms via the Climate Smart Agriculture-Wales project [5.5]. Resulting impact was achieved by raising awareness of the potential levels of greenhouse gas mitigation across the meat and dairy sectors, and by co-producing a Welsh Government report reviewing the most appropriate Carbon-Footprinting tool to roll out across Welsh livestock farms [5.6] for future bench-marking.
Bangor’s research [3.b, 3.6] informed the WG’s multidisciplinary approach to the agriculture sector’s contribution to the challenge of meeting Wales’ national Carbon Budgets. Reflecting the close integration with this policy process, Williams was asked by WG to present this approach to the UK Climate Change Commission (the independent statutory advisory body for UK and devolved governments), which received positive feedback from the Commission. This culminated in Bangor’s invitation to contribute to Hybu Cig Cymru’s “Sustainability roadmap” for the red meat sector in Wales, outlining which strategies need to be implemented so that GHG emission-reduction targets are met by the Welsh livestock sector for the period 2020 to 2050.
5. Sources to corroborate the impact
5.1 Testimony: Farming Science Programme Manager / Defra lead funder of UK GHG Platform and hence InveN2Ory project (participant in the impact process) testifies how pivotal this Chadwick-led research project was in adjusting the UK Agriculture GHG Inventory.
5.2 UK agriculture greenhouse gas National Inventory Report (NIR) 2016 submission (activity data year 2013) Defra project AC0116 (led by Chadwick at Bangor from 2012) is credited as the source of the new N2O EFs in this report on p67, 334, 340 and 341 (Citation: Brown, P., Broomfield, M., Buys, G., Cardenas, L., Kilroy, E., MacCarthy, J., Murrells, T., Pang, Y., Passant, N., Ramirez Garcia, J., Thistlethwaite, G., and Webb, N. (2016) UK Greenhouse Gas Inventory, 1990 to 2014. Annual Report for Submission under the Framework Convention on Climate Change. Main report pp. 1-569. ISBN 978-0-9933975-1-6. Annexes pp. 569-889)
5.3 Report of collaborative training sessions (2016) for Chilean technicians/researchers in experimentation, inventory calculations, emission factors derivation, and greenhouse gas modelling, via the Newton Picarte, Institutional Skills Development project, Improving the Greenhouse Gas Inventory for Agriculture in Chile, with Chadwick (Bangor) providing the training. This source is in Spanish.
5.4 2019 Refinement of the 2006 IPCC Guidelines (2019) Annex report cited N2O EF data from the 15 Bangor-led urine/dung experiments [3.5], used to modify the method for accounting for N2O emissions from urine and dung deposited by grazing livestock (in Chapter 11 (Volume 4): N2O emissions from managed soils, and CO2 emissions from lime and urea application, page 11.11 (and Table 11.1) and page 11.41 (and Table A4.1))
5.5 Testimony: Industry Development and Relations Manager at Hybu Cig Cymru (participant in the impact process) Hybu Cig Cymru corroborates the importance of Bangor University’s wider links with industry to align the expectations of the effect of farmer-preferred (practical and affordable) GHG mitigation methods with the level of mitigation actually required, and hence the need to adopt less practical and more expensive mitigation strategies to make a greater impact on GHG mitigation.
5.6 Welsh Government Project Report (2018) (co-produced by the Institute of Biological, Environmental and Rural Sciences (IBERS), Aberystwyth University) reviewed the suitability of Carbon-Footprinting tools for adoption across Welsh livestock farms (Citation: Taft, H., Chadwick, D., Styles, D., Kipling, T., Newbold, J., and Moorby, J. (2018). A review of greenhouse gas calculators for use in the Welsh agricultural sector. Climate Smart Agriculture Wales Report. pp.79).
- Submitting institution
- Bangor University / Prifysgol Bangor
- Unit of assessment
- 7 - Earth Systems and Environmental Sciences
- Summary impact type
- Environmental
- Is this case study continued from a case study submitted in 2014?
