World Development 169 (2023) 106285 Contents lists available at ScienceDirect World Development journal homepage: www.elsevier.com/locate/worlddev Impacts of hydropower development on locals’ livelihoods in the Global South Laura Castro-Diaz a,⇑, María Alejandra García b, Sergio Villamayor-Tomas c, Maria Claudia Lopez b a Global Institute of Sustainability & Innovation, Arizona State University, Tempe, AZ, USA b Department of Community Sustainability, Michigan State University, East Lansing, MI, USA c Institut de Ciència i Tecnologia Ambientals (ICTA), Universitat Autònoma de Barcelona a r t i c l e i n f o a b s t r a c t Article history: The construction of hydroelectric dams in the Global South and emerging economies is controversial; on Accepted 21 April 2023 one hand, advocates highlight the positive impacts at national and global scales, such as national devel- opment and independence from fossil fuels. On the other hand, opponents of dams stress the negative social-ecological impacts on the livelihoods of communities near construction sites, and the lack of local Keywords: communities participation in the decision making processes. Scholars have published a range of case Hydroelectric dams studies exploring the impacts of dams. However, there is no comprehensive understanding of how hydro- Global South electric dams impact people’s livelihoods and capital globally. In this study, we present a comparative Livelihoods Capital medium-N survey exploring the impacts of 33 large-scale dams on people’s natural, social, human, finan- Participation cial, and physical capital and the pathways of conditions that explain the changes in these capital in the Energy security Global South. To do so, we used the information from a qualitative meta-analysis of the social impacts of dams and fuzzy-set qualitative comparative analysis (fsQCA). Our results show that the types of people’s capital are impacted differently by the construction: natural, social, human, and financial capital are neg- atively impacted, whereas physical capital is often positively impacted. The fsQCA showed three main groups of pathways that explain the changes in capital. First, the study indicates that lack of local com- munities participation in decision-making processes negatively impacts all capital but physical. Second, regardless of the nation’s energy security, megadams generate primarily negative impacts on natural, social, and human capital and positive impacts on physical capital. Third, our results indicate the impor- tance of the World Commission on Dams in raising international awareness about the social-ecological impacts of dams despite a country’s energy-security status. Ó 2023 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/). 1. Introduction 2022; Gürbüz, 2006; Namy, 2010; Smyth & Vanclay, 2017), and as a solution for the lack of energy that still millions around the Hydropower is the world’s leading low-carbon electricity world face (IEA, 2018). However, research has shown that the con- source (IEA, 2021a). It will continue to be one of the primary struction of dams negatively impacts the lives, livelihoods and the energy sources, particularly in the Global South (also known as ecosystems around them (Cernea, 1997; Cernea & Maldonado, the Group of 77 and China) and emerging economies where there 2018; Scudder, 2005), often not providing them energy access is a boom in dam construction (Fan et al., 2022; Moran et al., 2018; (Aeria, 2016; Siciliano et al., 2018). For instance, Fan et al. (2022) Zarfl et al., 2015). National governments and the private sector found that recently built dams in Asia, Africa, and Latin America have incentivized hydroelectric dam construction, arguing it will are associated with a reduction in gross domestic product, popula- boost economic growth and energy independence (Fan et al., tion, and land cover near construction sites. The World Bank reported that in 2020, 9% of the world’s popu- lation, 733 million people, lacked access to electricity, and a signif- Abbreviations: WCD, World Commission on Dams; fsQCA, Fuzzy-set Qualitative icant percentage of that population lives in the Global South Comparative Analysis. ⇑ Corresponding author. (World Bank, 2022). Dams are seen as a path to provide energy E-mail addresses: Laura.Castro.Diaz@asu.edu (L. Castro-Diaz), garci425@msu. to those lacking access. But dam projects are controversial. Their edu (M.A. García), villamayortomas@gmail.com (S. Villamayor-Tomas), mlopez@m- advocates (i.e., dam authorities, governments, and engineering su.edu (M.C. Lopez). https://doi.org/10.1016/j.worlddev.2023.106285 0305-750X/Ó 2023 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/). L. Castro-Diaz, María Alejandra García, S. Villamayor-Tomas et al. World Development 169 (2023) 106285 companies) argue that dams bring modernization, technological are impacted. To do so, we selected 33 large-scale hydroelectric progress, national development, national prestige, control over dams in the Global South and emerging economies (Brazil, China, water supplies, and energy security (Atkins, 2019; Nüsser, 2003; and India) through a qualitative meta-analysis database of peer- Nüsser & Baghel, 2017). Dam promoters advocate that energy secu- reviewed articles exploring the social impacts of hydroelectric rity is positively associated with better human health, education, dams. Then we used fuzzy-set qualitative comparative analysis and higher incomes (Velez Echeverry et al., 2017; Grogran, 2016; (fsQCA) to identify the conditions’ pathways that explain the cap- Verneta et al., 2016) which improve well-being. Contrarily, dams’ ital change. fsQCA has been used in the past by scholars to compare opponents (i.e., activists, affected populations, and social justice dams in the context of anti-dam movements (Kirchherr et al., organizations) emphasize a range of negative social-ecological 2016) and to show the deficit in participation of affected commu- and economic impacts on those living close to dams, their liveli- nities across different dams (Garcia et al., 2021). hoods, and their ecosystems, as well as their lack of participation This study is novel because it adds to the literature on the in decision-making processes (Atkins, 2019; Garcia et al., 2021; impacts of dams by presenting a comprehensive comparative anal- Mayer, Garcia et al., 2022; Nüsser, 2003). Some authors have found ysis of how 33 hydroelectric dams built in multiple countries in the that the energy access argument is questionable since many rural Global South impact positively and negatively through a common communities, even some living nearby dams, still rely on polluting framing, that of capital: natural, social, human, financial, and phys- diesel generators and limited hours of electricity access (Aeria, ical. It builds off peer-reviewed cases that provide valuable infor- 2016; Brown et al., 2022; Green and Baird, 2016; Moran et al mation about the interaction of dam development conditions, 2022; Okuku et al., 2016; Siciliano et al., 2018). Despite these argu- such as the participation of local communities, the existence of ments and the extensive literature about the social impacts of international awareness of the impacts of dams that occurred with dams, there is still no comprehensive understanding of how hydro- the recommendations from the World Commission on Dams electric dams influence changes in people’s livelihoods in the Glo- (WCD), the country level of energy security, and the installed bal South. capacity of each dam. We also analyzed how these interactions The construction of hydroelectric dams happens under contexts could generate positive or negative changes in people’s capital. that include diverse social, institutional, political, and economic The results show the immense impacts caused by dam develop- conditions: for instance, global pressure for a fast energy transition ment on communities living near the construction sites and how (IPCC, 2022); a national need to be energy independent (Fan et al., each capital is affected differently. We shed light on the impor- 2022; IHA, 2003; Namy, 2010; Smyth & Vanclay, 2017); a call for tance of considering the impacts of hydroelectric dams from a sys- implementing participatory processes in dam development deci- temic approach, including positive and negative aspects, to reduce sion making (Garcia et al., 2021; WCD, 2000); and a higher aware- the inequalities and injustices this energy system generates. These ness of the social-ecological impacts of dams (Arantes et al., 2019; lessons are of great importance in the current discussion about WCD, 2000; Winemiller et al., 2016). In this study, we brought all energy transitions, which will likely increase the construction of these conditions together to understand their influence on chang- renewable energy systems such as hydropower, even in the Global ing people’s