Emergence of co-management governance for Hawai‘i coral reef fisheries

Governance failures associated with top-down management have spawned a myriad of institutional arrangements to engage resource users in decision-making through co-management. Although co-management can take many forms and may not always lead to positive outcomes, it has emerged as a promising governance option available to meet social and ecological goals. Recent research on co-management of small-scale fisheries has used comparative approaches to test factors associated with social and ecological success. Less is known however, about how co-management institutional arrangements emerge and persist in the face of socioeconomic and environmental change. Here, we examine the emergence of co-management governance using a case study from coral reef fisheries in the Hawaiian Islands. We used a mixed methods approach, combining a robust policy analysis and a set of key respondent interviews to trace the evolution of this co-management arrangement. Our research uncovers a set of linked drivers and social responses, which together comprise the emergence phase for the evolution of co-management in this case study. Drivers include resource depletion and conflict, and social responses comprise self-organization, consensus building, and collective action. We share insights on key factors that affect these phases of emergence, drawing on empirical findings from our policy review and key respondent interviews. We conclude by describing ways that our findings can directly inform policy and planning in practice, including the importance of documenting the ‘creation story’ that spawned the new institutional arrangement, ensuring that enabling conditions are present, the complexity of defining community, the connection between process legitimacy and outcomes, and understanding the costs and timelines associated with co-management governance transitions.     

Transitions toward co-management: The process of marine resource management devolution in three east African countries

Communities are increasingly empowered with the ability and responsibility of working with national governments to make decisions about marine resources in decentralized co-management arrangements. This transition toward decentralized management represents a changing governance landscape. This paper explores the transition to decentralisation in marine resource management systems in three East African countries. The paper draws upon expert opinion and literature from both political science and linked social-ecological systems fields to guide exploration of five key governance transition concepts in each country: (1) drivers of change; (2) institutional arrangements; (3) institutional fit; (4) actor interactions; and (5) adaptive management. Key findings are that decentralized management in the region was largely donor-driven and only partly transferred power to local stakeholders. However, increased accountability created a degree of democracy in regards to natural resource governance that was not previously present. Additionally, increased local-level adaptive management has emerged in most systems and, to date, this experimental management has helped to change resource user's views from metaphysical to more scientific cause-and-effect attribution of changes to resource conditions.     

Exploratory analyses of local institutions for climate change adaptation in the Mongolian grasslands: An agent-based modeling approach

There has been a decrease in grazing mobility in the Mongolian grasslands over the past decades. Sedentary grazing with substantial external inputs has increased the cost of livestock production. As a result, the livelihoods of herders have become more vulnerable to climate variability and change. Sedentary grazing is the formal institutional arrangement in Inner Mongolia, China. However, this may not be an efficient institutional arrangement for climate change adaptation. Self-organized local institutions for climate change adaptation have emerged and are under development in the study area. In this study, we did exploratory analyses of multiple local institutions for climate change adaptation in the Mongolian grasslands, using an agent-based modeling approach. Empirical studies from literature and our field work show that sedentary grazing, pasture rental markets, and reciprocal pasture-use groups are three popular institutional arrangements in the study area. First, we modeled the social–ecological performance (i.e., livelihood benefits to herders and grassland quality) of these institutions and their combinations under different climate conditions. Second, we did exploratory analyses of multiple social mechanisms for facilitating and maintaining cooperative use of pastures among herders. The modeling results show that in certain value-ranges of some model parameters with assumed values, reciprocal pasture-use groups had better performance than pasture rental markets; and the comparative advantage of cooperative use of pastures over sedentary grazing without cooperation becomes more evident with the increase in drought probability. Agent diversity and social norms were effective for facilitating the development of reciprocal pasture-use groups. Kin selection and punishments on free-riders were useful for maintaining cooperation among herders.     

Co-management and the co-production of knowledge: Learning to adapt in Canada's Arctic

Co-management institutional arrangements have an important role in creating conditions for social learning and adaptation in a rapidly changing Arctic environment, although how that works in practice has not been clearly articulated. This paper draws on three co-management cases from the Canadian Arctic to examine the role of knowledge co-production as an institutional trigger or mechanism to enable learning and adapting. Experience with knowledge co-production across the three cases is variable but outcomes illustrate how co-management actors are learning to learn through uncertainty and environmental change, or learning to be adaptive. Policy implications of this analysis are highlighted and include the importance of a long-term commitment to institution building, an enabling policy environment to sustain difficult social processes associated with knowledge co-production, and the value of diverse modes of communication, deliberation and social interaction.     

