‘Earth system governance’ as a crosscutting theme of global change research

In 2001, the four global change research programmes ‘urgently’ called for ‘an ethical framework for global stewardship and strategies for Earth System management’. Yet this notion of ‘earth system management’ remains vaguely defined: It is too elusive for natural scientists, and too ambitious or too normative for social scientists. In this article, I develop an alternative concept that is better grounded in social science theory: ‘earth system governance’. I introduce, first, the concept of earth system governance as a new social phenomenon, a political programme and a crosscutting theme of research in the field of global environmental change. I then sketch the five key problem structures that complicate earth system governance, and derive from these four overarching principles for earth system governance as political practice, namely credibility, stability, adaptiveness, and inclusiveness. In the last part of the article, I identify five research and governance challenges that lie at the core of earth system governance as a crosscutting theme in global change research. These are the problems of the overall architecture of earth system governance, of agency beyond the state, of the adaptiveness of governance mechanisms and of their accountability and legitimacy, and of the modes of allocation in earth system governance—in short, the five A's of earth system governance research.     

Adaptive environmental governance of changing social-ecological systems: Empirical insights from the Okavango Delta,Botswana

Adaptive management and related fields have theorized new governance strategies that embrace complexity and are able to respond effectively to changing and unpredictable biophysical dynamics. However, this body of work pays inadequate attention to important on-the-ground realities, including feasibility of implementation and the power dynamics embedded in multi-scalar systems of environmental governance. This paper presents findings from a research project on challenges to adaptive management in the variable wetland ecosystem of the Okavango Delta, Botswana. Many residents of this rural region rely on transitional agricultural practices, shifting between dryland and floodplain farming in response to dynamic precipitation and flooding patterns. Higher than average floods in 2009–2011 inundated many floodplain fields past the point of production, causing farmers to shift to the dryland for multiplem seasons. At the same time, the highly centralized Government of Botswana began to implement stricter regulations over floodplain resources, which stemmed in part from a new adaptive management plan developed for the region. As a result, many farmers felt pressured by the government to abandon transitional livelihood practices and to shift permanently to dryland agriculture even though many preferred to continue floodplain farming. This loss of a responsive livelihood strategy will likely result in decreased long-term adaptive capacity for many residents. Drawing on these findings, this paper advances the argument that if adaptive management is to become a viable option for communities in changing environments, more attention must be given to the role of unequal power relations in multi-scalar systems of environmental governance.     

Voices of young biosphere stewards on the strengths,weaknesses, and ways forward for 74 UNESCO Biosphere Reserves across 83 countries

Young stakeholders are key actors in social-ecological systems, who have the capacity to be agents of sustainability transformation but are also at high risk of exclusion in the unfolding of global change challenges. Despite the focus of sustainability on future generations, there has been little research effort aimed at understanding young actors’ roles as biosphere stewards. In this work we investigate how young stakeholders perceive and participate in the implementation of sustainability objectives in 74 Biosphere Reserves of the United Nations Educational, Scientific and Cultural Organization’s (UNESCO) the Man and the Biosphere (MAB) Programme across 83 countries, through participatory group workshops, individual surveys and grey literature review. We explore to what extent youth perceptions are aligned or not with current understandings of Biosphere Reserves and how young stakeholders are acting in pursuit of Biosphere Reserve objectives. We find that young stakeholders have a comprehensive understanding of the opportunities and challenges faced by environmental governance, such as resilience and adaptation to global change and the governance challenges of implementing adaptive co-management and increasing stakeholder participation. We also show that young stakeholders can be active participants in a wide range of activities that contribute to achieving conservation and development goals in their territories. They are particularly concerned with youth participation within all levels of Biosphere Reserve functioning and with the creation of sustainable livelihood opportunities that will allow future generations to remain in their native territories. Our study provides evidence of the importance of young stakeholder knowledge and perspectives as central actors in conservation and development initiatives, like Biosphere Reserves, and of the need to increase young stakeholder integration and participation within environmental governance.     

