How well is farmers’ social situation captured by sustainability assessment tools? A Swedish case study

Figures & data

Table 1. Brief description of the sustainability assessment tools (SATs) included in this study.

	RISE (HAFL 2017)	SAFA (FAO 2014)	IDEA (Zahm et al. 2008)
Aim of the tool	The purpose of the RISE (Response-Inducing Sustainability Evaluation) tool is to contribute to enhancing the sustainability of agricultural production, by supporting knowledge-based processes that are founded on voluntary participation, confidentiality, and capacity building. The RISE method translates the sustainability concept to the farm level and makes sustainability more measurable, communicable, and tangible. RISE has been used on more than 3300 farms in around 57 countries.	SAFA (Sustainability Assessment of Food and Agriculture) is a common framework for measuring performance according to core sustainability themes. SAFA provides an international reference tool for assessing the sustainability performance of food and agriculture enterprises. The purpose of a SAFA is to support the implementation of effective sustainability management and communication in the food and agriculture sector worldwide. Through voluntary assessments, the goal is to holistically assess enterprise performance along the four dimensions of sustainability.	IDEA (Indicateurs de Durabilité des Exploitations Agricoles or Farm Sustainability Indicators) is a self-assessment tool for farmers and policymakers to support sustainable agriculture based on three essential functions: producing goods and services, managing the landscape and playing a role in the rural world. The IDEA method is based on research work and gives practical expression to the concept of sustainable farms. IDEA has been tested on more than 1500 farms between 2000 and 2007.
Overarching sustainability dimensions	Economic, environmental, and social dimensions, but without classifying the themes and indicators evaluated under explicit dimensions.	Good governance, environmental integrity (includes animal welfare), economic resilience, and social well-being	Three scales of sustainability: agroecological, socio-territorial, and economic
Structure	10 themes, 46 indicators	21 themes, 58 sub-themes, and 116 indicators	16 target objectives with 41 indicators used for characterization
Definition of the social dimension	RISE manual has an overall definition of sustainability including all sustainability dimensions, but also emphasizes that sustainable agriculture ‘provides durable employment, sufficient income, and decent living and working conditions for all those engaged in agricultural production.’	Social sustainability is about the satisfaction of basic human needs and the provision of the right and the freedom to satisfy one’s aspirations for a better life (WCED 1987). This applies as long as the fulfilment of one’s needs does not compromise the ability of others, or of future generations, to do the same.	The definition of sustainable agriculture involves viability, livability, and environmental reproducibility. Livability focuses on analysis of farming activities and their provision to a decent professional and personal life for the farmers and their families.
Presentation of results	Aggregated results for the 10 themes in a spider diagram	Aggregated results for the 21 themes in a spider diagram	Aggregated results for 10 components in a spider diagram

Table 2. Summary of social sustainability themes and indicators in the RISE sustainability assessment tools. From Grenz et al. (2016).

Theme	Indicators	Description of the indicator
Working conditions ‘… assesses the objective working conditions for farm employees and self-employed farm labor.’	Personnel management	Including ‘whether the farm has a professional, forward-looking personnel management system in place and whether working conditions comply with the decent work standards established in the relevant human rights conventions and agreements.’ Scored based on, for example, written employment contracts/pay stubs or payslips/work permits for all personnel/protection against unfair dismissal/adequate income protection in the event of accidents, sickness, maternity, etc./no discrimination/no forced labor of any kind/freedom to form labor unions.
	Working hours	Working hours and annual vacation are recorded and evaluated against the regional standard. Highest score for 5 days per week, 40 hours per week and 6 weeks paid vacation, can be adjusted to regional level.
	Safety at work	Including the frequency of work-related accidents and cases of illness on the farm, prevention measures taken to prevent them and risk of illegal child labor.
	Wage and income level	Comparing the income of people working on the farm against their financial needs. Self-employed workers are also asked about the farm’s financial results (e.g. changes in business value, private account deposits/withdrawals, building up of reserves, equity capital formation).
Quality of life ‘A high level of satisfaction with their work and their life in general is important for the physical, mental and social well-being of the people living on the farm. Quality of life, satisfaction and happiness are important indicators of successful sustainable development. Quality of life is achieved when individual goals are currently being met.’	Occupation and training	Including how important their occupation and initial and ongoing training are to them and satisfaction with current situation.
	Financial situation	Question about how important the financial situation is to the interviewees and how satisfied they are with it.
	Social relations	Including how important social relations are and the satisfaction with current situation.
	Personal freedom and values	Importance of personal freedoms and the ability to live by their personal values and their satisfaction in this regard.
	Health	Covering the importance of health (including stress) and the satisfaction with current situation.
	Other areas of life	Covering the importance of other areas of their lives and their satisfaction with current situation.