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.     

Analyzing the (mis)fit between the institutional and ecological networks of the Indo-West Pacific

Critical to improving environmental governance is understanding the fit (alignment) between institutional arrangements and key ecological processes. This is particularly true for biodiversity hotpots and ecologically sensitive areas that are subject to significant impacts from human activities. Here, we have developed an innovative approach to quantify ecological-institutional alignment across an environmentally and politically complex large-scale marine social-ecological system. We mapped the trans-boundary networks of marine population dispersal corridors, and intersected these with estimates of cross-country institutional linkages related to marine management and conservation. In integrating large-scale ecological-institutional networks, we identify geopolitical fit and misfit between a region's ecological processes and its governance. We have demonstrated this approach in the Indo-West Pacific region, a global marine biodiversity hotpot in the Indo-West Pacific. We present region-specific institutional and ecological networks, highlight current challenges, and suggest future directions to refine the proposed approach to quantify alignment between ecological processes and governance arrangements. Ultimately, our method has the potential to assist management efforts in prioritizing and strengthening governance to effectively safeguard ecological processes across multiple jurisdictions.     

Social networks and transitions to co-management in Jamaican marine reserves and small-scale fisheries

How social networks support or constrain the transition to co-management of small-scale fisheries and marine reserves is poorly understood. In this paper, we undertake a comparative analysis of the social network structures associated with the transition to co-management in three Jamaican marine reserves. Data from quantitative social relational surveys (n = 380) are integrated with data from semi-structured interviews (n = 63) and focus groups (n = 10) to assess how patterns of relational ties and interactions between and among fishermen and other local level actors (e.g., managers, wardens, NGO staff) support and constrain the transition to co-management. Our research suggests that the transitions to co-management were supported by a combination of three network structure and relational attributes: (i) the presence and position of institutional entrepreneurs; (ii) a dense central core of network actors; and (iii) the prevalence of horizontal ties and vertical linkages held by the community-based organizations formally responsible for the management of the marine reserves. Our findings also show that overall low network cohesion in the three reserves and limited social influence among the wardens may be problematic for sustained collective action that extends beyond the core set of network actors. These findings suggest the importance of strategies to enhance collective action, specifically through attention to the attributes of the corresponding social networks, as a means to contribute to successful transitions to co-management of marine reserves and small-scale fisheries. Our results provide more precise guidance, through social network analysis, on where in the respective networks social capital and leadership may require support or enhancement, and thus on how to target interventions for greatest effect.     

The role of diversification in dynamic small-scale fisheries: Lessons from Baja California Sur,Mexico

Globally, small-scale fisheries are critical for livelihoods and food security yet face increasing uncertainty and variability from processes such as overfishing, globalization, and climate change. Enhancing the number of options for human response through increased access to marine resources, diverse livelihood approaches, and generalist fishing strategies may attenuate the negative effects of change and disturbance. My research explores the relative importance of diversification strategies for achieving resilient small-scale fishing communities and cooperatives of Baja California Sur, Mexico. Specifically, interview data and long-term catch and economic data were used to develop an economic metric of resilience, in addition to income diversification indices, for fishing cooperatives. Fishing cooperative characteristics and environmental conditions were then evaluated as possible predictors of cooperatives’ relative ability to diversify. I found that while diversification was important for risk mitigation and stabilizing income, the ability of cooperatives to specialize during favorable conditions may be important for poverty reduction and wealth accumulation. Thus, the flexibility to move across fishing strategies given changing environmental conditions is important for the adaptive capacity of small-scale fishing cooperatives. My findings will contribute to a better understanding of the institutional arrangements that promote a resilient small-scale fishery, and therefore, will be invaluable for practitioners of small-scale fisheries.     

