key: cord-0734570-dirqo04x
authors: Galli, Alessandro; Pires, Sara Moreno; Iha, Katsunori; Alves, Armando Abrunhosa; Lin, David; Mancini, Maria Serena; Teles, Filipe
title: Sustainable food transition in Portugal: Assessing the footprint of dietary choices and gaps in national and local food policies
date: 2020-08-08
journal: Sci Total Environ
DOI: 10.1016/j.scitotenv.2020.141307
sha: f4c744a443ed8949f431b5a3d875f7e51d85451d
doc_id: 734570
cord_uid: dirqo04x

Abstract The food system is increasingly acknowledged as the single largest reason for humans' transgression of key planetary limits and it is gaining centrality in our societal run-up towards a sustainable future, especially at city level. In Portugal, a country characterized by high meat and fish consumption, noticeable food wastage, and high urbanization level, fully understanding and then transforming the food system is of priority. Here we investigate the significance of food in comparison to other daily anthropogenic demands and the current sourcing and resource intensities profiles of dietary patterns at Portuguese national and city level through Ecological Footprint Accounting. A critical assessment of gaps in national and local food policies to trigger a major transformation in the Portuguese food system is also conducted on the basis of a newly proposed analytical framework. Results show that food consumption in Portugal is the single largest reason (≈30%) for transgressing the carrying capacity of Earth ecosystems but, despite the urgent need for changes in Portuguese food systems, major deficiencies in local policy implementation exist with weak policy commitment, coordination, and lacking institutional capacity as food policies – especially at the local level – are still not prioritized. Similarities with other countries within Europe and their implications are also discussed.

viewpoint (11) . Focusing on cities does not imply a sole focus on urban spaces but rather it concerns understanding the international trade systems as well as the national, regional and local production for rural-urban linkages. Focusing on cities provides the opportunity for (re)connections, (dis)locations and (in)justices to be reworked at city level via institutional and governance processes, and ultimately calls for the development of guidelines for sub-national and local governments to take actions towards sustainable food systems (10) .

As such, this paper focuses on a country -Portugal -characterized by high meat and fish consumption, noticeable food wastage, and high urbanization levels, in order to accomplish two goals: 1) understand the significance of food Footprints and the sourcing and resource intensity profiles of dietary patterns, and 2) assess whether food policies are in place at national and local levels to transform food systems.

We believe Portugal represents a critical country case to further explore national and local profiles and policies as it 1) is the Mediterranean country with the highest per capita food Footprint, 2) relies on the biocapacity of foreign countries to satisfy its residents' demand for food (12) , 3) produces about 1 million tons of food waste per year (13) , and 4) has 62% of its population primarily settled in coastal urban areas (14).

To address the first goal, this paper uses an increasingly popular and easy-to-communicate resource accounting tool -the Ecological Footprint (15) (16) -to assess the role food consumption plays in the sustainability challenge at Portuguese national and city levels. Six pilot municipalities -Almada, Bragança, Castelo Branco, Guimarães, Lagoa and Vila Nova de Gaia -were selected as case studies since those cities have recently joined forces in an innovative project of the Ecological Footprint of Portuguese

Municipalities (17) to support city governance in guiding their transition towards environmental sustainability.

To accomplish the second goal of the paper, a new policy framework has been developed to assess local food system policies and to understand critical policy gaps, relevant to enforce sustainable pathways. This framework builds on recent studies (4, 11) and contributes to the literature by systematizing key policy dimensions and key interventions for sustainable food systems that can be applied in other contexts and studies. An assessment of Portuguese national and local policies actually in place in these six cities is made using this framework. Results are then presented and discussed to provide evidence of relevant gaps in national policy transition and local policy implementation. Our ultimate goal is to contribute to identify the policy tools best equipped to guide sustainable food transitions and trigger a major transformations in dietary habits in a country like Portugal, at national and city levels, as well as to highlight the need for further comparative research on an urgent global transition as the one necessary in the food system.