capital in areas near dams. North. Livelihoods encompass how different people make a living depending on where they live (Scoones, 2009). One way to assess livelihoods is through ‘‘capital” or ‘‘assets,” which are the resources 2. Theoretical background that individuals, households, and communities ‘‘combine, substi- tute and switch” (Scoones, 2009, p. 177) to make a living. In this This study aimed to explain the changes generated by hydro- research, we used capital, in particular natural, social, human, electric dams on people’s livelihoods using four causal conditions financial, and physical capital, as a tool to synthesize the positive of dam development associated with the changes in five types of and negative impacts of hydroelectric dams on people’s liveli- capital: natural, social, human, financial, and physical. The first hoods. Multiple authors have studied the effects of dams on liveli- condition is the participation of local communities, since scholars hoods. Still, most studies focus on the impacts on livelihood have highlighted the importance of participatory process in the strategies such as fisheries (Arantes et al., 2021; Castro-Diaz context of dam development (Garcia et al., 2021; WCD, 2000), et al., 2018) or agriculture (Calvi et al., 2019; Hausermann, 2018). and in mitigating the dam’s effects on people’s livelihoods Others focus their analyses on one type of capital and one dam. (Goulet, 2005; Hay et al., 2019). The second condition is the pres- For example, Mayer, Lopez et al. (2022) studied the changes in ence of international awareness of the impacts of dams enhanced structural and cognitive social capital in both resettled and host by the WCD report (Schulz & Adams, 2019; Sneddon & Fox, communities after the construction of the Belo Monte dam in Bra- 2008). The third is whether the country was energy secure when zil, and Kedia (2003) assessed the health impacts (human capital) the dam’s construction started or had to import energy to satisfy on resettled communities generated by the construction of Tehri its demand, which is related to the current pressure for fast energy dam in India. Few authors have looked at the concurrent changes transition and the need to be energy independent (Fan et al., 2022; in multiple types of capital. Sivongxay et al. (2017) described the IHA, 2003; Namy, 2010; Smyth & Vanclay, 2017). And the fourth changes in natural, financial, human, and physical capital near four condition is a project characteristic, the dam’s installed capacity, hydroelectric dams in Laos. Yet, there is no broad understanding of which often reflects its potential benefits (IHA, 2020; Siciliano & how hydroelectric dams built in the Global South impact people’s Urban, 2017; WCD, 2000). livelihoods and their capital. Scholars have explored the impacts of hydroelectric dams on people’s livelihoods from different perspectives and disciplines. 2.1. Outcomes: capital However, these multiple methodologies and methods make the comparison across dams challenging, limiting the ability to accu- We consider livelihoods in terms of access and control of capital mulate knowledge, recommend policies, and provide thoughtful (Bebbington, 1999; Ellis, 2000; Scoones, 1998, 2009). Thus, capital, information to diverse stakeholders in the hydropower sector besides being the resources that support individuals’, households’, (Kirchherr & Charles, 2016). In this study, we are exploring how and communities’ livelihood strategies (Bebbington, 1999; Ellis, the capital of local communities living near hydroelectric dams 2000), are also the assets providing people with the capabilities changed because of dam construction and how their livelihoods to be and act (Bebbington, 1999). 2 L. Castro-Diaz, María Alejandra García, S. Villamayor-Tomas et al. World Development 169 (2023) 106285 In particular, we look at five types of capital: Natural includes The relationship between access to capital and local’s participa- natural resources humans use for survival, such as land, water, tion works like a loop. When individuals participate in decision- plants, and animals (Ellis, 2000; Scoones, 1998). Social consists of making processes, their access to capital increases, and when indi- social networks, affiliations, and associations in which people par- viduals have access to a variety of capital, their participation and ticipate and from which they can derive/claim support that con- bargaining power also increase (Matsue et al., 2014; Radel, tributes to their livelihoods (Ellis, 2000; Scoones, 1998), as well 2012). Thus, we expect the lack of participation (LackPAR) in deci- as trust and reciprocity (Flora et al., 2016). Human refers to the sion making will decrease people’s capital. capabilities and potential of individuals and populations, such as education level and health status (Ellis, 2000; Flora et al., 2016; 2.2.2. International awareness of a dam’s impacts Scoones, 1998). Financial includes the stocks of cash that are Something that might have tamed the impacts of dam develop- accessed to purchase goods and access to credit, like income and ment since 1998 was the creation of WCD. The commission was savings (Ellis, 2000; Scoones, 1998). Physical comprises human- seen as a response to the controversies around dam construction built infrastructure and assets brought to existence by economic and its impacts (Scudder, 2001) and as a way to bring together production processes like houses, tools, machines, and land the dam’s opponents and supporters (Fujikura & Nakayama, improvements (Ellis, 2000; Flora et al., 2016). All these capitals 2009). It comprised actors from different backgrounds (local com- interact and contribute to sustainable livelihoods (Bebbington, munities, governments, academia, industry) and countries (Schulz 1999; Flora et al., 2016) and vary by individual, household, geo- & Adams, 2019). In 2000, WCD presented a final report highlighting graphical area, and other social characteristics (Bebbington, seven strategic priorities for sustainable dam construction and 1999; Scoones, 2009). Access and control over more capital imply including local actors in decision-making processes. The commis- greater opportunities to switch between activities to sustain liveli- sion elicited responses from the anti-dam movements and reac- hoods (DFID, 1999). tions from representatives of major dam-building nations Our research is an opportunity to provide a broad perspective (Sneddon & Fox, 2008). The report embraced participatory decision on the social impacts of dams on capital, not by trying to quantify making in planning, designing, and operating dams (Schulz & the effects but by describing how they are affected differently by Adams, 2019). the construction of dams. Thus, we are exploring the effects of Despite initial support, big dam-funding agencies like the World dams on capital and the pathways of conditions influencing the Bank and the Asian Development Bank did not adopt WCD’s guide- change in capital based on what researchers have found in their lines. They argued that the recommendations for participatory studies. decision making interfere with the rights of sovereign states to pursue development (Sneddon & Fox, 2008). Likewise, countries with plans for high-capacity hydropower, such as India, China, 2.2. Causal conditions to explain changes in capital and Brazil, did not endorse the report because they felt the guide- lines would limit their energy development goals (Fujikura & 2.2.1. Participation Nakayama, 2009). However, other funding agencies, such as the In the context of hydroelectric dams, researchers have shown African Development Bank and the German KfW Development that the impacts generated by their construction depend to some Bank, have followed the recommendations (Scheumann & degree on the participation of local actors in a fair and equitable Hensengerth, 2014; Schulz & Adams, 2019). In addition, WCD has decision-making process or procedural justice (Siciliano & Urban, been very important, since it provided a way to legitimize the 2017). Procedural justice is concerned with decision-making prac- social movements around dams, improved awareness about the tices and calls for equitable procedures that engage all stakehold- need for more participatory processes and brought to the conver- ers (Jenkins et al., 2016). In the case of hydroelectric dams, dam sation the social and ecological impacts of dams in peoples’ liveli- authorities and governments often do not consider principles of hoods (Schulz & Adams, 2019; Sneddon & Fox, 2008). procedural justice (Garcia et al., 2021; Mayer et al., 2021; Mayer, Lack of international awareness of hydroelectric dam impacts Garcia et al., 2022) because they do not acknowledge the needs before the WCD (LackINT) is the second causal condition of this of local populations, and they repurpose control and access of cap- research. We