Navigating climate crises in the Great Barrier Reef

A dramatic escalation of extreme climate events is challenging the capacity of environmental governance regimes to sustain and improve ecosystem outcomes. It has been argued that actors within adaptive governance regimes can help to steer environmental systems toward sustainability in times of crisis. Yet there is little empirical evidence of how acute climate crises are navigated by actors operating within adaptive governance regimes, and the factors that influence their responses. Here, we qualitatively assessed the actions key governance actors took in response to back-to-back mass coral bleaching – an extreme climate event – of the Great Barrier Reef in 2016 and 2017, and explored their perceptions of barriers and catalysts to these responses. This research was, in part, a product of collaboration and knowledge co-production with Great Barrier Reef governance actors aimed at improving responses to climate crises in the region. We found five major categories of activity that actors engaged with in the wake of recurrent mass coral bleaching: assessing the scale and extent of bleaching, sharing information, communicating bleaching to the public, building local resilience, and addressing global threats. These actions were both catalyzed and hindered by a range of factors that fall within different domains of adaptive capacity; such as assets, social organization, and agency. We discuss the implications of our findings as they relate to existing research on adaptive capacity and adaptive governance. We conclude by coalescing insights from our interviews and a participant engagement process to highlight four key ways in which the ability of governance actors, and the Great Barrier Reef governance regime more broadly, can be better prepared for, and more effectively respond to extreme climate events. Our research provides empirical insight into how crises are experienced by governance actors in a large-scale environmental system, potentially providing lessons for similar systems across the globe.     

What drives national adaptation? A global assessment

That the climate is changing and societies will have to adapt is now unequivocal, with adaptation becoming a core focus of climate policy. Our understanding of the challenges, needs, and opportunities for climate change adaptation has advanced significantly in recent years yet remains limited. Research has identified and theorized key determinants of adaptive capacity and barriers to adaptation, and more recently begun to track adaptation in practice. Despite this, there is negligible research investigating whether and indeed if adaptive capacity is translating into actual adaptation action. Here we test whether theorized determinants of adaptive capacity are associated with adaptation policy outcomes at the national level for 117 nations. We show that institutional capacity, in particular measures of good governance, are the strongest predictors of national adaptation policy. Adaptation at the national level is limited in countries with poor governance, and in the absence of good governance other presumed determinants of adaptive capacity show limited effect on adaptation. Our results highlight the critical importance of institutional good governance as a prerequisite for national adaptation. Other elements of theorized adaptive capacity are unlikely to be sufficient, effective, or present at the national level where national institutions and governance are poor.     

Planning adaptation based on local actors’ knowledge and participation: a climate governance experiment

Involving a wide-range of stakeholders at different moments in the planning of urban adaptation to climate change can help to overcome different barriers to adaptation, such as a lack of common perception, or control over options. This Article argues for an approach that involves a wide range of actors throughout the planning process in order to confront the challenges of urban adaptation to climate change. It builds on the results of a three-year participatory action research project to identify the catalysts with which local administrations can overcome the lack of data, the low level of engagement around the climate issue, and the cause-and-effect linkages of climate change impacts on the urban environment. Significant factors include territorial rootedness, leveraging actors’ experience, interaction between actors, as well as the valuing of local actors as experts of territorial management rather than as novices with regard to climate change adaptation. In addition to contributing towards the engagement of a large number of stakeholders around adaptation issues, a planning process that involves representatives from various sectors and during several stages contributes to a greater understanding of these issues and their linkages. It follows that such a process will bring changes to urban practices by better articulating local concerns about climatic issues.

Policy relevance

Although participation is commonly advocated in policy responses to climate change, only few empirical studies have investigated the ways in which local actors' knowledge can be integrated into climate change adaptation planning processes. The article builds on the results of an action research project carried out in Québec City, Canada, to address the relevance of involving a progressively broader range of actors as the adaptation process moves through its various phases. Given that a multitude of barriers to adaptation are at play at different times in a municipality, collaborations between local stakeholders emerge as a key factor. These collaborations provide greater insight into the linkages between climate change impacts and the urban environment and, in doing so, bring into question ordinary urban management and design practices.     