Table 3. Summary of ‘social well-being’ themes, sub-themes, and indicators in the SAFA sustainability assessment framework. From FAO (2013). QL = Qualitative indicator to be assessed through interviews by the person performing the assessment, QN = Quantitative indicator.

Theme	Sub-theme	Default indicator	Description of indicator
Decent livelihood	Quality of life	Right to quality of life	Individuals at the enterprise should 1) have an average workweek, voluntary overtime, regular breaks, etc., 2) be able to participate in culture of one’s choice, 3) have the ability to enjoy a culturally appropriate diet, and 4) have time to spend with family and friends. QL
		Wage level	The percentage of employees that are paid at least at or above the living wage for the region. QN. Highest score if 100%.
	Capacity development	Capacity development	Employees should have opportunities for capacity development, e.g. through attending training or conferences, or by discussing opportunities for advancement openly and fairly with management. Primary producers should have the possibility to adopt improved techniques, etc. QL
	Fair access to means of production	Fair access to means of production	Access to sufficient knowledge about practices through, for example, extension services and access to necessary equipment and facilities. QL
Fair trading practises	Responsible buyers	Fair pricing and transparent contracts	Primary producers’ rights to fair pricing, contracts or agreements. QL
	Right of suppliers	Right of suppliers	Buyer recognition and support of primary producers’ and suppliers’ rights to freedom of association and to collective bargaining.
Labor rights	Employment relations	Employment relations	That there are written agreements with employees that meet at least national and international labor treaties including social security and that employees understand these. QL
	Forced labor	Forced labor	Employees’ freedom to quit work or raise grievances without fear. QL
	Child labor	Child labor	Employment of children that negatively affects their right to be children and attend school. QL
	Freedom of association and right to bargaining	Freedom of association and right to bargaining	Employees’ freedom to negotiate as individuals or groups, or be part of a union which represents them. QL
Equity	Non discrimination	Non discrimination	Occurrence of discrimination of groups or by sexual identity in hiring, job allocation, promotions and firing, or in awarding contracts to suppliers. QL
	Gender equality	Gender equality	Occurrence of discrimination against women in hiring, remuneration, training, advancement, and access to resources. QL
	Support to vulnerable people	Support to vulnerable people	Support to disabled, young, and aged workers within the farm operation and also prevention of degradation of resources or opportunities for members of vulnerable groups in the community. QL
Human safety and health	Workplace safety and health provisions	Safety and health training	Provision of training in health and safety for employees, and ensuring that this training is effective. QL
		Safety of workplace, operations, and facilities	Provision of a workplace that is safe, clean, and healthy. QL
		Health coverage and access to medical care	Provisioning of health coverage and access to emergency medical care for employees. QL
	Public health	Public health	Avoiding pollution of the local community. QL
Cultural diversity	Indigenous knowledge	Indigenous knowledge	Recognition and respect the rights of indigenous communities upheld though fair contracts. QL
	Food sovereignty	Food sovereignty	Availability of inputs such as seeds and breeds of the farm’s choice with a focus on local and traditional variants. QL

Table 4. Summary of ‘socio-territorial’ components and indicators in the IDEA sustainability assessment framework. From Zahm, pers. com. FSA = farmer self-assessment, SC = set through predefined scoring system defined in the tool.

Component	Indicators	Description of the indicator
Quality of the products and land	Quality of foodstuff produced	Whether products are certified e.g. organic and linked to the territory. SC
	Enhancement of buildings and landscape heritage	Quality of landscape elements, e.g. hedges and trees, including the maintenance of old buildings and the architectural quality of new buildings to maintain rural heritage. FSA
	Processing of non-organic waste	Avoidance of burning organic waste and sorting and reuse of organic waste on-site. SC
	Accessibility of space	Access to the public, e.g. hikers and horses, and path maintenance. SC
	Social involvement	Involvement in associations, opening the farm to direct tastings and sales, housing near the farm. SC
Organization of space	Short trade	Local and direct sales. SC
	Autonomy and enhancement of local resources	Autonomy of feed supplies, use of local fertilizers, seeds, breeds, and energy, rainwater recovery. SC
	Services, multi-activities	Local commercial services, agro-tourism, educational farm, different types of social experiment projects. SC
	Contribution to employment	Creation of on-farm jobs in recent years, job creation through local employment networks, percentage of seasonal workers who live in the neighborhood. SC
	Collective work	Pooling of equipment and services, networking. SC
	Probable farm sustainability	Whether the farm is likely to exist in the future according to the farmer. FSA
Ethics and human development	Contribution to world food balance	Dependence on imported area for feed production, expressed in percentage of the total area. SC
	Animal welfare	Livestock access to clean water, comfort in the fields (e.g. shady areas, shelters) and inside farm buildings, health condition, grazing and confinement. SC
	Training	Training per working hours, reception of groups of professional visitors, e.g. students. SC
	Labor intensity	Number of weeks per year when the farmer considers he/she is overworking. FSA
	Quality of life	Self-perceived quality of life of the farmer. FSA
	Isolation	Self-perceived feeling of geographical, social, or cultural isolation. FSA
	Board facilities, hygiene, and safety standards.	Quality of reception and accommodation for temporary workers and trainees, safety of facilities and equipment. SC

Table 6. Mapping of the social indicators in each SAT that match the most important factors to describe social sustainability of Swedish farmers.