- No
1. Summary of the impact
Bangor research (funded by the Department for International Development) demonstrated that adoption of a better-cross strategy, where rice-breeders more carefully select parental lines before crossing, improves efficiency in rice breeding. It resulted in the improved rice variety (Sunaulo-Sugandha), which provides food security and household incomes to Nepalese smallholder farmers of over GBP1,000,000 per year. Bangor’s research-success also led to a paradigm shift in the International Rice Research Institute, which adopted Bangor’s better-cross strategy in 2014 in a key project ‘Transforming Rice Breeding’. This increased efficiency of IRRI’s innovation-transfer to rice farmers globally, with a minimum estimated return of GBP36,770,000 per year in 2020.
2. Underpinning research
Rice is a staple food for nearly half of the world’s households. The International Rice Research Institute (IRRI) transfers innovation to rice-dependant communities, delivering global economic, environmental and food-security benefits. Prior to 2014, IRRI rice breeding programmes all advocated a high-volume cross strategy, based on the assumption that all crosses had equal probabilities of success, hence the probability of finding a beneficial cross increases as more crosses are made. This assumption was rejected by Bangor researchers, because it is based on the extraordinary premise that the rice-breeder has no ability to choose crosses that are more likely to succeed.
A key component of Bangor research, led by Professor John Witcombe (funded by the Department for International Development (DFID) [3.a, 3.b, 3.c]) is client-oriented breeding (COB), which dramatically reduces the number of crosses in the breeding programme to greatly increase the breeding efficiency [3.1, 3.2, 3.3, 3.4]. Witcombe’s modelling determined the optimum cross number, where the earliest stringently-selected crosses (‘better crosses’) had more chance of success than later ones. The optimum cross number was consistently many-fold fewer than in conventional breeding practices, when determined for varied rates of decline in the probability of a cross succeeding as the number of crosses made increases [3.3].
The better-cross strategy was substantiated by evidence from the work of Witcombe, Dr Krishna Joshi and Dr Daljit Virk (2000–2012) in three, Bangor-led rice breeding programmes in India, Nepal and Bangladesh, where it was compared with the conventional high-volume-crossing used by IRRI and the national programmes of these three countries. The success rates of crosses made by the two strategies were measured by the proportion that produced officially recommended or farmer-adopted rice varieties. For the four conventional programmes success was about 1 in 200 (0.5%) whereas 66% of the better crosses succeeded. The likelihood of such high success rates occurring by chance is 1 in 100 million, so the difference must result from better choice of parents [3.3]. Supported by research-results from COB between 2000 and 2014 [3.4], this evidence was widely disseminated by the Bangor team at international plant breeding conferences.
Switching to the better-cross strategy of rice-breeding was shown to greatly increase efficiency, by reducing the considerable resources used for crossing (tens per year compared with several hundred), halving the land required for growing the progeny of crosses by reducing the wastage on failed crosses, and improving the quality of the crosses [3.3, 3.4].
Bangor research showed that the better-cross strategy had more power to succeed in breeding a difficult-to-breed varietal type with aromatic grain, for which previous conventional breeding had limited success globally and none in Nepal [3.5].
3. References to the research
3.1 Witcombe, J. R., Joshi, K. D., Gyawali, S., Musa, A. M., Johansen, C., Virk, D. S. and Sthapit, B. R. (2005) Participatory plant breeding is better described as highly client-oriented plant breeding. I. Four indicators of client-orientation in plant breeding. Experimental Agriculture, 41(3), 299–319. DOI (Peer-reviewed journal article, Submitted to RAE08)
3.2 Witcombe, J. R., Gyawali, S., Sunwar, S., Sthapit, B. R. and Joshi, K. D. (2006) Participatory plant breeding is better described as highly client-oriented plant breeding. II. Optional farmer collaboration in the segregating generations. Experimental Agriculture, 42(1), 79–90. DOI (Peer-reviewed journal article)