Climate governance,justice, and transnational civil society

Justice dilemmas associated with climate change and the regulatory responses to it pose challenges for global governance, arguably hampering progress and raising concerns over efficacy and relevance. Scholarly literature suggests that transnational civil society groups can help address problems of governance and injustice that cross borders and pit states against each other. Findings of a comparative, qualitative study of climate justice advocacy suggest, however, that civil society groups' work in the US and EU is significantly shaped by institutional factors specific to those regimes, limiting advocates' broader impact. Moreover, political opportunities for the pursuit of climate action, and justice particularly, have diminished in those settings. By contrast, the United Nations Framework Convention on Climate Change (UNFCCC) provides greater opportunities for discussions of justice, although civil society actors are significantly constrained within it. It is argued that greater roles for civil society in the UNFCCC could prove constructive in the face of current challenges connected with justice issues. Three themes in civil society advocacy linking principles of global justice with current climate policy debates are summarized. Finally, it is suggested that the first iteration of the UNFCCC Periodic Review provides timely opportunities to more fully draw upon civil society's potential contributions toward a fair and effective global climate regime.

Policy relevance

The roles of civil society organizations in climate governance were examined in three policy contexts: the UNFCCC, the US, and the EU, with special attention to advocacy addressing issues of equity and justice, identified as key challenges for a post-2012 global agreement. Findings suggest that (1) civil society roles are significantly constrained in each context, and (2) political opportunities for climate advocacy have diminished since 2009 in the US and EU, underlining (3) the continued salience of the UNFCCC as a forum for engagement and the construction of effective and equitable climate policy. Potential exists for increased civil society involvement at the UNFCCC to help resolve obstacles based in divergent national priorities. Three areas of justice-focused civil society activity are reviewed for current negotiation topics and the governance structure of the institution. The current UNFCCC Periodic Review is identified as an opportunity to increase civil society involvement.     

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.     

Changing environment and development institutions to enable payments for ecosystem services: The role of institutional work

Payments for ecosystem services (PES) are increasingly promoted as nature-based solutions to climate, environmental, and business challenges. While participation in PES schemes is mandated in countries such as China, Costa Rica, and Vietnam, it remains unclear how PES schemes emerge in countries devoid of national mandates. This article investigates how actors have attempted institutional change to enable PES, by reinterpreting or adapting national laws, policies, and plans. We present an analytical framework theorising how geographical variations in (1) institutional frameworks, and (2) actor capabilities, dictate which institutions actors attempt to change. We then apply this framework to multi-scalar actors and institutions in Thailand and the Philippines. Our empirics reveal the types of institutional work that actors perform such as advocacy, education, mimicry, and networking, and demonstrate how this creates legal and discursive support, and improves stakeholder awareness and acceptance of PES as an environmental management strategy. Eight formal institutions are shown to have undergone change to enable PES across these countries, including those related to indigenous people, energy production, protected areas, pollution control, carbon offsetting, and decentralised governance. We show institutional change to be a geographical and contextual process that requires actors to match the right types of institutional work, with the right mechanism of institutional change, and a suitable target institution if they are to be successful in effecting change. Yet, we also report failed attempts, and explain how informal cultural norms act as challenges to formal institutional change. Through our comparative analysis of multiple institutions, actors, and national settings, we identify trends and make recommendations with global relevance to PES scholars and practitioners, and that can aid other initiatives that seek to address climate change and promote environmental sustainability.     