Factors most relevant for Swedish farmers (from survey in this study)	Indicators in RISE (HAFL, 2017)	Indicators in SAFA (FAO, 2014)	Indicators in IDEA (Zahm et al., 2008)
Having a good financial situation Experiencing a similar standard of living as other Not experiencing too much stress Finding work meaningful Having decent working hours Having a desirable family situation	Relevant: Working hours Wage and income level Financial situation Social relations Personal freedom and values Health (including stress) Missing aspects: Finding work meaningful	Social sustainability indicators targeted at farm workers and not the farmer himself/herself. For Sweden where most farms are family farms this is major limitation.	Relevant: Labor intensity Quality of lifeMissing aspects: Not experiencing too much stress Finding work meaningful Farmers perceived financial situation Having a desirable family situation

Table 5. Strength of correlation (Pearson’s rho) between life situation index and individual questions in the survey.

Question:	Rho
Do you have a good financial situation?	0.472**
Do you have a work situation with a reasonable level of stress?	0.470**
Do you have the same standard of living as others around you?	0.461**
Do you have the opportunity to create a desirable family situation?	0.451**
Do you feel that your work is meaningful?	0.443**
Do you have reasonable working hours?	0.426**
Do you have the opportunity to take time off work?	0.376**
Do you feel hope for the future of your own farm?	0.370**
Can you afford to hire the labor you need?	0.355**
Are you proud of the farming activities you are performing?	0.325**
Do you feel appreciation from society for the farming you are performing?	0.312**
Do you get a fair price on your products?	0.309**
Do you feel hope for the future of Swedish agriculture?	0.300**
Are you listened to and respected by friends and neighbors in your area?	0.271**
Do you think you compete on equal terms with other farmers within your product range in Sweden?	0.267**
Do you have good relationships with your neighbors?	0.264**
Is your farm a safe workplace?	0.263**
Are you able to live off what you earn from farming?	0.254**
Are you and your family healthy?	0.247**
Do you feel appreciation for your farming from friends, neighbors, and acquaintances in your area?	0.245**
Do you have close friends in your area?	0.245**
Do you have sufficient control over the land you use (you own it or have long-term lease agreements)?	0.244**
Do you have the opportunity to participate in local associations and networks?	0.242**
Do you have the opportunity to exchange services with other farmers and get help when you need?	0.236**
Can you run your production as you wish without being hindered by regulations?	0.228**
Are you listened to and respected by society at large?	0.222**
Do you have the opportunity to choose supplier of feed, manure, fuel, and other inputs?	0.219**
Are there organizations that successfully represent your interests (e.g. The Federation of Swedish Farmers)	0.212**
Do you have the opportunity to hire labor with the right skills (provided you can afford to do that)?	0.209**
Do you have the opportunity to influence the price of what you sell?	0.202**
Do you think you compete on equal terms with other farmers within your product range within the EU?	0.188**
Do you have access to relevant advisory services?	0.184**
Do you have access to relevant training in agriculture and business?	0.157**
Do you have access to veterinarians and other services related to animal production?	0.149**
Are the authorities you want to have contact with available?	0.141**
Do you have access to public and commercial services, such as schools, healthcare, shops, public transport, and pharmacies?	0.125**
Do you have the opportunity to influence decisions at local level (municipal and county level) that are important to you?	0.118**
Do you have the opportunity to influence decisions at national level that are important to you?	0.104**
Do you have access to alternative sources of income, e.g. snow plowing and tourism?	0.101*
Do your animals live a good life?	0.097*
Do you have access to broadband, roads, stable electricity, and other infrastructure?	0.063
Do you feel that administration and paperwork are unnecessarily extensive?	−0.118**
Do you feel affected by discrimination based on, for example, gender, background, sexuality, and age?	−0.158**
Do you feel affected by discrimination due to your farming practices (e.g. practicing organic or conventional agriculture and crop or livestock farming)	−0.227**
Do you feel alone?	−0.298**
Do you feel worried about your financial situation?	−0.299**

**Correlation significant at p < 0.01.

*Correlation significant at p < 0.05.

Table A1. Themes and indicators of RISE 3.0.

