Policy integration: Do laws or actors integrate issues relevant to flood risk management in Switzerland?

Existing research emphasizes interdependencies between social and ecological systems in climate change adaptation. Ecological systems are often complex and span several issues that are not integrated in the social governance system. In order to increase the fit between social and ecological systems, understanding factors that promote the integration of interdependent issues is crucial. In this paper, we consider 11 issues related to flood risk management, e.g., technical flood protection and habitat loss, which are typically addressed in different policy sectors but exhibit ecological, functional, or geographical interdependencies. We analyze two bases for issue integration: a) political actors connecting issues and, b) the legal framework cross-referencing issues. We propose a network method for systematic comparisons between issue integration based on actors and integration based on laws. For the case of Swiss flood risk management, we find that actor- and law-based issue integration co-vary and might be self-reinforcing. We further find that issue integration mostly rests on laws, although cases exist where actors are the main basis of integration. Results promote our understanding of potential bases for the integration of policy issues, thereby contributing knowledge about adaptive governance capacities in social-ecological systems that buffer the effects of climate change.     

Narratives,narrations and social structure in environmental governance

Avoiding further aggravation of the consequences of global environmental change remains a complex governance challenge. Social relational structure among actors plays a key role for enhancing the capacity of collaborative approaches to environmental governance. We present an encompassing conceptual framework to advance understanding of the mechanisms that shape dynamics in environmental governance entities. Narrative theory is integrated with insights on group dynamics grounded in social network theory to contextualize local social complexities in governance processes. We assume that social relational structure between actors, and narrations they tell, co-produce narratives and dynamics at the group level. Three important mechanisms that influence dynamics are described: (1) the interplay between collaborative relationships and narrative congruence between individual actors, (2) the characteristics of actors, and (3) the actors’ embeddedness in the wider social structure. A set of testable hypotheses on the interplay between narration, narratives and social relational structure in environmental governance processes is presented. We conclude by discussing why we regard this framework useful to study local and regional governance entities in the context of addressing global environmental change.     

Uncovering the political dimension of social-ecological systems: Contributions from policy process frameworks

Research on the governance of social-ecological systems often emphasizes the need for self-organized, flexible and adaptive arrangements to deal with uncertainty, abrupt change and surprises that are characteristic of social-ecological systems. However, adaptive governance as well as transitions toward alternative forms of governance are embedded in politics and it is often the political processes that determine change and stability in governance systems and policy. This paper analyses five established theoretical frameworks of the policy process originating in political science and public policy research with respect to their potential to enhance understanding of governance and complex policy dynamics in social-ecological systems. The frameworks are found to be divergent in their conceptualization of policy change (focusing on incremental or large-scale, major changes), highlighting different aspects of bounded rationality in their model of individual behavior and focusing their attention on different aspects of the policy process (role of information, attention, beliefs, institutional structure, particular actors, etc.). We discuss the application of these frameworks and their potential contribution to unravelling the political dimension in adaptive governance and transformations.     

Forty-three years of Ramsar and urban wetlands

The Ramsar Convention is unquestionably the backbone of modern wetland management theory and practice. In the last four decades, it has mainstreamed wetlands in the environmental discourse and fostered the development of a comprehensive institutional framework for wetland governance. However, many of the wetlands that occur in human-dominated landscapes remain acutely threatened. The problem is most alarming in urban areas, especially in the fast expanding cities of the developing world, where unprecedented wetland destruction is leading to recurring environmental disasters. This triggers the question: are these failures in wetland governance purely induced by factors exogenous to Ramsar-based institutions or are they manifestations of conceptual drawbacks within Ramsar conceptual framework. Here, we investigate the success and failures of the application of the Ramsar framework's policy directives and management guidelines for urban wetlands using two rapidly expanding cities in South Asia as case studies – Colombo (Sri Lanka) and Kolkata (India). We conclude that despite its remarkable achievements over the past four decades, the Ramsar framework has several conceptual drawbacks that weaken its effectiveness in complex urban contexts. An inadequate recognition of the complex dynamics of urban social-ecological systems, an inadequate recognition of the political complexity of the policy processes, and a lack of an environmental justice perspective are the main shortcomings contributing to failures in urban wetlands governance. While we acknowledge that some solutions are contingent upon national and transnational level socio-political processes and reforms, we offer a set of technical and strategic modifications to the Ramsar framework that can significantly improve its effectiveness in urban wetlands governance.     