Introduced by Mathis Wackernagel and William Rees in the early 1990s, Ecological Footprint Accounting (EFA) offers a way to measure the resource dimension of the human socio-economic development by comparing the demand humans place on the ecological assets (i.e., biologically productive land and marine areas) of the Earth with the availability and productivity of such assets (18, 19) . Ecological assets tracked by EFA include (16) : cropland for the provision of plant-based food and fiber products; grazing land and cropland for animal products; fishing grounds (marine and inland) for fish products; forests for timber and other forest products as well as for climate regulation via CO 2 sequestration; and built-up surfaces for the provision of shelter and other urban infrastructures.

EFA can be applied at various scales -from a single product to an individual, from a city to a nation, and to humanity as a whole -to give insight on the above by means of two indicators: Ecological Footprint -the demand side of the accounting tool -and biocapacity -the supply side of the equation. To ensure results are comparable, both metrics are expressed in area-equivalent units called global hectares (gha) (20) .

Depending on the scale of application, EFA can adopt either a top-down (compound) or bottom-up (component) approach (21, 22) . For a given geographical scale (e.g., a city), the compound approach calculates the Ecological Footprint using aggregated national statistics on resource and service flows (e.g., data on the total national production, import and export of food, fibers, commodities, etc, thus tracking both direct and indirect flows) and eventually allocating to the level being analyzed the share of the national total it is responsible for; conversely, the component approach calculates the Ecological Footprint by first identifying all the resource and service flows directly and indirectly consumed at that geographical scale (e.g., the amount of food, fibers, commodities and the alike consumed by the residents of the city) and then adding-up their individual Footprint values. The first approach is most commonly used for EFA assessments at global and national scale (22) (23) , while the latter is preferred in product-or company-level assessments, being it data-intensive and prone to truncation errors (24) in the tracking of indirect flows.

For each resource or service flow, both of the above approaches use the same rationale in converting any physical flow f (demanded by humans or provided by the Biosphere) into the area of ecological assets needed for its production (EFf) as reported in equation 1 (25) :  i refers to the n-input needed to produce the flow f throughout its production chain;

 j refers to the six different types of ecological assets tracked by EFA;

 EQFj is the equivalence factor of the j-th asset/land type; EQFs captures the difference between the productivity of a given asset/land-type and the world-average productivity of all biologically productive assets/land-types (20) .

Different types of f flows enter the human economy and can be tracked via EFA (19) . At the national level, they range from food and fibers -including both prime natural products such as wheat, tomato and rice, and human-processed derived product such as bread, milk, dairy, meat-products and the alike -to goods and services, also including fossil fuels and electricity whose use (for transportation, heating or food processing purposes, for instance) causes the release of CO 2 in the atmosphere and place a demand on the carbon sequestration capacity of ecosystems (26, 27) .

Several studies have been published in the last ten years dealing with Ecological Footprint assessments at product-level, although only few have focused on agricultural, wine, and seafood products (see 25, 28 for an overview of applications). Within its National Footprint Accounts (15) and related datasets, Global Footprint Network maintains a library of Ecological Footprint intensities -coefficients indicating the amount of global hectares necessary to produce a unit (i.e., a kg) of product (23) and make it available to final consumers -for approximately 400 primary and derived agricultural products, 150 animal and dairy products, and nearly 1,500 seafood products. Footprint intensities thus indicate the amount of global hectares needed to produce (primary Footprint intensities) and process (processing Footprint intensities) a unit (usually a kg) of product. Recent studies (12) have then provided product-and dietarylevel Footprint intensities in gha per kcal (see Table 1 ) as well as Footprint intensities of trading foodstuff (29) .

J o u r n a l P r e -p r o o f Journal Pre-proof

Ecological Footprint assessments for Portugal and the six municipalities investigated in this study have been performed by using the top-down (compound) approach; while in both cases results refer to the Ecological Footprint of final net consumption activities, differences exist in the deployment of this approach at the two geographical scales.