Themes	Indicators	Themes	Indicators
Soil use	Soil management Crop productivity Soil organic matter Soil reaction Soil erosion Soil compaction	Biodiversity	Biodiversity management Ecological infrastructures Intensity of agricultural production Distribution of ecological infrastructures Diversity of agricultural production
Animal husbandry	Herd management Livestock productivity Opportunity for species-appropriate behavior Living conditions Animal health	Working conditions	Personnel management Working hours Safety at work Wage and income level
Material use & environmental protection	Material flows Fertilization Plant protection Air pollution Soil and water pollution	Quality of life	Occupation and training Financial situation Social relations Personal freedom and values Health
Water use	Water management Water supply Water use intensity Irrigation	Economic viability	Liquidity Stability Profitability Indebtedness Livelihood security
Energy & climate	Energy management Energy intensity Greenhouse gas balance	Farm management	Business goals, strategy and implementation Availability of information Risk management Sustainable relationships

Table A2. Sustainability dimensions, themes, sub-themes, and indicators of SAFA.

Dimension	Theme	Sub-theme	Indicators
Good governance	Corporate ethics	Mission statement	Mission explicitness, mission driven
		Due diligence	Due diligence
	Accountability	Holistic audits	Holistic audits
		Responsibility	Responsibility
		Transparency	Transparency
	Participation	Stakeholder dialogue	Stakeholder identification, stakeholder engagement, engagement barriers
		Grievance procedures	Grievance procedures
		Conflict resolution	Conflict resolution
	Rule of law	Legitimacy	Legitimacy
		Remedy, restoration and prevention	Remedy, restoration, and prevention
		Civic responsibility	Civic responsibility
		Resource appropriation	Free, prior and informed consent, tenure rights
	Holistic management	Sustainability management plan	Sustainability management plan
		Full-cost accounting	Full-cost accounting
Environ-mental integrity	Atmosphere	Greenhouse gases	Reduction target, GHG mitigation practices GHG balance
		Air quality	Air pollution reduction target, air pollution prevention practices, ambient concentration of air pollutants
	Water	Water withdrawal	Water conservation target, water conservation practices, ground and surface water withdrawals
		Water quality	Clean water target, water pollution prevention practices, concentration of water pollutants, wastewater quality
	Land	Soil quality	Soil improvement practices, soil physical structure, soil chemical quality, soil biological quality, soil organic matter
		Land degradation	Land conservation and rehabilitation plan, land conservation and rehabilitation practices, net loss/gain of productive land
	Biodiversity	Species diversity	Species conservation target, species conservation practices, diversity and abundance of key species, diversity of production
		Genetic diversity	Wild genetic diversity enhancing practices, agro-biodiversity in-situ conservation, locally adapted varieties and breeds, genetic diversity in wild species, saving of seeds and breeds
	Materials and energy	Material use	Material consumption practices, nutrient balance, renewable and recycled materials, intensity of material use
		Energy use	Renewable energy use target, energy saving practices, energy consumption, renewable energy
		Waste reduction and disposal	Waste reduction target, waste reduction practices, waste disposal, food loss and waste reduction
	Animal welfare	Animal health	Animal health practices, animal health
		Freedom from stress	Humane animal handling practices, appropriate animal husbandry, freedom from stress
Economic resilience	Investment	Internal investment	Internal investment
		Community investment	Community investment
		Long ranging investment	Long ranging profitability, business plan
		Profitability	Net income, cost of production, price determination
	Vulnerability	Stability of production	Guarantee of production levels, product diversification
		Stability of supply	Procurement channels, stability of supplier relationships, dependence on the leading supplier
		Stability of market	Stability of market
		Liquidity	Net cash flow, safety nets
		Risk management	Risk management
	Product quality and information	Food safety	Control measures, hazardous pesticides, food contamination
		Food quality	Food quality
		Product information	Product labelling, traceability system, certified production
	Local economy	Value creation	Regional workforce, fiscal commitment
		Local procurement	Local procurement
Social well-being	See Table 3

Table A3. Sustainability scales, components, and indicators of IDEA.

Scale	Component	Indicators
Agro-ecological scale	Diversity	Diversity of annual and temporary crops, diversity of perennial crops, animal diversity, use and conservation of the genetic heritage, crop rotation, enhancement and conservation of genetic heritage
	Organization of space	Cropping patterns, dimension of fields, organic matter management, ecological buffer zones, measures to protect the natural heritage, stocking rate, fodder area management
	Farming practices	Fertilization, effluent processing, pesticides and veterinary products, animal well-being, soil resource protection, water resource protection, energy dependence
Socio-territorial scale	See Table 4
Economic scale	Economic viability	Available income per worker compared with the national legal minimum wage, economic specialization rate
	Independence	Financial autonomy, reliance on direct subsidies from CAP and indirect economic impact of milk and sugar quotas
	Transferability	Total assets minus lands value by non-salaried worker unit
	Efficiency	Operating expenses as a proportion of total production value

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