3.3 Witcombe, J. R., Gyawali S., Subedi M., Virk, D. S. and Joshi K. D. (2013) Plant breeding can be made more efficient by having fewer, better crosses. BMC Plant Biology, 13*, 22. DOI (Peer-reviewed journal article, Submitted to REF2014)
3.4 Witcombe, J. R., Virk, D. S. and Joshi, K. D. (2019) ‘Rice PPB in India and Nepal: Client-oriented breeding using few, carefully chosen crosses’, in Westegen, O. and Winge, T. (Eds) Farmers and Plant Breeding - Approaches and Perspectives. Routledge. (Chapter 4). Copy available on request
3.5 Witcombe, J. R., Devkota, K. P., Tripathi, M. P., Gyawali, S., Subedi, M., Shrestha, P. K., Chudhary, B. N., Yadav, R. B., Yadav, M., Chaudhary, D., Yadav, R. B., Chaudary, D., Gautam, A. P., Akhtar, T., Khatiwada, S. P., Adhikariu, N. P., Chapagain, K., and Joshi, K. D. (2008) A proposal for the release of an aromatic rice variety Suanulo Sugandha. Application to be made for approval and release of crop varieties to Government of Nepal. Ministry of Agriculture and Cooperatives: National Seed Board. (Research report). Copy available on request
3.a Witcombe, J. R., Virk D. S. (2000-2003) Participatory crop improvement in high potential production systems - piloting sustainable adoption of new technologies. UK Department for International Development (DFID) [now the Foreign, Commonwealth & Development Office (FCDO)] GBP254,841 (Bangor University: R7542)
3.b Virk, D. S., Witcombe, J. R. (2002-2006) Participatory plant breeding in rice and maize in eastern India. UK Department for International Development (DFID) [now the Foreign, Commonwealth & Development Office (FCDO)] GBP282,682 (Bangor University: R8099)
3.c Joshi, K. D. (2002-2006) Improvement of rainfed cropping systems in the High Barind Tract of Bangladesh. UK Department for International Development (DFID) [now the Foreign, Commonwealth & Development Office (FCDO)] GBP250,712 (Bangor University R8269)
4. Details of the impact
A new aromatic-grained variety, Sunaulo Sugandha (translation ‘Golden Fragrant’), was a product of Bangor’s better-cross strategy [3.5, 5.1]. It has aroma, slender grain and higher yield traits that conventional breeding efforts in Nepal had failed to combine in a successful variety. Sunaulo Sugandha became the only modern aromatic variety to be grown in Nepal in 2014 when it was grown on over 3,000ha in 6 districts in the Western Development Region, accounting for 2.5% of the rice area [5.1], corroborated for Makwanpur district by a survey in 2015 [5.2]. This new variety has benefited the livelihoods of the poor in Nepal, from 2014 onwards. Its high market price (40% more than non-aromatic quality rice) has benefited Nepalese farmers by over GDP1,000,000 per year (based on the average yields of this variety on farmers’ fields). Sunaulo Sugandha has continued to be grown and to benefit farmers every year to 2020 as evidenced by certified seed production and sales by seed companies such as Anamolbiu Pvt Ltd (APL) [5.3.].
Globally, the Bangor-led research has had a significant impact on the activity of the International Rice Research Institute (IRRI)’s public-good rice breeding programme. This is documented by rice breeders at IRRI [5.4, 5.5] where the fundamental change of adopting Bangor’s better-cross strategy has led to a recent major paradigm shift . By 2019 IRRI had adopted the better-cross strategy as its mainstream approach and, as a result, had abandoned their previous high-cross number strategy. This paradigm shift was informed by the IRRI collaborative project, Transforming Rice Breeding (TRB), a Bill and Melinda Gates Foundation project (2014 to 2018), where the better-cross approach was introduced. In 2019, IRRI authors [5.4] cite only Bangor-led research to justify adopting the better-cross approach: “Several hundred crosses would be routinely performed each season prior to TRB however we reduced this number to about 100 crosses/year. Thus, our paradigm regarding the number of crosses shifted from quantity to quality… [3.3].” IRRI has acknowledged the significant impact of Bangor’s research in influencing their current breeding programme (2020) [5.5], which sets the agenda for breeding methods in the public sector in at least 30 developing countries. Seeds of advanced lines or released varieties with greater resilience to biotic and abiotic stresses, better nutrition and higher yields are directly distributed to national breeding programmes globally.