A social-ecological network approach for understanding wildfire risk governance

Large wildfire events (e.g. >100 square km) highlight the importance of governance systems that address wildfire risk at landscape scales and among multiple land owners and institutions. A growing body of empirical work demonstrates that environmental governance outcomes depend upon how well patterns of interaction among actors align with patterns of ecological connectivity, such as wildfire transmission. However, the factors that facilitate or inhibit this alignment remain poorly understood. It is crucial to improve understanding of the conditions under which actors establish or maintain linkages with other actors with whom they are interdependent because of ecological linkages. To this end, we introduce the concept of “risk interdependence archetypes” based on the spatial configurations by which one actor (i.e. a particular organization) is exposed to risk via the actions of another actor. We then develop a set of hypotheses to explore how different sets of conditions associated with each spatial configurations of risk interdependence may shape the likelihood that an actor coordinates with another actor in ways that promote social-ecological alignment. We test these hypotheses using network analysis of a wildfire transmission network developed through simulation of wildfires over several thousand fire seasons and a governance network created from interviews with 154 representatives of 87 organizations involved in efforts to mitigate wildfire risk in the Eastern Cascades Ecoregion, USA. Results indicate that social-ecological alignment is more likely when actors have opportunities to influence forest management practices on ignition-prone lands that they do not manage themselves, and when actors bear greater responsibility for averting losses from wildfires that spread to lands they manage independently. Importantly, not all forms of risk interdependence increase the likelihood of alignment, implying that organizations have limited capacity for interaction and may prioritize certain risk mitigation partnerships over others. While the performance of risk governance systems may hinge on the alignment of social and ecological networks, our results suggest that alignment in turn may depend on actor-level strategies for interaction with other actors.     

Governing resilience building in Thailand's tourism-dependent coastal communities: Conceptualising stakeholder agency in social-ecological systems

In current scientific efforts to harness complementarity between resilience and vulnerability theory, one response is an ‘epistemological shift’ towards an evolutionary, learning based conception of the ‘systems-actor’ relation in social-ecological systems. In this paper, we contribute to this movement regarding the conception of stakeholder agency within social-ecological systems. We examine primary evidence from the governance of post-disaster recovery and disaster risk reduction efforts in Thailand's coastal tourism-dependent communities following the 2004 Indian Ocean Tsunami. Through an emerging storyline from stakeholders, we construct a new framework for conceptualising stakeholder agency in social-ecological systems, which positions the notion of resilience within a conception of governance as a negotiated normative process. We conclude that if resilience theory is proposed as the preferred approach by which disaster risk reduction is framed and implemented, it needs to acknowledge much more explicitly the role of stakeholder agency and the processes through which legitimate visions of resilience are generated.     

Creating adaptive social-ecological fit: The role of regional actors in the governance of Sea-level rise adaptation in San Francisco bay

Sea level rise is one of the most pressing climate adaptation issues around the world. Often, coastal communities are interdependent in their exposure to sea level rise – if one builds a seawall, it will push water to another – and would benefit from a coordinated adaptive response. The literature on social-ecological systems (SES) calls for actors placed at higher levels of governance (e.g. regional government in a metropolitan area) to improve coordination between local managers by serving as brokers. However, we lack empirical insight on how higher-level actors might improve coordination in practice, and theoretical development on the implications of their intermediation. To address these gaps, we study the case of adaptation to sea level rise in the San Francisco Bay Area. We build a social-ecological network of social actors and shoreline segments using original survey data and simulated scenarios of tidal and traffic interdependencies between shoreline segments. We perform a frequency analysis of network motifs that operationalize social-ecological ‘fit’ in the context of the Bay Area. We find that regional actors and non-governmental organizations increase social-ecological fit by providing intermediation between actors who work on different shoreline segments, whether interdependent or not. This shows that these actors provide adaptive social-ecological fit, future-proofing the Bay Area to current and future climate adaptation challenges.     

Insights from experimental economics on local cooperation in a small-scale fishery management system

Cooperation is central to collective management of small-scale fisheries management, including marine protected areas. Thus an understanding of the factors influencing stakeholders’ propensity to cooperate to achieve shared benefits is essential to accomplishing successful collective fisheries management. In this paper we study stakeholders’ cooperative behavioral disposition and elucidate the role of various socio-economic factors in influencing it in the Roviana Lagoon, Western Solomon Islands. We employed a Public Goods Game from experimental economics tailored to mimic the problem of common pool fisheries management to elucidate peoples’ cooperative behavior. Using Ostrom's framework for analyzing social-ecological systems to guide our analysis, we examined how individual-scale variables (e.g., age, education, family size, ethnicity, occupational status, personal norms), in the context of village-scale variables (e.g., village, governance institutions, group coercive action), influence cooperative behavior, as indexed by game contribution. Ostrom's framework provides an effective window for conceptually peeling back the various socio-economic and governance layers which influence cooperation within these communities. The results of our research show that the most important resource user characteristics influencing cooperative behavior were age, occupation and beliefs about giving access to others to fish for commercial gain. Through elucidating the factors affecting stakeholders’ propensity to cooperate to achieve shared benefits, our analysis provides guidance in understanding cooperation in relation to collective management of marine resources.     