For Portugal, an input-output-based modification (30) of the standard methodology used for the National Footprint Accounts was applied to assess the Ecological Footprint of the country for the year 2014. The traditional approach (15, 19) uses physical statistics on production and trade to derive consumption Ecological Footprint values of the country by first tracking the ecological assets appropriated by national production activities (EF P ) -calculated via the compound deployment of eq.1and then adding the Ecological Footprint embedded in imported goods (EF I ) and subtracting that embedded in exported goods (EF E ). However, the modified version applied in this paper uses the standard methodology and physical input data to calculate the Ecological Footprint of national production activities (EF P ) but then derives national Ecological Footprint of consumption (EF C ) values by using monetary trade flows to estimate the Footprint embedded in global trade flows (30) . This is achieved through an Ecological Footprint extended Multi-Regional Input-Output model (EF-MRIO) model as per equation 2:

Where:

 F is the environmental extension matrix (direct EF P of sectors normalized per unit of sector output, which is expressed in gha $ −1 ) derived from the initial allocation of EF P for the 6 J o u r n a l P r e -p r o o f We thus refer to the Ecological Footprint of Portuguese household's food consumption (i.e., the resource provisioning and the regulatory services demanded to provide households with the food they consume) as the country's food Footprint. This includes both the direct and indirect demand by Portuguese residents for the cropland (directly to produce food crops and indirectly to produce livestock feed crops), grazing land (to produce meat), and fishing ground (directly to produce seafood products and indirectly to produce livestock feed) Footprint components and their indirect demands for the carbon (from CO 2 released due to food production/cultivation and trade) and built-up (land occupied by food industries) components of the Ecological Footprint. Figure 1 ). J o u r n a l P r e -p r o o f

Due to the lack of household expenditure data for CP011.Food-related COICOP sub-categories in the Oxford Economics dataset (33) , expenditure data at the 4-digit COICOP resolution for NUTS II territories (see Table S2 in the Supplementary Online Material) was obtained from the National Statistical Institute of Portugal (35) . To ensure consistency between the food value in municipality CLUMs (Consumption-Land Use-Matrices) and the detailed food EF analysis, food consumption patterns in each municipality was first assumed to be similar to that of the NUTS II region in which the municipality is located; food Footprint values at the 4-digit level were then calculated by multiplying the overall food Footprint value for that city's CLUM by the ratio between EF for food sub-category and total food EF at the NUTS III level. This latter, was calculated using the 2014 Portugal CLUM as the base year and following the above methodology; to limit the assumptions in the assessment, detailed municipal food Footprint results were provided for the sole year 2014.

To conduct the policy gap analysis at the local level in Portugal, a new policy framework was developed building on recent literature on food policies (4, 10, 11) . This analytical framework was organized in four key policy dimensions, particularly in a context of multi-level governance, and their main priority policy areas, which are deemed fundamental for reversing unsustainable food systems:

1. Information and Awareness: within this dimension we investigated the existence of tools to favor awareness of food consumption and production patterns, as well as the availability of robust data and indicators frameworks enabling city administrations to build the necessary evidence to design, implement and measure the impact of their initiatives, monitor progress towards set targets and adjust priorities and interventions accordingly. Awareness and J o u r n a l P r e -p r o o f education campaigns and participatory food governance, as well as the inclusion of new food system actors in the urban governance arena (11) are also considered fundamental.

2. Administrative and government capacity: within this dimension, we assessed the presence of adequate human resources (i.e., equipped with proper skills and a system thinking (11) approach), organizational autonomy, trans-departmental structures or coordination mechanisms, as well as mechanisms or structures to enable collaboration among various levels of government, for strengthening the capacity to enforce sustainable food policies.