Using the better-cross strategy to substantially reduce number of crosses is a huge change by IRRI that “freed up time and resources” [5.4]. Fewer, better crosses reduce land areas by 50% because simpler trial designs are needed to produce the same number of advanced breeding lines as a many-cross programme [3.3]. The better-cross strategy induces several-fold savings in labour for making crosses. These benefits should produce at least a 10% increase in breeding efficiency. The exact economic benefit of new breeding lines realised by IRRI through adopting the better-cross strategy is not available without extensive research. However, a 2016 review of the impact of IRRI’s rice improvement programme [5.6] estimated that average economic benefits (per year), would range from GBP194,600,00 to GBP735,000,000 for 3 key rice-growing countries combined. As 2 countries (Indonesia and the Philippines), account for 13% of the world’s rice production (with economic benefits of approximately GBP478,000,000 per year), the total economic gain from IRRI’s rice improvement programme can be extrapolated to approximately GBP3,677,000,000 per year globally, with an estimated 1-10% of this due to the adoption of Bangor’s better-cross strategy (GBP36,770,000 to GBP367,700,000 per year in 2020). A more recent meta-analysis (2018) on improving the efficiency of IRRI breeding by another method (rapid generation advance) concluded “for large breeding programmes benefits from improved efficiency can add up to several billion US dollars” [5.7].
The global impact of a paradigm-shift in rice breeding is an aggregate of the adoption of hundreds of economically beneficial, high-quality rice varieties across South and South-East Asia (and in other key rice-growing countries) by approximately 144,000,000 rice farmers, the majority of whom are smallholders.
5. Sources to corroborate the impact
5.1 Crop Development Directorate Department Nepal (2015) Rice varietal mapping in Nepal - Implication for development and adoption of aromatic rice variety Sunaulo Sugandha (product of Bangor’s better-cross strategy).
5.2 Open-access rice-variety publication by Nepalese authors (2015) verifies that Sunaulo Sugandha was grown in the Makwanpur district of the Western Development Region of Nepal: (Khanal, S. and Mahesh Badal, M. (2015) Characterization of Available Rice Varieties through Diversity Block In Makwanpur and Sarlahi Districts, Nepal. Ecronicon Agriculture, 2.2, 307–316.) https://www.ecronicon.com/ecag/pdf/ECAG-02-000033.pdf
5.3 Testimonial-letter from the CEO of rice-breeding company (Anamolbiu Pvt Ltd (APL)) (participant in the impact process) provides evidence for the continued certified seed production of Sunaulo Sugandha since 2014.
5.4 IRRI publication (2019) cites Bangor research [3.3] as justification for a paradigm shift in number of crosses: from quantity to quality of crosses: (Collard, B.C. et al (2019) Transforming Rice Breeding: Re-Designing the Irrigated Breeding Pipeline at the International Rice Research Institute (IRRI). Crop Breeding Genetics and Genomics 2019,1, e190008.)
5.5 Testimonial from Global Lead, Rice Breeding Platform at IRRI (participant in the impact process) corroborating Bangor-led research as having a significant influence on their current breeding programme.
5.6 Review of IRRI’s rice improvement programme impact (2016) demonstrates the impact of IRRI's contribution to the development of modern rice varieties and their estimated benefits: (Yamano, T. et al. (2016) Adoption and impacts of international rice research technologies. Global Food Security, 8, 1–8.)
https://doi.org/10.1016/j.gfs.2016.01.002
5.7 Meta-analysis on improving the efficiency of IRRI breeding (2018) illustrates the expected efficiency-benefits from IRRI’s improved breeding methods (in this case rapid generation advance): (Lenaerts, B. et al. (2018) Global impact of accelerated plant breeding: evidence from a meta-analysis on rice breeding. PloS One, 13(6), p.e0199016.)
- Submitting institution
- Bangor University / Prifysgol Bangor
- Unit of assessment
- 7 - Earth Systems and Environmental Sciences
- Summary impact type
- Environmental
- Is this case study continued from a case study submitted in 2014?
- No
1. Summary of the impact
Bangor University’s research partnership with World Agroforestry produced a paradigm shift in agronomy, supporting agroecological transitions across 3 continents. Applying Bangor’s options by context (OxC) approach profoundly changed international, national and private sector policy and practice across 15 countries in Africa, Asia and Latin America. Diverse and inclusive agroecological options that result from applying this approach, include increasing food security, farm income and environmental resilience for 2,250,316 people, restoring 2,611,902ha of land, with 422,968 households and 428,599ha already reached, through investment of GBP101,631,640 in projects using OxC. Global initiatives target improving access to agroecological practices for over 60,000,000 smallholder farmers and OxC features in national and sub-national policies in Rwanda, Peru and Vietnam.