Sustainability transformations: socio-political shocks as opportunities for governance transitions

Faced with accelerating environmental challenges, research on social-ecological systems is increasingly focused on the need for transformative change towards sustainable stewardship of natural resources. This paper analyses the potential of rapid, large-scale socio-political change as a window of opportunity for transformative change of natural resources governance. We hypothesize that shocks at higher levels of social organization may open up opportunities for transformation of social-ecological systems into new pathways of development. However, opportunities need to be carefully navigated otherwise transformations may stall or lead the social-ecological system in undesirable directions. We investigate (i) under which circumstances socio-political change has been used by actors as a window of opportunity for initiating transformation towards sustainable natural resource governance, (ii) how the different levels of the systems (landscape, regime and niche) interact to pave the way for initiating such transformations and (iii) which key features (cognitive, structural and agency-related) get mobilized for transformation. This is achieved through analyzing natural resource governance regimes of countries that have been subject to rapid, large-scale political change: water governance in South Africa and Uzbekistan and governance of coastal fisheries in Chile. In South Africa the political and economic change of the end of the apartheid regime resulted in a transformation of the water governance regime while in Uzbekistan after the breakdown of the Soviet Union change both at the economic and political scales and within the water governance regime remained superficial. In Chile the democratization process after the Pinochet era was used to transform the governance of coastal fisheries. The paper concludes with important insight on key capacities needed to navigate transformation towards biosphere stewardship. The study also contributes to a more nuanced view on the relationship between collapse and renewal.     

Governance,complexity, and resilience

This special issue brings together prominent scholars to explore novel multilevel governance challenges posed by the behavior of dynamic and complex social-ecological systems. Here we expand and investigate the emerging notion of “resilience” as a perspective for understanding how societies can cope with, and develop from, disturbances and change. As the contributions to the special issue illustrate, resilience thinking in its current form contains substantial normative and conceptual difficulties for the analysis of social systems. However, a resilience approach to governance issues also shows a great deal of promise as it enables a more refined understanding of the dynamics of rapid, interlinked and multiscale change. This potential should not be underestimated as institutions and decision-makers try to deal with converging trends of global interconnectedness and increasing pressure on social-ecological systems.     

Bringing resilience-thinking into water governance: Two illustrative case studies from South Africa and Cambodia

Resilience is a multidimensional concept that is increasingly used to understand environmental change in hydrological systems. Yet, the current discussion about water governance and resilience remains relatively limited, with resilience typically seen as a normative outcome for governance (i.e., to be resilient against change). Using a theoretical multiplicity approach, we explore how the theories of social-ecological systems (SES), resilience and interactive (water) governance can provide new insights for water governance studies. We propose a resilience–governance framework that captures the partly overlapping but distinct characteristics from these three theories. The framework aims to develop a more nuanced way of using resilience-thinking for water governance, viewing resilience as a function of three capacities (absorptive, adaptive and transformative capacity) and noting the simultaneous existence of three interpretations for resilience (as a property, process and outcome) across different scales. The framework also considers issues of power and equity, which are often missing from resilience framings. We illustrate the framework with two case studies – the Tonle Sap Lake in Cambodia and a small sub-catchment of the Limpopo River Basin in South Africa – to provide two distinct examples of the possibilities of resilient governance. Finally, we consider what the framework suggests more broadly for ongoing discussions around resilience and water governance, including the possibilities for governance to also ‘bounce forward’ – i.e., transform – to a new, improved state. We argue that resilience-thinking may be valuable in understanding governance characteristics and guiding governance processes, in addition to seeing resilience (just) as a normative end-goal. In this way, the article supports an epistemological shift away from focusing on institutional structure, towards capturing the dynamic processes within governing systems.     