expected dams constructed after the commission’s ital resources that support local people’s livelihoods, for example, establishment to have better guidance to protect people’s liveli- food, forests and water, for building the project and feeding its hoods and, therefore, have fewer negative impacts on their capital. workers (Siciliano & Urban, 2017). Since the 1970s, researchers, practitioners, and even WCD have suggested including affected populations in decision making for 2.2.3. Energy security dam development to mitigate the impacts on people’s livelihoods Hydropower is an attractive way of generating energy vis a vis (Goulet, 2005; Hay et al., 2019). For instance, Scudder (2005) noted climate change (Gerlak et al., 2019), because dams are advertised that involving resettlers requires not just their active participation as an alternative source to fossil fuels (Namy, 2010; Oud, 2002). in decision making but also the involvement of their expertise and Hydropower development organizations claim the need for ‘‘signif- consideration of their lifestyles. Participation should start during icantly more hydropower, to be built at a much faster rate if it is to the assessment process because it is when the social, environmen- tackle climate change” (IHA, 2020, p. 8). However, this statement is tal, and economic contexts are considered. However, procedures debatable since, in the tropics, hydroelectric dams generate such as consultation or negotiation with local actors are rarely con- methane, carbon, and other greenhouse gases (Barros et al., ducted in dam construction projects (Fainguelernt, 2011, Hay et al., 2011; De Araújo et al., 2019; Scherer & Pfister, 2016), which are 2019, Mayer, Garcia et al., 2022). Some would argue that environ- drivers of climate change. mental impact assessments and social impact assessments ensure Dams are promoted as a key component of national economic the participation of local communities, but evidence shows that development (Nüsser & Baghel, 2017) since they supply cheap these assessments are often done poorly, sometimes even by the electricity (da Costa, 2014). Their supporters argue the need to same companies that build the dams, people living in these territo- build dams to increase the countries’ energy security (Atkins, ries are often not involved/consulted, and governments have 2019), particularly in Global South nations, where there is still a started the construction of dams without the completion of these lack of access to electricity (Siciliano et al., 2015; World Bank, assessments (Fainguelernt, 2011; Gerlak et al., 2019). 2022). 3 L. Castro-Diaz, María Alejandra García, S. Villamayor-Tomas et al. World Development 169 (2023) 106285 The polysemic concept of energy security appears precisely in ing on the social impacts of large-scale hydroelectric dams1 in the the discussions on climate change and energy (Chester, 2010). In Global South. We selected 1980 as the starting date because it was this research, we understand that a country is energy secure the year The World Bank established the first international standard when it has enough resources to meet its energy demand on resettlement (Vanclay, 2017). This screening yielded 129 peer- (Bruckner et al., 2014), with no energy supply interruptions, reviewed papers studying 87 dams. Then we developed a codebook and when it is not dependent on other countries (Chester, and a coding protocol. The coding process involved two stages. First, 2010). This one of the reasons why the most biodiverse water all four coders collaboratively coded a selection of papers to become basins in the world like Congo, Mekong, or the Amazon, are familiar with the codebook and the coding process. Then each coder exploiting their hydropower potential building dams to reduce coded a separate batch of studies using NVivo 12 software. energy insecurity in their territories (Winemiller et al 2016). We used the database of the qualitative meta-analysis for infor- Such is the case of Brazil, where more than 67% of domestic mation about the various types of capital and local communities’ energy depends on hydropower (IEA, 2021b). A country with a participation in dam decision-making processes. We obtained vulnerable or less energy-secure system will have a high share information about the dam’s installed capacity in MW and the year of energy imports, making it susceptible to energy price volatil- construction began from the qualitative meta-analysis and verified ity (Global Network, 2010). with other sources such as the Global Atlas of Environmental Justice Nations commonly propose energy-security policies focused on (EJAtlas, 2019). For each dam, we collected information on the strategies to secure low-cost and reliable electricity generation and country’s net energy imports from World Bank (2015). transport supplies, reducing energy imports (Global Network, 2010). We expect that less energy-secure countries (import more 3.1.1. Data aggregation at the dam level energy than export) will generate more negative impacts on peo- We selected 147 case studies from 89 articles (see Appendix 1) ples’ capital. These countries’ policies mainly focus on reducing representing 33 dams in 18 countries. A case study describes what energy imports by developing low-cost energy sources. Hydro- was happening with one population/group in a specific period power is portrayed as a low-cost energy source because, in most because of a dam; one paper could include more than one case cases, economic benefits tend to be overestimated and social- study. For example, in our research, an article describing the ecological impacts and construction costs are underestimated impacts of a dam on a host community and one that is resettled (Moran et al., 2018; Scudder, 2005). The variable we used in the was codified as two case studies. This approach allowed us to con- analysis was energy security (LessES) based on net energy imports, sider the heterogeneity of communities impacted by dams. For this estimated as the percentage of energy use less production. process, we used the collapse command in Stata 16 software to merge the case studies’ information per dam, giving us the average 2.2.4. Installed capacity values of the different cases per dam. We chose these 33 dams Installed capacity is a project-specific condition that indicates from our meta-analysis because we had data on them for all types the quantity of electricity measured in megawatts (MW) the dam of capital and the causal conditions (except for energy security). generates. The dam size usually reflects its potential benefits Table 1 presents information about the 33 dams included in the (WCD, 2000), such as increasing energy access (IHA, 2020; analysis: name, country, year of construction, installed capacity, Siciliano & Urban, 2017). This supposed installed capacity is often and if the country was a net energy importer by the time construc- not achieved after the dam’s construction because of climate vari- tion started. ability, as is the case with the Belo Monte in Brazil (Stickler et al., Our study has some limitations. First, our qualitative meta- 2013). Governments and dam authorities promote hydroelectric analysis dataset only includes papers written in English; we dams by pointing to their installed capacity rather than their effec- acknowledge that scholars are conducting and publishing high- tive capacity during low-water periods (Winemiller et al., 2016). A quality research about the social-ecological impacts of dams in recent global study of 631 dams confirmed that in regions where other local languages. Second, the 33 dams included in our analysis dams with large installed capacity are built, there is a reduction were selected because they were in the meta-analysis dataset and in the gross domestic product, and a reduction of land cover (Fan scholars have explored all five types of capital for each dam. This et al., 2022). Thus, we assumed that the larger the installed capac- means that some critical large dams were left out due to lack of ity (LargeIC) of a dam, the more negative impacts it will have on information. people’s capital. 