2. Underpinning research
For many smallholder farmers (there are 500 million globally feeding 80% of the population in Africa and Asia), conventional agricultural improvement based on the use of fossil-fuel derived chemical fertilisers and pesticides to increase yield of monocultural crops has often either: i) led to debt, reduced dietary diversity and increased environmental degradation where it has been widely adopted (across many contexts in Asia and Latin America); or ii) left rural communities in poverty and food insecurity because improvements have not been adopted, yields and income remain low and environmental degradation has occurred because of a lack of investment in sustainable agricultural practice (across much of sub-Saharan Africa). The fundamental problem in both cases is the lack of locally suitable agricultural practices that regenerate rather than degrade the environment [3.1].
To address these problems Bangor University entered an innovative research partnership with World Agroforestry (ICRAF) in 2009 which resulted in the development of the novel options by context (OxC) approach. This approach supports local innovation by farmers by fostering transition to more agroecological farming methods, including agroforestry. These involve maximizing use of natural processes, such as biological nitrogen fixation, rather than forcing agricultural systems with external inputs [3.1]. Sinclair led an ICRAF-Bangor joint systems research group, based at ICRAF and funded by research grants from ICRAF to Bangor [3.a]. Since 2012, this Bangor / ICRAF partnership resulted in Dr Fergus Sinclair leading the Livelihood Systems Flagship of the CGIAR research programme on Forests, Trees and Agroforestry (FTA). The Consultative Group on International Agricultural Research (CGIAR) is part of the world’s largest global agricultural innovation network.
Sinclair’s research pioneered a global analysis of agroforestry adoption that identified how fine-scale variation in farmer context constrained the spread of agroecological farming methods [3.2]. National analysis of the performance of four agroforestry options across Malawi, revealed large variation in crop yield for each option across smallholder contexts, with different options performing well in different contexts [3.3]; thus average performance was not a useful basis for making recommendations for farmers. Research in Kenya [3.4] and Ethiopia [3.5] revealed how contextual factors (e.g. household wealth, land tenure and topography) determined adoption of different agroforestry practices by farmers; moreover they were using a far greater diversity of tree species than previously recognised. These key research findings established the need to take option by context (OxC) interactions into account in generating locally appropriate agronomic innovations.
To enable this, the OxC approach comprises three key departures from conventional agronomic research: 1) The use of structured stakeholder engagement and attendant local knowledge to determine what is known about the suitability of existing options for the range of extant contexts [3.6]; 2) The use of planned comparisons across large numbers of farmers, where variation in the performance of options in real-farm conditions is evaluated in terms of how context determines performance, rather than using conventional controlled experiments to estimate mean differences in performance of different options [3.7]; 3) Iterative co-learning in partnership with farmers who participate in evaluating performance, resulting in locally appropriate knowledge that farmers trust and adopt [3.2]. The outcome is a new agronomic paradigm that supports local innovation and reveals which options work where and for whom, rather than attempting to generate and promote silver bullet technologies that work well on average but not necessarily for particular farmers [3.7]. Locally appropriate use of agroecological approaches supported by OxC is particularly relevant to ensuring post-COVID recovery where resilience of food systems is of paramount importance. Given the nature of this research, key benefits to the farmer are realised at the research-in-development phase.
3. References to the research
3.1 Sinclair, F., Wezel, A., Mbow, C., Chomba, S., Robiglio, V. and Harrison, R. (2019) The contribution of agroecological approaches to realizing climate-resilient agriculture. Background Paper. Global Commission on Adaptation (Rotterdam and Washington DC) Link (Peer-reviewed scientific report)
3.2 Coe, R., Sinclair. F. and Barrios, E. (2014) Scaling up agroforestry requires research ‘in’ rather than ‘for’ development. Current Opinion in Environmental Sustainability, 6, 73–77. DOI (Peer-reviewed journal article)
3.3 Coe, R., Njoloma, J., and Sinclair, F. (2019) Loading the dice in favour of the farmer: Reducing the risk of adopting agronomic innovations. Experimental Agriculture, 55(SI), 67–83. DOI (Peer-reviewed journal article).