3. Local government functions: this dimension investigated the integration of food in territorial planning to promote effective land use for all phases of the food system (production, postharvest handling, storage, processing, transformation, marketing and distribution, consumption and organic waste management), as well as the presence of urban and rural areas linkages (11) , of policies promoting learning with trans-local collaboration (11) , and of mechanisms that enforce coordination with governance stakeholders (4) (e.g., their inclusion in the food system planning and implementation, particularly the private sector and community representatives), paying special attention to the participation of the most vulnerable stakeholders.

4. Strategic Policies: within this dimension, we investigated the existence of a strong political commitment to shift towards healthy and sustainable diets (4), supported by strategies to reorient agricultural production priorities and foster agri-food innovation as well as to promote the sustainable intensification of food production (4), food waste reduction plans, and incentives for a farmers-citizen reconnection to promote shorter food supply chains.

To collect data needed to apply this policy framework to Portugal and conduct a policy gap analysis at the local level, a survey was distributed to local government officers in the municipalities of Almada, As survey responses were not provided by the municipalities of Almada and Lagoa, information on these two municipalities was collected through an online search on publicly available information at the website of those municipalities. At the national level, we collected official documents, scientific papers and performed an extensive online search to identify the national food system context (policies, strategies and initiatives). Existing international city networks and initiatives were also reviewed to place

Portuguese findings in a wider context.

Over the past decades, numerous studies have applied and critically reviewed EFA (see 25, 28) . While the communication value of this indicator has been widely acknowledged, EFA remains subject to methodological criticisms and ongoing debates on its policy usefulness (20) . In measuring whether human societies are able to live within the overall ecological budget of the planet, EFA adopts a crosscutting approach (15, 16) , whose use implies trade-offs between scope and resolution: jointly assessing the impact of multiple pressures that are usually evaluated independently (climate change, food consumption, land use and appropriation, fisheries production and consumption, trade, etc) leads to a decreasing resolution in the EFA capacity to deal with each one of these pressures (23); for instance, while EFA tracks human pressure on ecosystems, it is unable to capture the consequences on the health of ecosystems of an eventual excessive pressure (36) , such as for instance soil degradation due to unsustainable agricultural production practices. Several other limitations have been identified in the scientific literature and a comprehensive synthesis of criticisms and supporting views can be found in 36.

As such, EFA cannot be considered an omni-comprehensive indicator and it should therefore be complemented with other indicators (16, 36) to arrive at a comprehensive sustainability assessment J o u r n a l P r e -p r o o f (19) . Nonetheless, EFA results provide their greatest utility when interpreted with a systemic, rather than reductionist perspective, and EFA main value added is to provide macro-level guidance (i.e., the big picture), and assist in the early warning and headline and issue framing steps of the policy formulation cycle (20) . 

In 2014, an average Portuguese resident demanded the equivalent of 3.69 global hectares (gha cap -1 ) worth of natural resources and ecological services -aka Ecological Footprint -to sustain its lifestyle and overall consumption pattern, despite a national resource availability -aka biocapacity -of just 1.28 gha per capita (17) ; the Ecological Footprint (EF) of city residents ranged from 3.12 gha cap -1 in the city of Lagoa to 3.84 gha -1 in the city of Almada thus showing differences among the different territories, with higher Ecological Footprints found in those cities with higher income levels and spending power.

According to Galli and colleagues (17) and similar to the national situation, all six municipalities operated in a biocapacity deficit situation in 2014 and food consumption was found to be the main driver of the Ecological Footprint of Portuguese households at both national and city level (see Figure 2) (41) and red meat as shown in Figure 3 . This is consistent with findings from (42) Such high seafood consumption is related to culture, tradition, governmental fish campaigns, and big efforts from distributors and religion (43) . Consumption of dried salted codfish, in particular, has profound roots in the food habits of the Portuguese population "being perhaps the most marking component of the Portuguese cuisine, achieving the level of national dish and a food category of its own" (43) . Nonetheless, seafood and meat products place a great pressure on the planet's ecological assets as the production of 1 unit (e.g., a kg) of them requires more land displacement and CO 2 emissions (i.e., higher Footprint intensities) than that of low trophic level fishes, poultry, vegetables, cereals and dairies (44, 45) (see also Table 1 ).