Governing epidemics in an age of complexity: Narratives,politics and pathways to sustainability

This paper elaborates a ‘pathways approach’ to addressing the governance challenges posed by the dynamics of complex, coupled, multi-scale systems, while incorporating explicit concern for equity, social justice and the wellbeing of poor and marginalised groups. It illustrates the approach in relation to current policy challenges of dealing with epidemics and so-called ‘emerging infectious diseases’ such as avian influenza and haemorrhagic fevers, which involve highly dynamic, cross-scale, often-surprising viral–social–political–ecological interactions. Amidst complexity, we show how different actors in the epidemics field produce particular narratives which frame systems and their dynamics in different ways, promote particular goals and values, and justify particular pathways of disease response. These range from ‘outbreak narratives’ emphasising threat to global populations, to alternative but often marginalised narratives variously emphasising long-term structural, land use and environmental change, local knowledge and livelihood goals. We highlight tendencies – supported by cognitive, institutional and political pressures – for powerful actors and institutions to ‘close down’ around narratives that emphasise stability, underplaying longer term, less controllable dynamics. Arguing that governance approaches need to ‘open up’ to embrace strategies for resilience and robustness in relation to epidemics, we outline what some of the routes towards this might involve, and what the resulting governance models might look like. Key are practices and arrangements that involve flexibility, diversity, adaptation, learning and reflexivity, as well as highlighting and supporting alternative pathways within a progressive politics of sustainability.     

Applying historical ecology to natural resource management institutions: Lessons from two case studies of landscape fire management

Understanding the linkages between social and ecological systems is key to developing sustainable natural resource management (NRM) institutions. Frequently, however, insufficient attention is paid to the historical development of NRM institutions. Instead, discussion largely focuses on models of economic efficiency at the expense of the cultural, historical, and ecological contexts within which institutions develop. Here we use the research program of historical ecology to explore the development, maintenance, and change of two contemporary fire management institutions in northern Australia and Colorado, USA, to demonstrate how social institutions and ecological systems change and resist change over time and how institutions interact across scales to negotiate contrasting goals and motivations. We argue that these NRM institutions are not strictly speaking evolutionary or adaptive, and that historical context is critical when evaluating how and why particular institutions and institutional relationships develop. As with ecosystems, the present characteristics of the NRM institutions are dependent on what has happened before and their efficacy can only be evaluated retrospectively. Therefore, an understanding of history is essential to questions of the desirability and feasibility of institutional change where such shifts are required from an ecological, social, or economic perspective. We further propose that institutional conflict arises from the differing goals and motives of resource management institutions at different scales. Our cases reveal that larger-scale institutions can be successful at achieving narrowly defined goals but often fall short of achieving socially desirable sustainable outcomes. Our findings support the use of narratives of community history, place, and being in considering the resilience and sustainability of social-ecological systems. We offer that historical ecology is complementary with institutional and economic approaches to the analysis of NRM institutions, and possesses a particular strength in linking ecology to the values and norms of small social groups.     

Social–ecological traps and transformations in dryland agro-ecosystems: Using water system innovations to change the trajectory of development

Recent efforts to achieve a much needed productivity increase in farming systems across semi-arid and dry sub-humid sub-Saharan Africa have highlighted the potential of small-scale water system innovations (SWSIs). This paper takes a social–ecological resilience approach to investigate how this type of water management technology would influence agro-ecosystem dynamics, using a catchment in northeastern Tanzania as an example. The analysis finds that three external drivers (increasing dryspell frequency, population growth, and institutional changes) have interacted with a set of key variables in the studied system to shape a development trajectory over the past half-century where off-farm ecosystem services are being degraded while agricultural yields remain low and people remain poor. The analysis further finds that the evaluated SWSIs have the potential to destabilize feedbacks maintaining this social–ecological trap through several different mechanisms, and thereby open up for new development trajectories. A concluding discussion identifies a number of challenges to this type of transformation in sub-Saharan Africa, and outlines the type of investment approaches that would be needed to go from potential to reality.     

Alleviating barriers to urban climate change adaptation through international cooperation

International cooperation on climate change adaptation is regarded as one of the major avenues to reduce vulnerability in developing countries. Nevertheless, it remains unclear which design properties of international arrangements match with specific problems in local adaptation processes. This paper analyses conditions and institutional design options under which international cooperation can facilitate climate adaptation in urban areas in developing countries. We conduct a qualitative meta-analysis of empirical evidence from 23 cases. Using the archetype approach, we identify re-appearing barriers and change factors in urban squatter settlements and municipal public sectors in developing countries. We characterise five generic modes of international cooperation for climate adaptation based on UNFCCC documents, process observation, and literature review. Combining these analyses, we develop testable propositions that explain how specific design options of international arrangements can alleviate barriers and make use of change factors for urban adaptation in developing countries. We find, first, that international cooperation has the most potential to tackle adaptation barriers in squatter settlements if its institutional mechanisms support improvements of procedures and rights in localised state–society interactions. Second, national or regional centres of competence may foster endogenous dynamics in municipal public sectors. Third, national adaptation policies can enable and incentivise municipal adaptation. Fourth, flexible indicators of adaptation benefits are instruments to tailor international decision making and monitoring systems to local needs. We conclude that these insights, the archetypes approach, and a multi-level study design can be used to advance research on international cooperation, barriers, and success factors for climate change adaptation.     