3.4 Nyaga, J., Barrios, E., Muthuri, C. W., Öborn, I., Matiru, V. and Sinclair, F. L. (2015) Evaluating factors influencing heterogeneity in agroforestry adoption and practices within smallholder farms in Rift Valley, Kenya. Agriculture, Ecosystems & Environment, 212, 106–118. DOI (Peer-reviewed journal article)
3.5 Iiyama, M., Derero, A., Kelemu, K., Muthuri, C., Kinuthia, R., Ayenkulu, E., Kiptot, E., Hadgu, K., Mowo, J. and Sinclair, F. L. (2017) Understanding patterns of tree adoption on farms in semi-arid and sub-humid Ethiopia. Agroforestry Systems, 91(2), 271–293. DOI (Peer-reviewed journal article)
3.6 Smith-Dumont, E., Bonhomme, S., Pagella,T. F. and Sinclair, F. (2019) Structured stakeholder engagement leads to development of more diverse and inclusive agroforestry options. Experimental Agriculture, 55(S1), 252–274. DOI (Peer-reviewed journal article)
3.7 Sinclair, F. L. and Coe, R. (2019) The options by context approach: a paradigm shift in agronomy. Experimental Agriculture, 55(SI), 1–13. DOI (Peer-reviewed journal article)
3.a Sinclair, F. (2009 - 2020) ICRAF research fellowship, World Agroforestry Centre (ICRAF), GBP633,113 (Bangor University: R37812, R27P10, R37P15)
4. Details of the impact
Promotion of agroecological approaches using the options by context (OxC) approach, developed through Bangor’s research, has been adopted internationally by the UN Committee on World Food Security (CFS) High Level Panel of Experts (HLPE) in the context of food security and nutrition in 2019 [5.1] and by the Global Commission on Adaptation (GCA) with respect to climate resilience of agricultural and food systems in 2019 [5.2]. Both bodies recommend promotion of agroecological practices, citing Bangor’s underpinning research. The HLPE report forms the basis of an international policy convergence process initiated at the 46th Session of CFS at the UN Food and Agricultural Organisation (FAO) in Rome in October 2019. The GCA report launched in September 2019 sets out a programme for governments and businesses to take urgent action to advance climate adaptation solutions in the light of Bangor’s research findings, including a commitment to improve access for at least 60,000,000 small-scale producers to agroecological practices. By adopting the OxC principles, enhanced policy and practice has occurred at an international scale for securing poverty alleviation, increasing food security and enhancing environmental restoration.
Application of the OxC approach directly associated with Bangor’s underpinning research has led to development of new national and sub-national policies and incentives to promote agroecological options in Vietnam [5.3], Peru in [5.4] and Rwanda [5.5]. In the private sector, Barry Callebaut, one of the largest buyers of cocoa in the world, has adopted the OxC approach for cocoa agroforestry, explicitly derived from Bangor’s underpinning research [5.6]. In Vietnam, OxC trials of agroforestry options to increase farm income and control soil erosion on slopes, have led to implementation of new provincial level policies to promote agroecological transitions [5.3]. In 2015, Yen Bai provincial Resolution (15/2015/NQ-HDND) and Decisions (27/2015/QD-UBND and 2412/QD-UBND) provided financial support for households to establish fruit tree agroforestry practices and agroecological soil and water conservation measures to sustain maize production on sloping land. The Ministry of Agricultural and Rural Development (MARD) Decision (2477/QD-BNN-HTQT) created MARD’s Agroforestry Working Group set up to review, improve, and propose agroforestry-related policies in Vietnam [5.3]. In Peru, regional implementation of a national agroforestry concession policy incorporates the OxC approach explicitly based on Bangor’s underpinning research [5.4]. This policy grants formal land-title to farmers, provided that they commit to maintain, or establish agroforestry on 20% or more of the land. With the OxC approach thus adopted in national policies, it is estimated that up to 120,000 households in the Peruvian Amazon are benefiting from the OxC rollout affecting over 1,000,000ha [5.4].