J o u r n a l P r e -p r o o f J o u r n a l P r e -p r o o f J o u r n a l P r e -p r o o f 

A chronological analysis of national food policies and governance in Portugal during the last five decades is provided in Table 3 , with a description of the type of policy action, its responsible actors, and a short account of its objectives. This table also presents an analysis of the aspects being emphasized by each of the policies under consideration, allowing for different focuses, from production (quantity, quality and food security) to consumption (dealing with health, safety and nutritional value of food or sustainable diets), and up to the more systemic aspects of food system policies and governance. This allows to better understand policy shifts and intended aims throughout the decades.

Up until the mid 1970s, food policies in Portugal were mainly limited to ensuring adequate food supply, as well as food and population health (50) . The work of the UN Food and Agriculture Organization (FAO), the World Health Organization (WHO) and the European Union (EU) triggered early Portuguese efforts to create a national food and nutrition policy starting from the late 1970s, with the creation of the Centre for Studies in Nutrition, the first studies on food intake and nutrition, as well as the launch of the first campaign "Knowing how to eat is knowing how to live" (51) . Since then, Portugal has experienced a continuous evolution of its food policy and governance landscape (see Table 3 

Despite national efforts, knowledge on local-level food policies in Portugal is still very limited and not supported by national monitoring frameworks (60) . With the exception of work related to food production capacity in urban areas (61), there is a lack of evidences on the influence that national policies are playing on local policies as well as on whether local food policies are actually being implemented.

Through the lenses of the suggested policy framework and the data collected for the six pilot cities in Portugal, results show several gaps concerning the four dimensions deemed necessary to trigger a sustainable food transition (see Table 4 ).

Policy implementation is stronger in the information and awareness dimension, as all six cities have policies or initiatives in place for at least 2 of the 3 investigated parameters. Tools to gather consumers' behavior data and guide consumers through the knowledge-awareness-action journey (62), for instance, are available in all cities, such as municipal Ecological Footprint (EF) calculators (17) and several awareness campaigns (see Table S5 in the Supplementary Online Material for a detailed description of all the activities developed by each city). Still, lack of awareness from citizens and the difficulty to change the mentality of both the civil society and companies represent major roadblocks for local administrations, which are also not aided by national regulations (e.g., unclear public procurement rules for food). Trans-departmental structure or coordination mechanisms to enhance system thinking Mechanisms of coordination among governance stakeholders 1 -1 --1

Strong political commitment to shift towards healthy and sustainable diets -----1

Strategies to re-orient agricultural production priorities, foster agri-food innovation and promote the sustainable intensification of food production Table S5 ).Furthermore, gaps in local government functions are identified in those policy areas that require large scale approaches, coordination, multi-level co-operation and mutual dependence among institutions. With the exception of Vila Nova de Gaia, the main gaps are found to be related with the lack of tools to promote urban-rural linkages and of capacity to learn from trans-local collaboration (see Table S5 ). The integration of food issues in territorial planning is one of the most addressed aspects, through the development of several municipal and pedagogical food gardens as well as initiatives to recover abandoned lands for agricultural purposes (as the case of Guimarães).

Finally, regarding strategic food policies, results show an overall lack of strong political commitment to shift towards healthy and sustainable diets in almost all the cities (see Table 4 ); this impedes municipalities to maximize their efficiency and effectiveness in local policy delivery. Despite food policies and strategies exist at the national level, they do not seem to generate a spillover effect in the analyzed cities. Even in Vila Nova de Gaia -the city with the highest food policy implementation standards -one can observe that city residents have the second highest food Footprint value (1.15 gha cap -1 ) of the six cities, thus suggesting how challenging it is to design and implement policies with an effective impact on sustainable food systems.