Positive and negative spillover of pro-environmental behavior: An integrative review and theoretical framework

A recent surge of research has investigated the potential of pro-environmental behavior interventions to affect other pro-environmental behaviors not initially targeted by the intervention. The evidence evaluating these spillover effects has been mixed, with some studies finding evidence for positive spillover (i.e., one pro-environmental behavior increases the likelihood of performing additional pro-environmental behaviors) and others finding negative spillover (i.e., one pro-environmental behavior decreases the likelihood of additional pro-environmental behaviors). Different academic disciplines have investigated this question, employing different methodologies and arriving at divergent findings. This paper provides a unifying theoretical framework and uses the framework to review the existing research on pro-environmental behavior spillover. Our framework identifies different decision modes as competing mechanisms that drive adoption of initial pro-environmental behaviors, with different consequences for subsequent pro-environmental behaviors, leading to positive, negative, or no spillover. Attribution of the initial pro-environmental behavior to either an external motivator (e.g., a price signal) or internal motivator (e.g., self-identity) also matters. In addition, the characteristics of and similarity between initial and subsequent pro-environmental behaviors can be expected to moderate predicted spillover effects. We explore the implications of our model for policymakers and practitioners, and suggest key areas where future research on the topic would be most beneficial.     

Down to Earth: Contextualizing the Anthropocene

The ‘Anthropocene’ is now being used as a conceptual frame by different communities and in a variety of contexts to understand the evolving human–environment relationship. However, as we argue in this paper, the notion of an Anthropos, or ‘humanity’, as global, unified ‘geological force’ threatens to mask the diversity and differences in the actual conditions and impacts of humankind, and does not do justice to the diversity of local and regional contexts. For this reason, we interpret in this article the notion of an Anthropocene in a more context-dependent, localized and social understanding. We do this through illustrating examples from four issue domains, selected for their variation in terms of spatial and temporal scale, systems of governance and functional interdependencies: nitrogen cycle distortion (in particular as it relates to food security); ocean acidification; urbanization; and wildfires. Based on this analysis, we systematically address the consequences of the lens of the Anthropocene for the governance of social-ecological systems, focusing on the multi-level, functional and sectoral organization of governance, and possible redefinitions of governance systems and policy domains. We conclude that the notion of the Anthropocene, once seen in light of social inequalities and regional differences, allows for novel analysis of issue-based problems in the context of a global understanding, in both academic and political terms. This makes it a useful concept to help leverage and (re-)focus our efforts in a more innovative and effective way to transition towards sustainability.     

From shared socio-economic pathways (SSPs) to oceanic system pathways (OSPs): Building policy-relevant scenarios for global oceanic ecosystems and fisheries

There is an urgent need for developing policy-relevant future scenarios of biodiversity and ecosystem services. This paper is a milestone toward this aim focusing on open ocean fisheries. We develop five contrasting Oceanic System Pathways (OSPs), based on the existing five archetypal worlds of Shared Socioeconomic Pathways (SSPs) developed for climate change research (e.g., Nakicenovic et al., 2014 and Riahi et al., 2016). First, we specify the boundaries of the oceanic social-ecological system under focus. Second, the two major driving forces of oceanic social-ecological systems are identified in each of three domains, viz., economy, management and governance. For each OSP (OSP1 “sustainability first”, OSP2 “conventional trends”, OSP3 “dislocation”, OSP4 “global elite and inequality”, OSP5 “high tech and market”), a storyline is outlined describing the evolution of the driving forces with the corresponding SSP. Finally, we compare the different pathways of oceanic social-ecological systems by projecting them in the two-dimensional spaces defined by the driving forces, in each of the economy, management and governance domains. We expect that the OSPs will serve as a common basis for future model-based scenario studies in the context of the Intergovernmental Panel on Climate Change (IPCC) and the Intergovernmental Platform on Biodiversity and Ecosystem Services (IPBES).     

Towards integrated governance for water, health and social–ecological systems: The watershed governance prism

This article proposes a shift toward the integrated governance of watersheds as a basis for fostering health, sustainability and social–ecological resilience. The authors suggest that integrated watershed governance is more likely when different perspectives, including health and well-being, are explicitly understood, communicated, and sought as co-benefits of watershed management. A new conceptual device – the watershed governance prism – is introduced in relation to the multiple facets of governance that characterize contemporary water resources management and examined as an integrative framework to link social and environmental concerns with the determinants of health in the watershed context. The authors assess the diagnostic and communicative potential of such a framework, discussing its utility as a concise depiction of multiple, interacting policy priorities and as a guide to integrate different research and policy domains into the governance of water, health and social–ecological systems.     

The social–ecological system framework as a knowledge classificatory system for benthic small-scale fisheries

Ostrom proposed the underpinnings of a framework for the systematic study of the governance of complex social–ecological systems. Here we hypothesize that Ostrom's social–ecological system framework can be useful to build a classification system for small-scale benthic fisheries, regarding their governance processes and outcomes. The purpose of this paper is to contribute to knowledge accumulation of benthic fisheries. To tailor the framework, we relied on discussions among experts and a systematic literature review of benthic fisheries from 1980 to 2010. This literature review helped us refine variable definitions and provide readers with illustrative reference papers. We then illustrate the approach and its potential contributions through two studies of the emergence of self-organization in Mexico and Chile. We highlight synthetic lessons from the cases and the overall approach as well as reflect on remaining challenges to the development of a social–ecological system framework as a diagnostic tool for knowledge accumulation and synthesis.     