Several major development initiatives have adopted the OxC approach as a direct outcome of the underpinning Bangor research. The Global Climate Fund, together with the Government of Sri Lanka, have invested approximately USD49,000,000 (03-2020) [5.7]. The development work aims to strengthen the adaptive capacity of smallholder farmers to address climate-induced irrigation and drinking water shortages by improving the resilience of farm- and land-management practices using the OxC approach, targeting at least 1,343,216 beneficiaries and protecting approximately 346,000ha of land [5.8]. The Netherlands invested USD49,461,485 (06-2015) in the Dryland Development project (2014 to 2019) [5.9] in Kenya, Ethiopia, Mali, Niger and Burkina Faso(DryDev), which had the OxC approach at its core. Success was validated by associated planned comparisons funded through the International Fund for Agricultural Development (IFAD) Dryland Restoration project EUR3,845,630 (04-2015) and USD1,500,000 (04-2015) [5.10] with key impacts for individual farmers being realised at the project delivery and evaluation stages. They showed DryDev reached 219,694 farmers who rehabilitated 122,850ha of common land, practiced improved soil and water conservation on 90,058ha and other climate smart practices on 52,994ha; household resilience was higher in all 5 countries as a result, with dietary diversity of women in Kenyan project sites increased by 15% [5.9]. External mid-term evaluation of this IFAD development project stated that “upscaling of best options by voluntary farmers on their farms and by other farmers (especially neighbours) is very impressive…. the project is currently reaching the impressive number of about 10,000 households, or more than 50,000 beneficiaries in the four action countries which are directly benefiting for their livelihoods from the land restoration project”. Main findings report that “the project may significantly contribute to the achievement of [United Nations Development Goals] SDGs, especially ‘no poverty’ and ‘zero hunger’” [5.10]. The EU and partners have invested EUR21,379,310 (09-2017) in the Regreening Africa project (2017 to 2022), which operates the OxC approach developed from Bangor research across 8 African countries, including Ghana, Rwanda and Senegal in addition to those in DryDev. It targets at least 500,000 households and restoration of at least 1,000,000ha with 145,274 households already actively engaged in restoring 162,697ha by 2019 [5.11]. The Australian Centre for International Agricultural Research (ACIAR) have invested AUD10,390,000 (01-2017) in two phases of the Trees4FoodSecurity (T4FS) project (2012 to 2020) in Burundi, Ethiopia, Rwanda and Uganda that uses OxC to scale-up agroforestry. A 2019 evaluation of the impacts of the ACIAR projects identified the first phase (FSC/2012/014) as 1 of only 3 projects out of 15 evaluated that had contributed to transformational development impacting over 30,000 farmers in 2019 reaching over 48,000 in phase 2 [5.12].
5. Sources to corroborate the impact
5.1. HLPE (2019) Agroecological and other innovative approaches for sustainable agriculture and food systems that enhance food security and nutrition. A report by the High Level Panel of Experts on Food Security and Nutrition of the Committee on World Food Security, Rome. 162 p. http://www.fao.org/3/ca5602en/ca5602en.pdf. The need for context-specific agroecological transitions is stated (p26) citing the underpinning research [3.7]. OxC is outlined in Section 2.1 (p52 – articles 2, 3 and 7) and Section 4.1.1. (p94-95 article 7) and frames all recommendations around the need for such context-specific transitions (p.21), which are now the basis of an international policy convergence process. Sinclair was selected from over 250 nominations to lead an HLPE project team on agroecological approaches for food security and nutrition on this basis (p3).
5.2. GCA (2019) Adapt Now: A Global Call for Leadership on Climate Resilience. https://gca.org/report-category/flagship-reports/ This high-level report states on p66 that it bases its content in Chapter 2 explicitly on the underpinning research [3.1]. It is also explicit on use of OxC in Section 5.2 p31 and Fig. 7 p33).
5.3. Patton (2017) Profiting from well-chosen tree species: improving the productivity of farming systems in Northwestern Vietnam. Sinclair is a lead scientist on the AFLi project that falls within the remit of the FTA Livelihood Systems Flagship that he leads. The blog details the AFLi OxC trials in Vietnam and how they influenced provincial and national policy.