Using social–ecological syndromes to understand impacts of international seafood trade on small-scale fisheries

Globalization has increased the speed and flow of people, information, and commodities across space, integrating markets and increasing interdependence of geographically dispersed places worldwide. Places historically driven by largely local forces and market demands are now increasingly affected by drivers at multiple scales. Trade is particularly important in driving these changes and more fish is now exported to international markets than ever before. When small-scale fisheries are integrated into global markets, local social–ecological systems change with potentially both positive and negative impacts on livelihoods, economics and ecology, but few studies systematically investigate how and why the outcomes of market integration vary from case to case.This paper systematically assesses multiple (social, ecological, economic and institutional) local effects of market integration in cases around the world by drawing on the global environmental change syndromes approach. Furthermore, we examine the factors contributing to the syndromes observed. Our analysis identifies three distinct social–ecological syndromes associated with international seafood trade. Results suggest that the presence of strong and well-enforced institutions is the principal factor behind the syndrome characterized by sustained fish stocks, while a combination of weak institutions, patron–client relationships, high demand from China and highly vulnerable target species explain the other two syndromes distinguished by declining stocks, conflict and debt among fishers.A key finding is that the factors emerging as important for explaining the different syndromes derive from different scales (e.g. local market structures vs distant market characteristics), indicating a need for multi-level governance approaches to deal with the effects of market integration. Furthermore, the meta-analysis shows that each syndrome encompasses fisheries from multiple continents. This suggests that the increasingly global nature of the seafood trade appears to be driving local dynamics by creating similar conditions for vulnerabilities in localities around the world, lending support to the notion of tele-connectivity across geographic space.     

Knowledge exchange and policy influence in a marine resource governance network

Few case studies have considered the impact of network structure on the resilience of complex resource management systems that operate over large spatial scales. To help fill this knowledge gap our study examined two types of relational ties—knowledge exchange and policy influence—within a marine wildlife co-management network in Northern Australia. We conducted interviews and follow-up surveys with key-informant stakeholders in dugong and marine turtle management and used these data to perform social network analysis for the dugong and turtle co-management network. The network structure of this marine governance system supports extensive cross-scale information flow, but with a disproportionate amount of top-down policy influence compared with knowledge accumulation, an arrangement that may hinder evidence-based decision making. We developed a typological ‘map’ of stakeholder roles in the network to characterize each stakeholder's contribution of knowledge and ability to influence policy, helping to identify gaps or overlaps in network linkages. Improving communication links between knowledge producers and policy makers is important for evidence based decision making throughout the management network, while addressing overlapping management roles and functions should help decrease conflict in the system. These improvements would increase social-ecological resilience in the management network by providing better protection for marine species while meeting the needs of diverse stakeholders.     

Resilience: The emergence of a perspective for social–ecological systems analyses

The resilience perspective is increasingly used as an approach for understanding the dynamics of social–ecological systems. This article presents the origin of the resilience perspective and provides an overview of its development to date. With roots in one branch of ecology and the discovery of multiple basins of attraction in ecosystems in the 1960–1970s, it inspired social and environmental scientists to challenge the dominant stable equilibrium view. The resilience approach emphasizes non-linear dynamics, thresholds, uncertainty and surprise, how periods of gradual change interplay with periods of rapid change and how such dynamics interact across temporal and spatial scales. The history was dominated by empirical observations of ecosystem dynamics interpreted in mathematical models, developing into the adaptive management approach for responding to ecosystem change. Serious attempts to integrate the social dimension is currently taking place in resilience work reflected in the large numbers of sciences involved in explorative studies and new discoveries of linked social–ecological systems. Recent advances include understanding of social processes like, social learning and social memory, mental models and knowledge–system integration, visioning and scenario building, leadership, agents and actor groups, social networks, institutional and organizational inertia and change, adaptive capacity, transformability and systems of adaptive governance that allow for management of essential ecosystem services.     