3.2. Data analysis 3. Research design In fsQCA, the outcome is understood as the phenomenon to be To explore the configurations among the causal conditions pre- explained, and causal conditions as the characteristics that are associated with the outcome in question. fsQCA aims to determine sented in Section 2.2 in relation to the changes generated by hydroelectric dams on people’s capital, we used secondary sources which combinations of factors (causal conditions) are most closely associated with the outcome. In this research, the changes in each of information and our database of a qualitative meta-analysis of peer-reviewed papers exploring the social impacts of hydroelectric capital (natural, social, human, financial, and physical) due to dam construction are different outcomes. The causal conditions were dams. For data analysis, we used fsQCA. the same for all outcomes: local communities’ participation, inter- national awareness of a dam’s impacts, energy security, and 3.1. Data collection installed capacity. fsQCA allows the analysis of small or intermedi- ate n of purposively selected cases. It is a method that creates a We conducted a qualitative meta-analysis to explore the social bridge between qualitative and quantitative approaches to mea- impacts of hydroelectric dams in the Global South. This method surement because it is both case-oriented (fsQCA compares cases involves summarizing the depth and complexity of case studies according to a standard coding scheme designed by the research 1 Based on the definition of the International commission on large dams (Icold), team. We first conducted a literature search using Google Scholar large-scale dams have a wall higher than 15 m. We chose this definition because it following these criteria: peer-reviewed articles (indexed) written has been used by various scholars studying the social impacts of dams, such as in English, published between January 1980 and May 2019, focus- Scudder (2005). 4 L. Castro-Diaz, María Alejandra García, S. Villamayor-Tomas et al. World Development 169 (2023) 106285 Table 1 Dams included in the analysis. Dam Country Year construction started Installed capacity (MW) Net energy importer at start of construction A luoi Vietnam 2007 170 No Aswan Egypt 1960 2100 Not Available Ataturk Turkey 1983 2400 Yes Bagre Burkina Faso 1989 16 Not Available Bakun Malaysia 1996 2400 No Batang Ai Malaysia 1982 100 No Belo Monte Brazil 2011 11,233 Yes Bili Bili Indonesia 1991 19.25 No Bui Ghana 2009 400 Yes Chixoy Guatemala 1976 280.983 Yes Cirata Indonesia 1984 1008 No Gilgel Gibe I Ethiopia 1988 184 Yes Gilgel Gibe III Ethiopia 2006 1870 Yes Gitaru Kenya 1975 225 Yes Kamburu Kenya 1971 93 Yes Kamchay Cambodia 2006 193.2 Yes Kaptai Bangladesh 1957 230 Not Available Kiambere Kenya 1983 165 Yes Kindaruma Kenya 1968 72 Not Available Kotmale Sri Lanka 1979 201 Yes Masinga Kenya 1978 40 Yes Nam Theun 2 Laos 2005 1075 Not Available Ralco Chile 1998 690 Yes Saguling Indonesia 1983 700 No Sardar Sarovar India 1987 1450 Yes Sobradinho Brazil 1973 1050 Yes Son La Vietnam 2005 2400 No Tehri India 1978 1000 Yes Theun Hinboun Laos 1994 210 Not Available Three Gorges China 1994 22,500 No Wonorejo Indonesia 1992 6.2 No Xenamnoy Laos 2013 410 Not Available Xepian Laos 2013 410 Not Available as representations of configurations) and variable-oriented (fsQCA 0.5, and if it had more negative variables than positive, it was cal- pays attention to specific individual conditions) (Marx et al., 2014). ibrated as 1. For the analysis, we calibrated both the outcomes and causal For our first condition, Participation (LackPAR), we used a four- conditions, then tested the necessity and sufficiency of each causal value scheme based on scales from non-participation to citizen condition for every outcome with the software fsQCA 3.0. A causal control (Arnstein, 1969; Pretty, 1995; White, 2011). We used four condition is necessary if it must be present for the outcome to variables from the meta-analysis for calibrating this condition: occur, whereas a causal condition is sufficient if it can produce a participation, consultation and information, choice, and negotia- specific outcome (Ragin, 2014). For the analysis of necessity, we tion (see Appendix 3). The calibration ranges from No public partic- selected a consistency threshold of 0.9 or higher, as suggested by ipation (full membership = 1) when locals could not engage in any Schneider and Wagemann (2012). For sufficiency, as Ragin (2005) level of participation to Some participation occurred (full non- recommended, we selected a consistency level of above 0.75. membership = 0) when local communities could choose or negoti- ate in decision making. The calibration values between the extremes were Poor participation occurred (partly in member- 3.2.1. Calibration ship = 0.67) when locals were consulted or participated in the Calibration, in fsQCA, is an analytical process by which decision-making process but did not have the opportunity to researchers transform qualitative or quantitative data into crisp choose or negotiate and Low participation occurred (partly out or fuzzy sets (Basurto & Speer, 2012; Fiss, 2011; Schneider & membership = 0.33) when local communities were engaged in at Wagemann, 2012). For the outcomes, we first created indices for least two levels of participation. each capital from variables of the qualitative meta-analysis (see We calibrated International awareness (LackINT), the second Table 2 and Appendix 2 for a description of each variable). The condition, in a two-value scheme: after the publication of the indices ranged from 7 to 5; the lower the index, the more the WCD report in 2000 (full non-membership = 0) and before its pub- variables belonging to that capital decreased (Table 2). Thus, a lication (full membership = 1). dam with six negative variables and one positive in a specific cap- The third causal condition, Energy security (LessES), is a proxy of ital will have a value of 5. the country’s energy security during the initial year of dam con- Then we calibrated each capital in each dam as a particular out- struction. We used a two-value scheme to calibrate this causal con- come based on the index value. We used direct calibration, which dition: Energy secure or net exporter countries (full non- requires the researcher to select the values of a scale that corre- membership = 0) and less energy secure or net energy importer spond to the breakpoints of the set (Ragin, 2008). This type of cal- countries (full membership = 1). A country is a net energy importer ibration allows for replication and validation (Pappas & Woodside, if energy use is higher than the production in a year. Countries with 2021). We calibrated the index scores into a three-value scheme— no information available were calibrated as the crossover point: 0, 0.5, and 1—to indicate full non-membership, the crossover point, 0.5, which in fsQCA is the value of maximum ambiguity and repre- and full membership (see Table 3). Then, for each capital, if a dam sents cases that are categorized as neither full membership nor full had more positive variables than negative ones, it was calibrated as non-membership (Ragin, 2008). 0; if it had the same number of positive and negative variables as 5 L. Castro-Diaz, María Alejandra García, S. Villamayor-Tomas et al. World Development 169 (2023) 106285 Table 2 Capital indices. Outcome Variable Index distribution Natural capital Capital natural Soils Fish quantity Fisheries access Natural areas and products access Natural products quantity Water quality Water access Livestock amount Compensation natural capital Social capital Capital social Community trust Cultural activities Friends and family connections Site neighbors Immigrants Conflict Human capital Capital human Food access Food security Health Health access School Sanitation Standard of living Self-reported well-being Compensation human Financial capital Capital financial Income Income inequality change Crop yield Employment Monetary compensation Physical capital Capital physical Electricity access Compensation communities Physical compensations (e.g. house) 6 L. Castro-Diaz, María Alejandra García, S. Villamayor-Tomas et al. World Development 169 (2023) 106285 Table 3 and depression (Hausermann, 2018; Xi, 2016). However, some Calibration of outcomes. local communities also increased their access to health (Mishra & Value Outcome’s Calibration Description Kahssay, 2015), education (Fujikura & Nakayama, 2013), and sani- 1 Index Full Mostly negative impacts tation services (Yoshida et al., 2013). value  1 membership Aspects of financial capital are frequently mentioned in the lit- 0.5 Index Crossover The same number of positive and erature. At least one aspect of this capital was described in 83% of value = 0 point negative impacts the case studies (Fig. 1), including income, savings, and cash com- 0 Index value Full non- Mostly positive impacts 1 membership pensations provided by dam authorities. Financial capital had both positive (37%) and negative (63%) aspects (Fig. 2). For instance, resettled households experienced a decrease in their income potentiated by the loss of their natural resources, which were For the last condition, Installed capacity (LargeIC), we used a sources of food and cash (Bui & Schreinemachers, 2011). Further- four-value scheme to differentiate between the smaller dams and more, their livelihoods were impacted negatively by a drop in megadams. We assigned a value for each percentile from smaller income and high housing prices in resettlement areas (Howe & dams (full non-membership), fairly large dams (partly out mem- Kamaruddin, 2016). In some cases, families were displaced but bership), large dams (partly in membership) to megadams (full not resettled into new houses; some received cash compensation membership). and were responsible for finding a new place to live. The most Table 4 contains information about the calibration of the causal common type of compensation dam authorities provided to conditions (See Appendix 4 for expanded information about the affected communities was cash, which increased financial capital calibration process). in the short run. Still, if that was all people received, it certainly was not enough to restore their livelihoods (Cernea, 1997). 