The Footprint results provided in this study show that the Portuguese food system is highly interconnected with, and dependent on, food systems around the world; as such, food consumption in

Portugal is highly dependent on the availability of food resources from abroad -particularly in Spain, France, Brazil and Norway -as well as on Portugal's capacity to maintain a stable access to food. Results 

Small cities and towns, such as those analyzed in this study, can play a key role in fostering resilient and economically prosperous food systems given their proximity and close interaction with relevant economic and societal actors (e.g., rural areas). In these contexts, multi-scalar and multi-sector collaborations can foster the creation of sustainable rural-urban territories and food chains that enable multi-stakeholder engagement and protect ecosystem services.

Guaranteeing stable supply and access to food over time while also favoring the sustainable utilization of food is fundamental for Portugal, as we found food consumption to be the main driver of the pressure its residents place on national and worldwide ecosystems: with an average national Ecological Footprint of 3.69 gha cap -1 , Portuguese people are demanding nearly three times more resources and J o u r n a l P r e -p r o o f services than the biocapacity (1.28 gha cap -1 ) they have available within their country or that is available -on a per capita base -at the global level (1.7 gha cap -1 ). Considering that food Footprints are driven by the high consumption of meat and seafood at both national and city levels, and that relevant shares of the Portuguese food Footprint are placed outside the country's borders for most of the food categories, there is room for reversing this situation.

Nonetheless, while possible, reversing the current food unsustainability and favoring a food transition in

Portugal requires the support of governance structures and specific policy interventions, at both national and local level. Upon assessing existing local policies in four high level policy dimensions, we found that the majority of cities had either gaps or low ability to act or deliver on most dimensions: only policies related to information and awareness were found to be at an acceptable level of implementation -although their full effectiveness is yet to be seen -while political commitment and administrative and government capacity needs to be strengthened. The low food policy implementation identified in municipalities with long standing efforts in environmental policies also reveals that urban food policies are still in their infancy in Portugal, and calls for the need to incorporate food system concerns into wider sustainability and environmental discussions.

While food consumption should be a key priority area for intervention to reverse unsustainable trends, gaps in urban food policies within Portugal hinder the country capacity to take remedial action. Easing a transition to sustainable national and local food systems in Portugal requires timely action, perhaps starting from those policies and initiatives that, without requiring major economic investments, would make the adoption of alternative dietary patterns and the strengthening of sustainable food governance possible. Successful promotion and implementation of, among others, 1) coordination and governance tools, 2) societal awareness and consumer behavior strategies, and 3) incentives and regulation on the J o u r n a l P r e -p r o o f re-orientation of production activities, would then also contribute to significant achievements on SDGs 2, 3 and 12.

To conclude, we stress that the successful application of such remedial actions in Portugal requires proactive ongoing communication among various government levels and various actors, and a clear alignment of interests and strategies from the national towards the local levels. The misalignment from the urgent need for global changes and the slow national and local disruptions towards sustainable food transition taking place in the country, thus call for a stronger focus on the development of specific foodcentered urban policies and for the inclusion of food, a topic usually overseen, in wider city-level and national level sustainability policies. The situation identified in Portugal is likely to be similar to that of many other countries and cities, whose policy implementation should thus be further investigated.

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Conceptualization, Methodology, Investigation, Visualization, Writing-Original draft

Conceptualization, Methodology, Investigation, Writing -Review & Editing Katsunori Iha: Formal analysis, Investigation Armando Alves: Investigation, Writing -Review & Editing David Lin: Formal analysis, Investigation, Writing -Review & Editing Maria Serena Mancini: Investigation, Visualization, Writing -Review & Editing Filipe Teles: Investigation, Writing -Review & Editing

The authors are grateful to Paulo Magalhães and Francisco Ferreira, from ZERO -Associação Sistema Terreste Sustentável, for the shared responsibilities on the project management. The authors also acknowledge the financial support of the Portuguese Municipalities to develop the project. Finally thanks are due to Selen Altiok for her feedbacks and suggestions on earlier drafts of the manuscript, as well as to the three anonymous reviewers of our initial manuscript for their constructive and precious comments.