5.4. PARA (2018) German Federal Ministry of Economic Cooperation and Development (BMZ) report which funded project for planned comparison of OxC implementation of agroforestry concessions in Peru. https://www.dropbox.com/s/6mxey8b82i3xrah/ICRAF_PARA.docx?dl=0
This project uses OxC as its organising framework (p6), explicitly citing the underpinning research [3.2] and has it as the basis of a planned comparison to evaluate effectiveness of regional policy implementation in Peru (p7) following a successful pilot also funded by BMZ.
5.5. Ministry of Environment, Republic of Rwanda (2018) National Agroforestry Strategy and Action Plan (2018-2027). 48 pp. The strategy incorporates the OxC approach as a basic principle (item 2 on p15) and acknowledges Sinclair’s contribution to the development of the strategy (p iii). (Copy available on request)
5.6. Testimonial from the Barry Callebaut Group position on agroforestry as a result of Sinclair’s advice and input at their conference in June 2019 (participant in the impact process). The Carbon and Forest Advisor and the Global Head of Agronomy of the Barry Callebaut Group (the largest global buyer of cocoa) explicitly thanked Sinclair for input on OxC, which they incorporated into the position following Sinclair’s presentation to a science-policy dialogue on the role of agroforestry in the cocoa industry.
5.7. Development project website for the Green Climate Fund (2020) Strengthening Climate Resilience of Subsistence Farmers and Agricultural Plantation Communities residing in the vulnerable river basins, watershed areas and downstream of the Knuckles Mountain Range Catchment of Sri Lanka confirming the development investment of approximately USD49,000,000 (03-2020) https://www.greenclimate.fund/project/fp124#investment
5.8 Project Proposal for the Green Climate Fund (2020) Strengthening Climate Resilience of Subsistence Farmers and Agricultural Plantation Communities residing in the vulnerable river basins, watershed areas and downstream of the Knuckles Mountain Range Catchment of Sri Lanka. https://www.greenclimate.fund/sites/default/files/document/funding-proposal-fp124.pdf Sinclair led the design of this development project and leads the implementation of the ICRAF (Bangor) component of the project that provides scientific guidance to the whole development project. The nature of this development work ensures benefits are realised at the project delivery stage. Use of the OxC approach is explicit (paragraphs 143-145, p49) and the targeted number of beneficiaries (p74) and area of land protected (p75).
5.9 The Drylands Development Programme (DryDev). Final Report. Ministry of Foreign Affairs, the Netherlands (2020). This reports on activities up to July 2019, evidencing investment, farmers reached, and area of land affected by the programme as well as early indications of some impacts. The programme implemented by ICRAF explicitly uses the OxC approach (p8 and Annex 1, p55) citing the underpinning Bangor research (footnote 6, p51). Sinclair advised the project on use of OxC and it was linked via planned comparisons to the EU-IFAD grant. (Copy available on request)
5.10 Bloesch, U. (2019) Mid-term Evaluation of EU-IFAD Grant: Restoration of degraded land for food security and poverty reduction in East Africa and the Sahel: taking successes in land restoration to scale. http://repo.mel.cgiar.org:8080/handle/20.500.11766/10177 External mid-term evaluation of this development project, which Sinclair is Principal Investigator of at ICRAF, that evidences use of the OxC approach, the investment, number of farmers engaged and the efficacy of the approach. Report quotes documenting the impacts are cited in section 4 are available on p7 and p22.
5.11 Regreening Africa Annual Report (2019) European Commission: Directorate General for International Cooperation and Development. Annual report of project implemented by ICRAF using the Bangor / ICRAF OxC approach evidencing the level of investment as well as targeted and reached numbers of farmers and area of land restoration. (Copy available on request)
5.12. Bartlett, A.G. (2020). Exploring transformational outcomes from donor investments in agroforestry research for development. Agroforestry Systems.
https://doi.org/10.1007/s10457-020-00516-3 This article includes evaluation of the first phase of the Trees for Food Security project that promoted trees on farms in Ethiopia, Rwanda, Uganda and Burundi. It evidences the efficacy of the OxC approach (explicitly citing the underpinning Bangor research), level of investment and farmers reached.