4. Results and discussion Finally, just 62% of the case studies made at least one reference to physical capital (Fig. 1), including houses, roads, and other phys- We start by describing the distribution of the impacts on each ical infrastructure. Not surprisingly, physical capital was the least capital reported in all 147 studies used in this research. Then we negatively affected capital in these cases. Only 17% of the case present the fsQCA configurations that explain the change in each studies described negative issues, whereas 82 % indicated positive capital for the 33 dams. aspects such as improved housing, roads, schools, health centers, and markets (Hensengerth, 2018; Jusi, 2006). Some of these 4.1. How does capital change after dam construction? aspects not only generated benefits to the local area but were nec- essary for the operation of dam builders (i.e., roads or hospitals). Fig. 1 presents the percentage of the 147 cases that studied the Nonetheless, in most cases, resettled communities lost their impacts of hydroelectric dams in at least one variable of each cap- houses and other physical assets due to resettlement (Faure, 2003). ital. As shown, not all cases considered all capital; however, this Fig. 3 summarizes the context of capital at the dam level. This was not problematic since our study was conducted at the dam figure reflects the distribution of positive and negative impacts level. Fig. 2 shows the distribution of positive and negative impacts after collapsing the information from all cases per dam. Among among those cases that considered variables of different types of the 33 hydroelectric dams in the analysis, 27 mainly had negative capital. impacts on natural capital, 29 on social, 22 on human, 19 on finan- Fig. 1 shows that 82% of the case studies described at least once cial, and three on physical capital. On the other hand, 22 of the an aspect of change in natural capital; among those, it is noticeable dams had primarily positive impacts on physical capital. that most of the case studies report negative impacts except for This section has offered a broad description of how hydroelec- physical capital (Fig. 2). It is very important to consider the effects tric dams generate multidimensional impacts on people’s capital. of dams on natural capital because, in rural communities, this cap- These results support our assumption that the construction of ital is the basis for supporting all the other capitals (Flora et al., dams will impact people’s capital differently because each capital 2016). Scholars reported that local actors had lost access to supports different aspects of their livelihoods. In the next section, common-pool resources such as rivers, forests, and pasture land we present the fsQCA configurations, which provide a deeper (Abrampah, 2017; Bisht, 2009). Another common issue was the understanding of the conditions that led to the changes in capital decrease in soil quality, which was prevalent in the case of reset- due to hydroelectric dam development. tlers who received land of worse quality, including infertile soils compared to what they had before the resettlement, preventing 4.2. fsQCA configurations them from planting quality crops and threatening their food secu- rity (Aeria, 2016; Urban et al., 2015). In this section, we describe the configurations of conditions that Only 58% of the case studies referred to at least one variable of explain the presence of primarily negative impacts in natural, social capital, demonstrating that this capital was less studied in social, human, and financial capital and mostly positive impacts the literature (Fig. 1). Still, 95% of the impacts were negative when in physical capital. In the analysis of necessity, we found that none it was reported. These impacts include the loss of traditional cere- of the causal conditions is necessary for the presence of the out- monies due to resettlement (González-Parra & Simon, 2008; comes, which means that none of the causal conditions must be Nguyen et al., 2017) and the loss of social networks because house- present for any capital to change. Results for all conditions in each holds were often resettled in different locations than their friends outcome are presented in Appendix 5. and relatives (Leturcq, 2016). Among the few positive impacts on Table 5 shows the 13 configurations of causal conditions or social capital, researchers have shown that, in some cases, host pathways that are sufficient to explain the presence of primarily communities have increased their participation in associations negative impacts in natural, social, human, and financial capital after resettlement (Bui & Schreinemachers, 2011). and the presence of mostly positive impacts in physical capital Human capital was included in 79% of the case studies; among (see Table 5 and Appendix 5 for extended information about the those, 75% reported primarily negative impacts. For instance, solutions). The table includes all sufficient pathways and their cov- scholars informed an increase in disease transmission (Gyau- erage or empirical relevance and consistency. Each pathway’s raw Boakye, 2001; Kedia, 2003), hunger, malnutrition (Hall, 1994), coverage (RC) represents the proportion of dam projects explained 7 L. Castro-Diaz, María Alejandra García, S. Villamayor-Tomas et al. World Development 169 (2023) 106285 Table 4 Causal conditions calibration. Causal condition Value Calibration Source Participation (LackPAR) Full membership 1 No public participation occurred Qualitative meta-analysis Partly in 0.67 Poor participation occurred membership Partly out 0.33 Low participation occurred membership Full non- 0 Some participation occurred membership International awareness Full membership 1 Construction started before publication of the WCD WCD (2000), qualitative meta-analysis, and (LackINT) report EJAtlas (2019) Full non- 0 Construction started after publication of the WCD membership report Energy security (LessES) Full membership 1 Less energy-secure country (net energy importer) World Bank (2015) Crossover point 0.5 Country is neither a net energy importer nor a net energy exporter Full non- 0 Energy-secure country (net energy exporter) membership Installed capacity Full membership 1 1870 MW or more mega dam The qualitative meta-analysis and EJAtlas (2019) (LargeIC) Partly in 0.67 1075–1869 MW large dam membership Partly out 0.33 400–1074 MW fairly large dam membership Full non- 0 Less than 400 MW smaller dam membership Fig. 1. Percentage of case studies that explored the impacts of dams in at least one capital variable. Fig. 2. Distribution of capital indexes at the case-study level. by the pathway, including those in other pathways. The unique the various types of capital. The solution for the decline of natural coverage (UC) represents the proportion of dam projects explained capital has three pathways (1, 8, and 10 in Table 5). The first con- by that pathway. The consistency (C) score is a value that assesses figuration indicates that dams with poor or lack of local communi- the sufficiency of each pathway. For example, the pathway Lack- ties participation (LackPAR) explain the presence of mostly PAR for natural capital explains that 80% RC of the dams had negative impacts in this capital. The second configuration (LargeIC mostly negative impacts on this capital and are included in other *  LessES) indicates that large and megadams in energy-secure pathways. LackPAR has UC of 0.15, which indicates that this path- countries also generate mostly negative impacts on natural capital. way alone covers 15% of the dams not included in other pathways, The last pathway shows that dams constructed with a lack of inter- and it has C of 0.95. High consistency suggests that the configura- national awareness about dams’ social impacts (LackINT) suffi- tion is sufficient to generate the outcome. In this study, high con- ciently explain the presence of mostly negative impacts on sistency indicates the presence of mostly negative or positive natural capital. impacts in a capital. The solution for social capital has three pathways (1, 7, and 11 First, we briefly describe the solutions for each capital; then we in Table 5) sufficient to decrease social