Seeing the forest and the trees: Facilitating participatory network planning in environmental governance

Governance processes to address environmental change involve many different actors from multiple spatial, temporal and socio-political scales, not all of whom are connected by hierarchy and whose actions cannot always be mandated. In the environmental governance literature, Social Network Analysis (SNA) has been found useful in understanding complex governance arrangements. In this paper we present and reflect on our experience with the Net-Map tool for participatory network mapping. The Net-Map tool was applied in three transdisciplinary case studies for three different purposes: (a) to contribute to an improved understanding of biodiversity knowledge flows in Europe, (b) to explore the interplay between actors with influence on water, agriculture, and energy developments at the Blue Nile in Ethiopia, and (c) to understand the challenges facing stakeholders engaged in conservation and economic development in a Southeast Asian mountain range. The case studies explore how network maps can serve as boundary objects to engage stakeholders of diverse points of view and jointly design strategies to address governance challenges. More specifically they show how network maps are used to gain a better understanding of governance situations, to help stakeholders identify strategies for navigation of the complex networks in which they are embedded and to support transdisciplinary research processes. We close with some reflections on the potential and limitations of the Net-Map tool in facilitating multi-stakeholder processes and disentangling complex governance arrangements.     

Rival private governance networks: Competing to define the rules of sustainability performance

Private governance of environmental and social performance of organizations, processes and products is gaining prominence in market and policy arenas, and thus, increasingly influencing sustainability outcomes. This study presents a concept of rival private governance where multiple initiatives compete for rule-setting authority. Specifically, we argue that heterogeneous actors organize in network form to establish legitimacy of new sustainability governance fields. In an effort to preempt threats from these new fields of governance, nonparticipating actors create rival private governance networks and compete based on each network's ability to access unique relational assets from participants. Based on the cases of carbon off-set standards, green building rating systems and sustainable forestry certifications, we suggest that this competitive market vetting results in pressures toward the convergence of governance rules over time, but not a single winning set of rules. Our findings illustrate that multiple and competing networks can provide innovative, legitimate and dynamically evolving governance of sustainability, while presenting new challenges for public and private sector actors.     

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.     

国际气候治理中的公正转型议题：概念辨析与治理进展

国际气候治理中的公正转型议题涉及就业、关乎民生,是各国都很关注的政策领域之一,因此也被视为是支持应对气候变化的一种重要社会机制。近年来,国际社会积极推动建设气候治理公正转型制度体系,各国也在所制定的国家应对气候变化战略和规划中越来越多地提出与公正转型和就业相关的目标与措施。公正转型议题在国际气候治理进程中主流化的趋势给中国参与和引领全球气候治理带来了新的机遇与挑战。中国应加强关于该问题的基础性研究;在国内应对气候变化的行动中充分考虑该问题,保障受影响就业群体获得社会公正对待;总结具体实践经验;在政策领域协调上做好新的布局;积极参与《联合国气候变化框架公约》下公正转型治理体系的构建中。     

From Lima to Paris,Part 1: The Lima Hangover

A growing body of literature suggests that an economic case may exist for investment in large-scale climate change mitigation. At the same time, however, investment is persistently falling well short of the levels required to prevent dangerous climate change, suggesting that economically attractive mitigation opportunities are being missed. To understand whether and where these opportunities exist, this article contrasts macro-level analyses of climate finance with micro-level bottom-up analyses of the scale and composition of low-carbon investment opportunities in four case study developing world cities. This analysis finds that there are significant opportunities to redirect existing finance streams towards more cost-effective, lower-carbon options. This would mobilize substantial new investment in climate mitigation. Two key explanations are proposed for the failure to exploit these opportunities. First, the composition of cost-effective measures is highly context-specific, varying from place to place and sector to sector. Macro-level analyses of climate finance flows are therefore poor indicators of the micro-level landscape for low-carbon investment. Specific local research is therefore needed to understand the opportunities for cost-effective mitigation at that level. Second, many opportunities require enabling governance arrangements that are not currently in place. Mobilizing new low-carbon investment and closing the ‘climate finance gap' therefore requires attention to policy frameworks and financing mechanisms that can facilitate the exploitation of cost-effective low-carbon options.