Scalar capital as ingredient of success in conservation governance: evidence from Melanesia

Problems of scale abound in the governance of complex social-ecological systems. Conservation governance, for example, typically occurs at a single scale, but needs to inform governance and action at other scales to be truly effective at achieving social and ecological outcomes. This process is conventionally conceived as unidirectional – either scaling down or scaling up – in the way it both exploits and creates the natural, social, human, institutional, and financial resources and benefits that are collectively known as conservation ‘capital’. Here we analyse multiscale conservation governance and the different types of capital that impede or facilitate its effectiveness. Comparative analysis of conservation planning in Papua New Guinea and the Solomon Islands, through in-depth document review, key informant interview, and participant observation, reveals limited evidence of unidirectional processes. Instead, we observe multidirectional scaling pathways, cultivated by the following six scale-explicit characteristics of effective conservation governance: 1) multiscale understanding, 2) scale jumping, 3) scaled leadership characteristics, 4) scaled stakeholder engagement, 5) scaled policy frameworks, and 6) scaled institutional settings. While the latter four are familiar concepts, though not always recognised as explicitly scalar, we know little about the first two attributes of conservation governance. Based on this novelty and relevance, we propose a new form of capital – ‘scalar capital’ – to complement natural, social, human, institutional, and financial capitals as both input and outcome of effective conservation governance. We find that scalar capital facilitates flows of different resources (data, conservation objectives, practitioner experience, institutional support, and funding) in multiple directions. Critically, we present empirical evidence that conservation governance can foster scalar capital to improve outcomes across multiple scales.     

Disentangling intangible social–ecological systems

Contemporary environmental challenges call for new research approaches that include the human dimension when studying the natural environment. In spite of the recent development of several conceptual frameworks integrating human society with nature, there has been less methodological and theoretical progress on how to quantitatively study such social–ecological interdependencies. We propose a novel theoretical framework for addressing this gap that partly builds on the rapidly growing interdisciplinary research on complex networks. The framework makes it possible to unpack, define and formalize ways in which societies and nature are interdependent, and to empirically link this to specific governance challenges and opportunities using a range of theories from both the social and natural sciences in an integrated way. At the core of the framework is a set of basic building blocks (motifs) that each represents a simplified but non-trivial social–ecological systems (SES) consisting of two social actors and two ecological resources. The set represents all possible patterns of interdependency in a SES. Each unique motif is characterized in terms of social and ecological connectivity, resource sharing, and resource substitutability. By aligning theoretical insights related to the management of common-pool resources, metapopulation dynamics, and the problem of fit in SES with the set of motifs, we demonstrate the multi-theoretical ability of the framework in a case study of a rural agricultural landscape in southern Madagascar. Several mechanisms explaining the inhabitants’ demonstrated ability to preserve their scattered forest patches in spite of strong pressures on land and forest resources are presented.     

Elite capture risk and mitigation in decentralized forest governance regimes

Recent scholarship focuses on elite capture as a driver of social inequality and a source of policy failure across a wide range of governance initiatives. In the context of environmental governance, concerns center on perceived links between elite capture and decentralization, particularly in developing countries where decentralized natural resource governance has been widely implemented. But, there is limited empirical knowledge regarding if, and the conditions under which, decentralization might promote elite capture, or whether institutional design factors can militate against it. We examine how local institutional arrangements under forest sector decentralization affect the risk of elite capture of forest benefits, as well as the potential for a key institutional design factor (linkages to external organizations as an accountability-building mechanism) to mitigate this risk. We analyze forest product harvesting data as well as social, ecological, and institutional data from pre- and post-decentralization across 56 forests and 174 community groups in four countries. We employ hierarchical linear modeling to test the extent to which decentralization is associated with inequities in the distribution of forest harvest benefits within communities, and to characterize the institutional arrangements that affect elite capture outcomes. We find not only strong evidence for increased local rule-making under decentralization, but also significantly higher risk of elite capture of forest harvest benefits. This risk increases with increasing time since decentralization, but it is also substantially moderated in cases where an external organization was involved in organizing the local forest institution. Our findings highlight ways in which decentralization reforms are filtered by institutional arrangements to produce different outcomes, and generate new knowledge on micro-institutional factors that can reduce the risk of elite capture in decentralized environmental governance regimes.