capital. The first pathway explore in depth how different pathways explain the changes in (1) is shared with natural capital; this indicates that dams with 8 L. Castro-Diaz, María Alejandra García, S. Villamayor-Tomas et al. World Development 169 (2023) 106285 Fig. 3. Distribution of positive and negative impacts across 33 large-scale dams. poor or lack of local communities participation (LackPAR) explain 4.2.1. Local communities participation and international awareness the presence of primarily negative impacts on social capital. The One of the most recognized contributions of the WCD report other two pathways (7 and 11) show that dams built in less (2000) is how it acknowledges the need of participatory processes energy-secure countries combined with a larger installed capacity across all stages of dam construction (Schulz & Adams, 2019). Par- (LargeIC * LessES) or built with a lack of international awareness ticipation, as a concept, has been used by dam developers as a buz- about the social impacts of dams (LackINT* LessES) are sufficient zword to indicate their projects are fulfilling the requirements. to explain the presence of primarily negative impacts on social However, their ‘‘participation” processes are far from addressing capital. procedural injustices. Mayer, Garcia et al. (2022) have described For human capital, the solution has three pathways (3, 6, and 7 the participation processes in dam development as ‘‘pretend par- in Table 5). Pathways 3 and 6 show that dams built with poor or ticipation,” since the mechanisms provided by developers are com- lack of local communities participation that were constructed pletely inadequate. Table 5 shows six pathways (1–6) that include before or after the publication of the WCD report (2000) and in the interaction between local communities participation and inter- energy-secure or less energy-secure countries (LackPAR* LackINT national awareness to explain the changes in capital. Our results * LessES + LackPAR*  LackINT*  LessES) are sufficient for explain- prove that poor or lack of local communities participation is ing the presence of primarily negative impacts on human capital. related to primarily negative impacts on natural, social, human, Pathway 7 shows that large dams and megadams built in less and financial capital, and mostly positive impacts on physical cap- energy-secure countries (LargeIC * LessES) are sufficient for the ital. Thus, our results support the expectation that when individu- presence of primarily negative impacts. als or local communities do not participate in decision making, The solution for financial capital has two pathways (2 and 4 in most of their various types of capital will be negatively impacted. Table 5). Both pathways indicate that dams with poor or lack of However, as described in this section, not all types of capital are local communities participation and built in a context of lack of affected in the same way; the lack of participation in combination international awareness about the social impacts of dams in com- with other conditions has different effects on each capital. bination with lower large installed capacity (LackPAR * LackINT *  The first pathway, LackPAR, is sufficient to explain the presence LargeIC) or built in energy-secure countries (LackPAR * LackINT * of mostly negative impacts on natural and social capital. Its consis- LessES) are sufficient for explaining the presence of primarily neg- tency for both was 0.95, which implies that this condition is highly ative impacts on financial capital. likely to be sufficient to explain both outcomes. This pathway The final solution, which describes the presence of positive includes 20 dams: A luoi, Bagre, Bakun, Batang Ai, Belo Monte, impacts on physical capital, has four pathways (5, 9, 12, and 13 Bui, Chixoy, Cirata, Gilgel Gibe III, Gitaru, Kamburu, Kamchay, Kap- in Table 5). Pathway 5 indicates that dams built with lower or lack tai, Kiambere, Kindaruma, Masinga, Saguling, Sardar Sarovar, of local communities participation built after the publication of the Sobradinho, and, Tehri. These cases show that poor or lack of local WCD report (2000) are sufficient for the presence of primarily pos- communities participation is sufficient for the presence of mostly itive impacts on this capital (LackPAR* LackINT). Pathway 9 negative impacts on natural and social capital. For example, the shows that large dams and megadams with some level of local inhabitants of a community located downstream of Belo Monte communities participation are sufficient for the presence of mostly in Brazil were not included in decision making, and they lost fish positive impacts (LargeIC * LackPAR). The last two configurations species and access to the river (Castro-Diaz et al., 2018). Resettlers (12 and 13) illustrate that dams built after the WCD report (2000) did not choose to move (Randell, 2016), and the process generated in energy-secure countries (LackINT*  LessES) or with some level a separation from their families and acquaintances (Leturcq, 2016). of local communities participation (LackINT * LackPAR) are suffi- Likewise, Kedia (2004) described that in the case of Tehri in India, cient for the presence of mostly positive impacts on physical communities were forced to resettle, and they lost their land and capital. access to their forest. Furthermore, after relocation, they lost social As seen in Table 5, none of the pathways explains the change cohesion and cultural practices (Naithani & Saha, 2019). across all capital. There are three groups of configurations within The lack of local communities participation, in combination all of the solutions that indicate the presence of mostly negative with a lack of international awareness, is sufficient for the presence impacts on natural, social, human, and financial capital and mostly of mostly negative impacts on human capital (pathway 3) and positive impacts on physical capital: participation of local commu- financial capital (pathways 2 and 4). These pathways include 19 nities and international awareness, megadams and energy security, dams: Ataturk, Bakun Bagre, BatangAi, Chixoy, Cirata, Gitaru, Kam- and international awareness and energy security. buru, Kaptai, Kiambere, Kindaruma, Masinga, Saguling, Sardar 9 L. Castro-Diaz, María Alejandra García, S. Villamayor-Tomas et al. World Development 169 (2023) 106285 Table 5 Configurations of causal conditions. Pathway Natural Social Human Financial Physical capital capital capital capital capital 1 LackPAR RC: 0.8 RC: 0.78 UC: 0.15 UC: 0.28 C: 0.95 C: 0.95 Cases: 20 Cases: 20 2 LackPAR* LackINT * LargeIC RC: 0.48 UC: 0.29 C: 0.93 Cases: 10 3 LackPAR * LackINT * LessES RC: 0.446 UC:0.262 C:0.926 Cases:9 4 LackPAR* LackINT * LessES RC:0.34 UC:0.115 C:0.95 Cases:5 5 LackPAR*  LackINT RC:0.23 UC:0.19 C:1 Cases:5 6 LackPAR*  LackINT *  LessES RC:0.08 UC:0.056 C:1 Cases:1 7 LargeIC * LessES RC:0.36 RC:0.361 UC:0.05 UC:0.14 C:1 C:0.77 Cases:8 Cases:8 8 LargeIC *  LessES RC:0.23 UC:0.05 C:0.97 Cases: 5 9 LargeIC * LackPAR RC:0.205 UC:0.09 C:0.94 Cases:6 10 LackINT RC: 0.75 UC:0.11 C:0.95 Cases: 20 11 LackINT* LessES RC:0.45 UC:0.04 C:1 Cases:11 12 LackINT*  LessES RC:0.32 UC:0.24 C:0.89 Cases:7 13 LackINT* LackPAR RC:0.16 UC:0.03 C:1 Cases:5 Note: *, and;  absence; RC, raw coverage; UC, unique coverage; C, consistency; Cases, number of cases per pathway. Sarovar, Sobradinho, Tehri, Theun Hinboun, Three Gorges. For positive impacts on physical capital. Five dams are included in example, the Bakun in Malaysia, for which construction began in these pathways: A luoi, Belo Monte, Bui, Gilgel Gibe III, and Kam- 1996 (before the 2000 WCD report), did not conduct prior consul- chay. The construction of A luoi in Vietnam started in 2007, after tation with local indigenous communities, which violates the Uni- the 2000 WCD report. The participation process of locals was poor ted Nations Declaration on Indigenous Peoples (Aeria, 2016). In because they did not play any role in the decision-making process. other communities, the government provided information about Ty et al. (2013) reported that the province and district decided to the benefits of the dam (Siciliano & Urban, 2017). Still, there was build the dam, and locals were informed they would be evicted no negotiation process. After the dam’s construction, communities and resettled due to the construction. Resettled communities did not have the economic means to access their farmlands, which claimed that they were concerned about their food security since reduced their protein intake and food security (Choy, 2004; there was a reduction in the satisfaction of nutritional needs. Also, Siciliano & Urban, 2017). the authors described how the resettlement area had a hospital The last group of participation conditions (pathways 5 and 6) building but no doctors or health workers. This reflects a typical indicates that dams lacking participation policies and built in a situation; in this case, there was a positive impact on physical cap- context of international awareness of the impacts of dams also ital with the construction of the hospital but no access to the ser- generate mostly negative impacts on human capital and primarily vices, negatively impacting human capital. 