Policy relevance

The importance of increasing investment in climate mitigation, especially in developing nations, is well established. This article scrutinizes four city-level studies of the scope for cost-effective low-carbon investment, and finds that significant opportunities are not being exploited in developing world cities. Enabling governance structures may help to mainstream climate considerations into investments by local actors (households, businesses and government agencies). While climate finance distributed through international bodies such as the Green Climate Fund may not always be a suitable vehicle to invest directly in disaggregated, local-level measures, it can provide the incentives to develop these governance arrangements.     

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.     

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.     

An ocean of surprises – Trends in human use,unexpected dynamics and governance challenges in areas beyond national jurisdiction

The expanse of ocean which makes up all marine areas beyond national jurisdiction has been characterized as the last frontier of exploitation on the planet, a figurative final “Wild West”. Existing users of areas beyond national jurisdiction, with the exception of fisheries, currently have a limited footprint there as a consequence, in part, of substantial hurdles in technological development that need to be overcome before many resources can be extracted at a commercially viable scale. However, we argue surprise shifts perpetuated by both established and emerging users could lead to an expansion in actors taking opportunities to chase lucrative resources that they are currently constrained from exploiting. Rapid development could also lead to a “crowded ocean” due to the multiplication of users which could present a problem given the current lack of a unified institutional framework for governance connecting the different user groups. Here, we have collated trends in human use of areas beyond national jurisdiction and offer a framework for, and examples of, unexpected dynamics relevant to living and non-living marine resources. Such an approach is necessary in order to begin to mobilize an adequate governance response to changing conditions and uses of areas beyond national jurisdiction. This governance response must be able to govern established or potential users, be flexible and adaptive in response to unexpected and unpredictable dynamics and be able to transform in the face of unpredictable future uses of this vast area. Here we present a set of institutional design principles as a first tentative step in this direction.     

Overcoming cross-scale challenges to climate change adaptation for local government: a focus on Australia

This paper aims to identify key cross-scale challenges to planned adaptation within the context of local government in Australia, and suggest enabling actions to overcome such challenges. Many of the impacts of climate change and variability have or will be experienced at the local level. Local governments are embedded in a larger governance context that has the potential to limit the effectiveness of planned adaptation initiatives on the ground. This study argues that research on constraints and barriers to adaptation must place greater attention to understanding the broader multi-governance system and cross-scale constraints that shape adaptation at the local government scale. The study identified seven key enabling actions for overcoming cross-scale challenges faced by local governments in Australia when undertaking climate change adaptation planning and implementation. A central conclusion of this study is that a cooperative and collaborative approach is needed where joint recognition of the scale of the issue and its inherent cross-scale complexities are realised. Many of the barriers or constraints to adaptation planning are interlinked, requiring a whole government approach to adaptation planning. The research suggests a stronger role at the state and national level is required for adaptation to be facilitated and supported at the local level.     

The Oxford Principles

Scientific momentum is increasing behind efforts to develop geoengineering options, but it is widely acknowledged that the challenges of geoengineering are as much political and social as they are technical. Legislators are looking for guidance on the governance of geoengineering research and possible deployment. The Oxford Principles are five high-level principles for geoengineering governance. This article explains their intended function and the core societal values which they attempt to capture. Finally, it proposes a framework for their implementation in a flexible governance architecture through the formulation of technology-specific research protocols.     

中国地球气候系统模式研究进展：CMIP计划实施近20年回顾

在系统总结过去20年从CMIP1到CMIP4世界各国模式的综合情况基础上,回顾了中国气候模式参与CMIP科学试验的概况。在此基础上,慨述了CMIP5的试验设计,总结了参加CMIP5的5个中国气候模式的特点。随后,从高分辨率模式研发、地球系统模式研发、地球气候系统模式最为关键的分量——大气环流模式和海洋环流模式研发的角度,提出了中国地球气候系统模式发展面临的挑战,指出了中国模式发展面临的机遇。针对如何从国家层次协调以实现地球气候模式的可持续发展问题,给出了美国国家科学院最近发布的《推动气候模拟的国家战略》所提出的九条措施作为参考。