What role for social–ecological systems research in governing global teleconnections?

The paper considers the extent to which social–ecological systems research might contribute to an improved understanding of the social and environmental impacts of teleconnections inherent in economic globalisation. Recognising the importance and specificity of regional interconnections, wherein actions in certain parts of the world impact quite specifically on the sustainability of certain other spatially distant places and systems, the paper reflects on the social and environmental implications of increasingly interconnected agri-food systems and intersecting global commodity chains. Key elements of social–ecological systems approaches, which have purported relevance to research on globalisation, are critically examined, and aspects of social–ecological systems thinking that pose challenges for its application in this context are considered. Wider implications and limitations of social–ecological systems approaches to research and practice in (global) governance for sustainability are discussed. The general conclusion is that social–ecological systems research may offer insights into the governance of social and environmental impacts of agri-food systems and other complex systems at certain scales. However, the formal utility of concepts like resilience, vulnerability and adaptability becomes considerably less clear as research turns to analyses of larger, complex, globally teleconnected systems, where the main contribution of such concepts may lie in their metaphorical appeal to important aspects of interconnectivity and interdependence.     

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.     

Diversity to decline-livelihood adaptations of the Namaqua Khoikhoi (1800–1900)

An environmental history of the Leliefontein community of Namaqualand, Northern Cape provides a detailed case of the nexus between social and ecological stresses shaping livelihood change. By combining an historical proxy precipitation data set with a livelihood change study the value of historical research in integrated studies of past human-environment systems is illustrated. The identification of effective livelihood adaptation to extreme climatic conditions is examined, illustrating the tradeoffs made between adaptation and ‘coping’ strategies which were unsuccessful over the long term. During the course of the 19th century the Namaqua Khoikhoi population changed from a sustainable nomadic pastoral community to a poverty stricken rural community with a diversity of livelihood strategies. For the Namaqua increased livelihood diversity – usually an effective adaptation in times of stress – instead of promoting resilience, contributed to their material decline. Widespread transhumance between different climatic regions is shown to have been a successful adaptation to climatic extremes, but external economic exposure and restricted access to land become drivers of decline. The ‘double exposure’ framework used in contemporary studies, proved useful in accounting for this decline as it can accommodate both environmental and economic stressors.     

Forms of collaboration and social fit in wildlife management: A comparison of policy networks in Alaska

Rapid environmental change in the Arctic has led to calls for new forms of environmental governance that consciously fit policy solutions to both the policy problem as well as the underlying social–ecological system dynamics. While efforts to evaluate the ecological fit of institutions to place have become more sophisticated, efforts to measure the social fit of policy remains underdeveloped. In order to examine the effect of institutional form on policy processes and socially relevant outcomes, I employ a mixed methods approach including ethnographic data and social network analysis to compare the implementation of two international wildlife regimes in two indigenous Iñupiaq towns in Alaska. My results yield three findings: (1) that separate institutions create differently structured policy networks, (2) differences in network structures and levels of power-sharing correlate with perceptions of policy, and (3) networks that reflect local social patterns are more likely to be considered fair and inclusive. These findings support congruence theory, which posits that public policy reflective of local constructions of legitimacy will achieve greater success than policy that is not reflective.     

A social contract with the ancestors—Culture and ecosystem services in southern Madagascar

We investigate the role of culture in sustaining essential ecosystem services in the arid and erratic climate of an agropastoral landscape in southern Madagascar. Our fieldwork and interviews in Ambovombe subprefecture in Androy addressed land use, agropastoralism, livelihood, institutions and their moral basis. Our analysis points to the interdependence of cultural practices and ecosystem services: sacred forests, crop pollination, subsistence farming, cattle economy and societal transition and purification rituals. We posit a social-ancestral contract that works as a moral attractor structuring and sustaining the agropastoral ecosystem services system. The contract between living and nonliving clan members underpins the cultural practices and rituals that regulate the vulnerable agropastoral system. We conclude that the well-being values of the inhabitants of the south of Madagascar depend upon moralities that lend legitimacy and stability to the management of the social–ecological processes that precondition ecosystem services production. Neither ecosystem nor culture delivers ecosystem services to society. Ecosystem services are generated by an interdependent social–ecological system in which knowledge, practice, and beliefs coevolve: culture is a key factor in their generation and persistence. The study suggests these are significant interdependences to consider in dynamic analyses of ecosystem service production.