10 L. Castro-Diaz, María Alejandra García, S. Villamayor-Tomas et al. World Development 169 (2023) 106285 4.2.2. Megadams and energy security loss of aquatic mammals like river dolphins, and loss of riparian Table 5 displays the second group of configurations of causal areas (Beck et al., 2012). conditions (pathways 7, 8, 9) led by installed capacity (LargeIC). The third configuration (pathway 9) within this group indicates The results show that megadams generate mostly negative impacts that large dams and megadams with some level of local communi- on natural, social, and human capital and positive impacts on phys- ties participation are sufficient for the presence of mostly positive ical capital regardless of the nation’s energy security level. Our impacts on physical capital (LargeIC * LackPAR). This pathway results support the assumption that the larger the dam’s installed includes six dams: Nam Theun2, Ralco, Aswan, Son La, Xenamnoy, capacity, the more negative impacts it will have on people’s liveli- and Xepian. The Aswan High Dam, with 2100 MW of installed hoods, or at least in natural, social, and human capital. capacity, was built in the 1960s in Egypt. It had some level of First, we found that the largest dams in our analysis built in less local’s participation since, before the resettlement process, the energy-secure countries (LargeIC * LessES) generate sufficient con- government held meetings with community delegates (Weist, ditions for the presence of more negative impacts on social and 1995). For its construction, new roads were built, which increased human capital. This pathway (7) includes eight dams: Ataturk, Belo local actors’ access to urban facilities such as health centers, police Monte, Bui, Gilgel Gibe III, Ralco, Sardar Sarovar, Sobradinho, and stations, transportation systems, markets, and schools (Weist, Tehri. A well-known case among these dams is Sobradinho, a 1995). dam with 1050 MW of installed capacity, built during the 1970s under a Brazilian military dictatorship and in a context when Brazil 4.2.3. International awareness and energy security depended on energy imports. The dam was conceived to respond The last group of configurations (pathways 10, 11, 12, and 13) to the country’s growing urban and electricity requirements and reflects the effects of international awareness about the social- to reduce petroleum imports (Hall, 1994). Hall (1994) reported ecological impacts of large-scale hydroelectric dams in local com- that 4150 km2 were flooded for its construction, and around munities. The pathways show that the effect of international 120,000 people were displaced without a resettlement program. awareness in protecting peoples’ livelihoods maintains despite Additionally, because of the lack of planning and processes of the context of energy security. Our results support the assumption expropriation used, local actors suffered from psychological stress that dams built after the publication of the 2000 WCD report, in a and widespread hunger and malnutrition, which reflect negative context with more international awareness about the social impacts on human capital. Cernea and Maldonado (2018) impacts of dams, have better protocols to protect people’s liveli- described the case of Sobradinho as a social disaster that acted as hoods and, therefore, fewer negative impacts on capital. a stimulus for generating radical changes, such as the implementa- Pathways 10 and 11 (LackINT + LackINT*LessES) indicate that tion of the World Bank’s first international standard on resettle- dams built in less energy-secure countries before the WCD report ment in 1980 (see also Mathur, 2011; Vanclay, 2017). generate mostly negative impacts on natural and social capital. Megadams in energy-secure countries generate negative These pathways support our assumption that dams built without impacts on natural capital (LargeIC * LessES), as in the cases of international awareness about the social impacts of dams in less Bakun, Cirata, Saguling, Son La, and Three Gorges. All these dams energy-secure countries generate more negative impacts on capi- are located in Asia and financed by Asian agencies such as the tal. Twenty hydroelectric dams are included in these pathways: China Export-Import Bank, the Overseas Economic Cooperation Aswan, Ataturk, Bagre, Bakun, BatangAi, Bili Bili, Chixoy, Cirata, Gil- Funds of Japan, the Asian Development Bank, and the China Devel- gel Gibe I, Gitaru, Kamburu, Kaptai, Kiambere, Kindaruma, Kot- opment Bank. This pathway (8) does not support our assumption male, Masinga, Saguling, Sardar Sarovar, Sobradinho, and Tehri. that countries with less share of energy imports will generate For example, Gitaru dam was constructed in 1975 in Kenya while fewer negative impacts on peoples’ capital. Still, it would be essen- the country depended on energy imports for its supply. Gitaru tial to investigate where the energy produced by these dams will has an installed capacity of 225 MW, and as a result of its construc- end up going, because it will likely go to another country. Here tion, areas were flooded, which mainly generated negative impacts we are showing cases of Asian hydroelectric megadams built in on natural and social capital. For instance, after the dam’s con- energy-secure countries that caused mostly negative impacts on struction, there was a decrease in arable land and crop yields, forc- natural capital. ing landowners to build irrigation systems increasing their For example, Saguling was built in an energy-secure country production cost. Contrarily, in areas located downstream from and negatively impacted natural capital. It was constructed in the dam, the flooding of the reservoir increased the drying of flood- 1983 in Indonesia, the largest energy producer in Southeast Asia plains and decreased riverine forests and access to gathering activ- (IEA, 2021b), to increase the reliability of the electricity system, ities (Okuku et al., 2016). Okuku et al. (2016) also reported social reserve petroleum, and improve the irrigation system, among disintegration in the communities impacted by the dam’s con- others (Nakayama, 1998). In the case of natural capital, farmers struction due to the lack of roads and an increase in conflicts lost more than 4713 ha of productive farmland (Nakayama, between different groups. 1998), fish species declined (Sunardi et al., 2013), and pollution Finally, dams built before the the WCD report in a fairly energy- levels increased due to the population increase in the resettlement secure country or with better participation policies areas (Manatunge et al., 2009). (LackINT*LessES + LackINT*LackPAR) generated mostly positive Another case presented in this pathway is the Three Gorges impacts on physical capital. Pathways 12 and 13 include ten Dam, the largest dam in the world, which has displaced the largest hydroelectric dams: Aswan, Bakun, Batang Ai, Bili Bili, Cirata, Gilgel number of people, around 1.13 million (Wang et al., 2013; Gibe I, Kotmale, Saguling, Three Gorges, and Wonorejo. To illus- Wilmsen, 2016). Its construction began in 1994 in the Yangtze trate, during the resettlement process for Wonorejo dam in River (China). This dam was expected to generate 10% of the elec- Indonesia, built under a context of energy security, families whose tricity demand of China (Salazar, 2000) and reduce flooding and houses were going to be flooded received support from local control navigation (Yan, 2010). Scholars have reported a variety authorities to negotiate cash compensation. After resettlement, of impacts generated by this megadam. To mention some, the loss families reported their houses were larger than before, and public of land for farming (Heggelund, 2006; Wilmsen & van Hulten, facilities, such as roads, were better than those in their previous 2017); lower quality of soils after resettlement (Tan et al., 2005); settlements (Sisinggih et al., 2013). 11 L. Castro-Diaz, María Alejandra García, S. Villamayor-Tomas et al. World Development 169 (2023) 106285 5. Conclusions result is critical, since their active participation, power, and recog- nition will mitigate and reduce the negative impacts of energy The social impacts of hydroelectric dams have been studied development in their lives. Thus, to pursue equitable and just pro- from different perspectives. On one side, dam advocates highlight cesses in energy development projects, policy-makers and practi- positive impacts, whereas dam opponents present negative ones. tioners should allow local people’s participation in decision In this study, we explored hydroelectric dams’ positive and nega- making. tive impacts on capital, specifically how they impact the liveli- When a dam is to be built, governments need to improve the hoods of communities living near construction sites. Our research design and implementation of environmental and social impact complements the literature on the social impacts of dams by pre- assessments. One way to do that is by assessing the livelihoods senting a comparative analysis of 33 large-scale hydroelectric of populations living near the construction area and include their dams bult in the Global South. So far, most of the literature focuses voices. In the past, those studies are often not done properly on one or multiple dams in one country, and among those, the (Moran et al., 2018), and when they are conducted, they do not majority assess one type of capital. Therefore, the results of our include the input of downstream populations. Governments and analysis bring into the literature a comprehensive and global view dam builders need to recognize that the impacts of dams are mul- of the social impacts of dams by assessing multiple types of capital tidimensional and over a long period of time, and that all popula- across dams in Africa, Asia, and Latin America. tions living near dams are affected in one way or another. In this The analysis showed that financial, human, and natural capital paper, we show that dams cause diverse positive and negative impacts are frequently studied. In contrast, the literature should effects on people’s capital. Allowing people’s participation in all further explore social and physical issues. Our results suggest that steps of the project could provide the knowledge and tools to peoples’ capital are impacted differently by the construction of ensure at least the restoration of local livelihoods to the conditions hydroelectric dams. Natural, social, human, and financial capital before the dam’s construction. are negatively impacted, whereas physical capital is often posi- All dams included in our analysis have a large installed capacity, tively impacted, mainly because dam construction companies need a characteristic used by governments to promote the potential better infrastructure like roads to conduct their operations suc- benefits of a dam for the nation while overlooking the potential cessfully. Other infrastructure, such as hospitals and schools, are local social-ecological and economic impacts. We presented how often promised during negotiations at the regional level. In many the construction of megadams in less energy-secure countries neg- cases, these are built in host communities or are part of the new atively impacts social and human capital, while causing positive resettlements created for people displaced by the construction or effects on physical capital. We also described how megadams built where the dam workers live. However, it is worth mentioning that in energy-secure countries generate negative impacts on natural physical capital does not ensure the provision of services. As capital. This is consistent with the results found by Fan et al. Mayer, Lopez et al. (2022) found, the construction of a school or (2022), showing how large-scale dams negatively impact land a health center does not guarantee the presence of individuals with cover near construction. However, in our case, this capital also the skills to provide the services, such as teachers or health included the loss of quality land, fisheries, and the effects on peo- practitioners. ple when they lost those ecosystems, In sum, regardless of the Our analysis showed that none of the conditions we explored is energy security status of a nation, the larger the dam’s installed necessary to explain changes in all types of capital but that differ- capacity, the more negative impacts the dam will have on people’s ent pathways explain changes in some. This reveals how complex capital, except for physical. it is to assess changes in people’s livelihoods, since each capital We found that regardless of the energy-security status of a supports different aspects of livelihoods, but also that people and country, dams generate negative impacts in all capital except phys- communities intertwine their capital to live. In the same argument, ical at the local level which reflects the influence of governments future research needs to explore how hydroelectric dams’ impacts and dam authorities in endorsing dam construction due to its ben- on one capital are related to other capital over time. For instance, efits at national and global scales. This result also suggests that negative impacts on natural capital, such as the reduction in land governments and dam construction companies are continually fertility or land scarcity, could generate negative impacts on overlooking the impacts at the local level. In the Global South human capital like food insecurity. Studying this requires longitu- and emerging economies, hydropower is presented as a clean dinal research, and not only in one period of time because the energy source that will meet nations’ energy needs while reducing impacts and responses to dam development are dynamic; they dependence on fossil fuels. However, considering the immense depend on social-ecological and economic contexts and change impacts of megadams and the need for energy security, it is neces- over time (Castro-Diaz, 2022; Kirchherr & Charles, 2016; Scudder, sary to rethink dams and other energy systems. 2005). Along those lines, we call for future research to investigate Despite the controversies generated by the publication of the the differences between control and access to capital after dam WCD report (2000) and the lack of adoption of its recommenda- construction since the availability of capital does not mean access tions and guidelines by some agencies and governments, our to such capital (as this depends on means like technology, know- results show that dams built after the report generated fewer neg- how, authority, power, etc.). Similarly, access would require con- ative impacts on people’s capital. Our results indicate the impor- trol to benefit local communities (Ribot & Peluso, 2003). tance of the role played by WCD in raising international The literature, including the studies in our qualitative meta- awareness about the social-ecological impacts of dams despite a analysis, portrayed persistent procedural justice problems in dam country’s energy-security status. WCD also helped affected com- development. However, they did not explain how this injustice is munities to legitimize their concerns (Sneddon & Fox, 2008) for related to the dam’s impact on people’s livelihoods. Usually, schol- protecting their livelihoods through the environmental justice ars noted the urgent need to include affected populations in deci- movement. Well-organized social movements strengthen the sion making to reduce impacts on their livelihoods (Goulet, 2005; mobilization against large dams by providing locals with a political Hay et al., 2019) without portraying a comprehensive understand- voice (Shah et al., 2021). ing of this relationship. Our medium-N study indicates how the More common efforts should be made among academics, acti- lack of participation of local communities in decision-making pro- vists, and local communities’ organizations to shed light on the cesses influences negative impacts on all but physical capital. This social impacts of dams, to find alternatives to large-scale hydro- electric dams, and address energy injustices. In particular, the 12 L. Castro-Diaz, María Alejandra García, S. Villamayor-Tomas et al. World Development 169 (2023) 106285 injustices faced by communities living nearby dams, who paradox- References ically, still lack access to electricity (Urban et al., 2015; Castro-Diaz, 2022). 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Contribution of Working Group III to the Fifth Assessment Report of the the qualitative meta-analysis, and Joana Broderick for editing. This Intergovernmental Panel on Climate Change. Cambridge University Press. work is part of Laura Castro-Diaz’ dissertation completed in the Bui, T. M. H., & Schreinemachers, P. (2011). Resettling farm households in Department of Community Sustainability at Michigan State northwestern Vietnam: Livelihood change and adaptation. International Journal of Water Resources Development, 27(4), 769–785. https://doi.org/ University in 2022. The findings or recommendations stated in this 10.1080/07900627.2011.593116. article are those of the authors and do not necessarily reflect the Calvi, M. F., Moran, E. F., Bicudo da Silva, R. F., & Batistella, M. (2019). The views of the National Science Foundation. construction of the Belo Monte Dam in the Brazilian Amazon and its consequences on regional rural labor. 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